Northern Lights Fund Trust III has recently filed a certification with the Securities and Exchange Commission (SEC) regarding its HCM Defender ETFs. This filing, made on November 2, 2026, confirms that the prospectus and statement of additional information for its HCM Defender 100 Index ETF and HCM Defender 500 Index ETF have not changed from what was previously filed.

This update is significant as it demonstrates the company's commitment to transparency and regulatory compliance in the investment industry. By certifying that there are no differences in the prospectus, Northern Lights is reinforcing its credibility among investors and stakeholders.

Background

Northern Lights Fund Trust III is an investment entity based in Cincinnati, Ohio. The company operates under the Central Index Key (CIK) number 0001537140. It primarily focuses on managing exchange-traded funds (ETFs), including the HCM Defender 100 Index ETF and the HCM Defender 500 Index ETF. The firm has been actively filing various forms with the SEC, including recent submissions such as the 485BPOS and 497J.

What the Filing Says

The filing states, "Pursuant to Rule 497(j) under the 1933 Act, and on behalf of the Trust, I hereby certify that the form of Prospectus and Statement of Additional Information that would have been filed pursuant to paragraph (c) of Rule 497 under the 1933 Act would not have differed from that contained in Post-Effective Amendment No. 659 to the Trust’s registration statement on Form N-1A." This indicates that the previously submitted documents remain unchanged.

Impact

This certification may positively affect investors' perceptions of Northern Lights Fund Trust III's ETFs. By ensuring that the information remains consistent, the company aims to build trust and confidence among its clientele. The stability of the prospectus could also influence potential investors considering the HCM Defender ETFs.

What’s Next

The filing does not say what happens next.