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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 9/14/23 Advisors Preferred Trust 40-17F1/A 9/14/23 1:94K Advisors Preferred Trust Blu Giant, LLC/FA |
Document/Exhibit Description Pages Size 1: 40-17F1/A Amendment to Certificate of Accounting of HTML 88K Securities of an Investment Company in the Custody of Members of National Securities Exchanges
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-17f-1
Certificate of Accounting of Securities and Similar
Investments of a Management Investment Company
in the Custody of Members of
National Securities Exchanges
Pursuant to Rule
17f-1 [17 CFR 270.17f-1]
1.
Investment Company Act File Number:
|
Date examination completed: | |||||||||||
2. State identification Number: | ||||||||||||
AL | By Fund 48456 |
AK |
By Fund
|
AZ | By Class Investor Class MF84722 |
AR | By Fund 60038347 |
CA | By Trust no permit # |
CO | By Trust 2013-52-250 |
|
CT | By Fund 1103940 |
DE | By Fund no permit |
DC |
By Class Investor Class |
FL | None required | GA | By Trust MFO49318 |
HI | By Fund no permit |
|
ID | By Fund Low Volatility 79073 |
IL | By Trust 60027229 |
IN | By Trust 13-0029IC |
IA |
By Class #I-108970 |
KS | By Fund 2018S0001096 |
KY | By Prospectus #60451097 |
|
LA | By Prospectus 170562 |
ME | By Class Investor Class #10065419 |
MD | By Class Investor Class SM 120152440 |
MA | By Class Investor Class 60185334 |
MI | By Class Investor Class 985582 |
MN | By Trust R-55307.1 |
|
MS | By Class Investor Class 60066861 |
MO | By Fund no permit |
MT | By Class Investor Class #270386 |
NE |
By Class #121856 |
NV | By Fund no permit # |
NH | By Class Investor Class #MF20-0083612 |
|
NJ | By Prospectus MF 18494 |
NM | By Class Investor Class 60440 |
NY | By Fund S33-49-70 |
NC | By Trust GFAPT |
ND |
By Class Investor Class |
OH | By Prospectus BE1962849 |
|
OK |
By Class Investor Class |
OR | By Fund #2020-617 |
PA | By Trust 2013-02-070MF |
RI | By Fund no permit # |
SC |
By Fund MF 21458 |
SD |
By Class Investor Class |
|
TN |
By Class Investor Class #RN2021B-0698 |
TX | By Class Investor Class 106625 |
UT | By Prospectus #007-5859-59 |
VT |
By Class Investor Class |
VA | By Trust 183038 |
WA |
By Class 60066958 |
WV |
By Class Investor Class |
WI | By Class Investor Class 772165 |
WY | By Trust no permit # |
PR |
By Class Investor Class |
GU | By Trust No permit # |
VI | By Trust Not registered |
Other (specify): | |||||||||||
3. Exact name of investment company as specified in registration statement: Spectrum Low Volatility Fund, a series of the Advisors Preferred Trust | |||||||||||
4. Address of principal executive office (number, street, city, state, zip code): 1445 Research Boulevard, Suite 530, Rockville, MD 20850 | |||||||||||
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-17f-1
Certificate of Accounting of Securities and Similar
Investments of a Management Investment Company
in the Custody of Members of
National Securities Exchanges
Pursuant to Rule
17f-1 [17 CFR 270.17f-1]
1. Investment Company Act File Number: Advisors Preferred Trust - 811-22756 Spectrum Unconstrained Fund |
Date examination completed: | |||||||||||
2. State identification Number: | ||||||||||||
AL | By Fund # 61998 |
AK | By Fund Investor |
AZ | By Class Investor Class |
AR | By Fund |
CA | By Trust #ORG 109463 |
CO | By Trust #2013-52-250 |
|
CT | By Fund #1113776 |
DE | By Fund |
DC |
By Class Investor Class |
FL | None required | GA | By Trust #SC-MF-049318 |
HI | By Fund |
|
ID | By Fund Permit |
IL | By Trust #60027229 |
IN | By Trust #FCS - P - 002295 |
IA |
By Class
|
KS | By Fund |
KY | By Prospectus #60451097 |
|
LA | By Prospectus #170562 |
ME | By Class |
MD |
By Class #SM20210269 |
MA | By Class |
MI | By Class |
MN | By Trust #R-55307.1 |
|
MS | By Class |
MO | By Fund |
MT | By Class |
NE | By Class |
NV | By Fund |
NH | By Class |
|
NJ | By Prospectus #MF18494 |
NM |
By Class #72692 |
NY | By Fund #S34-63-95 |
NC | By Trust #GFAPT |
ND |
By Class
|
OH | By Prospectus #BE1962849 |
|
OK |
By Class
|
OR | By Fund #2021-2247 |
PA | By Trust #2013-02-070MF |
RI | By Fund |
SC |
By Fund
|
SD |
By Class
|
|
TN |
By Class
|
TX |
By Class #C 129956
|
UT | By Prospectus #007-5859-59 |
VT |
By Class
|
VA | By Trust #183038 |
WA | By Class Investor Class #60090651 |
|
WV |
By Class
|
WI | By Class |
WY | By Trust no permit # |
PR |
By Class Investor Class |
GU | By Trust #2018-10728 |
VI | By Trust no permit |
Other (specify): | |||||||||||
3. Exact name of investment company as specified in registration statement: Spectrum Unconstrained Fund, a series of the Advisors Preferred Trust | |||||||||||
4. Address of principal executive office (number, street, city, state, zip code): 1445 Research Boulevard, Suite 530, Rockville, MD 20850 |
MANAGEMENT STATEMENT REGARDING COMPLIANCE WITH CERTAIN
PROVISIONS OF THE INVESTMENT COMPANY ACT OF 1940
We, as members of management of Spectrum Low Volatility Fund and Spectrum Unconstrained Fund (the “Funds”), each a series of Advisors Preferred Trust, are responsible for complying with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1, “Custody of Securities with Members of National Securities Exchanges,” of the Investment Company Act of 1940. We are also responsible for establishing and maintaining effective internal controls over compliance with those requirements. We have performed an evaluation of the Funds’ compliance with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1 as of March 31, 2023, and from October 1, 2022, through March 31, 2023.
Based on this evaluation, we assert that the Funds were in compliance with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1 for the Investment Company Act of 1940 as of March 31, 2023, and from October 1, 2022, through March 31, 2023, with respect to securities reflected in the investment account of each Fund.
Spectrum Low Volatility Fund
Spectrum Unconstrained Fund
/s/___________________________________________
Catherine Ayers-Rigsby, Principal Executive Officer
/s/____________________________________________
Christine Casares, Principal Financial Officer
Report of Independent Public Accountant
To the Board of Trustees of
Advisors Preferred Trust
We have examined management's assertion, included in the accompanying Management Statement Regarding Compliance With Certain Provisions of the Investment Company Act of 1940, that Spectrum Low Volatility Fund and Spectrum Unconstrained Fund (the “Funds”), each a series of Advisors Preferred Trust, complied with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1 under the Investment Company Act of 1940 (the “Act”) as of March 31, 2023. The Funds’ management is responsible for its assertion. Our responsibility is to express an opinion on management's assertion about the Funds’ compliance with the specified requirements based on our examination.
Our examination was conducted in accordance with attestation standards established by the American Institute of Certified Public Accountants. Those standards require that we plan and perform the examination to obtain reasonable assurance about whether management's assertion about compliance with the specified requirements is fairly stated, in all material respects. An examination involves performing procedures to obtain evidence about whether management's assertion is fairly stated in all material respects. The nature, timing, and extent of the procedures selected depend on our judgment, including an assessment of the risks of material misstatement of management's assertion, whether due to fraud or error. We believe that the evidence we obtained is sufficient and appropriate to provide a reasonable basis for our opinion.
We are required to be independent and to meet our other ethical responsibilities in accordance with relevant ethical requirements relating to the engagement.
Included among our procedures were the following tests performed as of March 31, 2023, and with respect to agreement of security purchases and sales, for the period from September 30, 2022 (the date of our last examination), through March 31, 2023:
· | Confirmation of all securities held by institutions in book entry form at National Financial Services, LLC (“NFS”) and U.S. Bank, NA (the “Custodian”). |
· | Confirmation of all securities hypothecated, pledged, placed in escrow, or out for transfer with brokers, pledgees, or transfer agents. |
· | Reconciliation of all such securities to the books and records of the Funds, NFS and the Custodian. |
· | Agreement of thirteen security purchases and twelve security sales or maturities since our last report from the books and records of the Funds to broker statements. |
We believe that our examination provides a reasonable basis for our opinion. Our examination does not provide a legal determination on the Funds’ compliance with specified requirements.
In our opinion, management's assertion that Spectrum Low Volatility Fund and Spectrum Unconstrained Fund complied with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1 of the Investment Company Act of 1940 as of March 31, 2023, with respect to securities reflected in the investment account of the Funds is fairly stated, in all material respects.
This report is intended solely for the information and use of management and the Board of Trustees of Advisors Preferred Trust and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.
COHEN & COMPANY, LTD.
Philadelphia, Pennsylvania
This ‘40-17F1/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on / Effective on: | 9/14/23 | 40-17F1, 40-17G | ||
9/12/23 | N-CEN | |||
3/31/23 | N-CSRS, NPORT-P | |||
10/1/22 | ||||
9/30/22 | 24F-2NT, N-CEN, N-CSR, NPORT-P | |||
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