Northern Lights Fund Trust III has recently filed a Rule 497(j) with the Securities and Exchange Commission (SEC), confirming that there are no changes to the prospectus for its Swan Enhanced Dividend Income ETF. This filing is significant as it reflects the Trust's adherence to regulatory standards and its commitment to maintaining transparency in the investment management sector.

The filing, dated November 2, 2026, indicates that the form of the Prospectus and Statement of Additional Information remains unchanged from the previously filed Post-Effective Amendment No. 657 to the Trust's registration statement on Form N-1A. This is a routine procedure that helps ensure that investors have access to up-to-date information about the fund.

Background

Northern Lights Fund Trust III operates as an investment fund, primarily focusing on exchange-traded funds (ETFs). The fund is registered under the SEC with the Central Index Key (CIK) number 0001537140. The Trust has been active in filing various forms, including recent submissions on October 28, 2026, which include amendments to its registration statement.

What the Filing Says

The filing specifically 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. 657 to the Trust’s registration statement on Form N-1A." This confirms that no changes were made to the ETF's prospectus.

Impact

This filing may affect current and potential investors in the Swan Enhanced Dividend Income ETF, as it provides assurance that the fund's investment strategy and disclosures remain consistent. The filing also serves to uphold the Trust’s reputation for regulatory compliance, which is crucial in the competitive landscape of investment funds.

What's Next

The filing does not say what happens next. However, it indicates that Northern Lights Fund Trust III continues to operate within the regulatory framework set by the SEC, ensuring that its investors are informed and protected.