Form N-CEN Legg Mason ETF Investmen For: Sep 30
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E-mailX0404 N-CEN LIVE 0001645194 XXXXXXXX false false false N-1A S000057207 C000182102 Legg Mason ETF Investment Trust 811-23096 0001645194 549300D7ZZ1A7JJ9G964 620 Eighth Avenue 47th Floor New York 10018 US-NY US 1-877-721-1926 Royce Investment Partners 745 Fifth Avenue 24th Floor New York 10151 1-800-221-4268 Records related to its function as sub-advisor. ClearBridge Investments, LLC 620 Eighth Avenue 48th Floor New York 10018 1-800-691-6960 Records related to its function as sub-advisor. The Bank of New York Mellon 240 Greenwich Street New York 10286 1-212-495-1784 Records related to its function as custodian and transfer agent. Legg Mason Partners Fund Advisor, LLC 620 Eighth Avenue 47th Floor New York 10018 1-305-529-4400 Records related to its function as advisor. Western Asset Management Company Limited 10 Exchange Square Primrose Street London GB EC2A 2EN 44-20-7422-3000 Records related to its function as sub-advisor. Western Asset Management Company Pte. Ltd. 1 George Street #23-01 Singapore SG 049145 65-6428-3600 Records related to its function as sub-advisor. ClearBridge RARE Infrastructure (North America) PTY Limited Level 13, 35 Clarence Street Sydney AU NSW 2000 61-2-9397-7300 Records related to its function as sub advisor. Legg Mason ETF Investment Trust 620 Eighth Avenue 47th Floor New York 10018 1-877-721-1926 Records related to its function as registrant. Franklin Distributors, LLC ONE FRANKLIN PARKWAY SAN MATEO 94403 1-800-632-2350 Records related to its function as distributor. Western Asset Management Company Ltd 5-1 Marunouchi 1-Chome Chiyoda-Ku Tokyo JP 100-6536 81-03-4520-4300 Records related to its function as sub-advisor. Franklin Advisers, Inc. One Franklin Parkway San Mateo 94403-1906 1-650-312-2000 Records related to its function as sub-advisor. Western Asset Management Company, LLC 385 East Colorado Boulevard Pasadena 91101 1-626-844-9400 Records related to its function as sub-advisor. N N N-1A 9 Y Rohit Bhagat N/A N Anantha K. Pradeep N/A N Jennifer M. Johnson N/A Y Deborah D. McWhinney N/A N Fred Jensen 003203649 620 Eighth Avenue 47th Floor New York 10018 XXXXXX Y N N N N Franklin Distributors, LLC 008-53089 000109064 N/A Y N PricewaterhouseCoopers LLP 238 5493002GVO7EO8RNNS37 N N N N N N N ClearBridge All Cap Growth ESG ETF S000057207 549300GGII6HHRMIH522 N 0 0 0 Exchange-Traded Fund N N N N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Rule 6c-11 (17 CFR 270.6c-11) N N N N Legg Mason Partners Fund Advisor, LLC 801-66785 000140432 549300POFVK5JLWUL193 N ClearBridge Investments, LLC 801-64710 000137028 549300L5KZQRDVVXSK45 Y N The Bank of New York Mellon 085-05006 HPFHU0OQ28E4N0NFVK49 N N N ICE Data Pricing & Reference Data, LLC 5493000NQ9LYLDBCTL34 N PricingDirect Inc. 549300WIC0TOJ7N7GD54 N IHS MARKIT GROUP HOLDINGS LIMITED 2138005LTLTVZ4WMEX25 GB N THE CLEARING HOUSE PAYMENTS COMPANY L.L.C. 549300KIB86ZLHRUV723 N Bloomberg L.P. 549300B56MD0ZC402L06 N Refinitiv Benchmark Services Limited N/A N Refinitiv US LLC 213800HQORQAP68CJJ04 N Bank of America Merill Lynch PriceServe N/A N N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N N Legg Mason Partners Fund Advisor, LLC 549300POFVK5JLWUL193 Y N N Clarion Partners Securities, LLC 008-69204 000166384 N/A 0.000000000000 ROYCE FUND SERVICES, LLC 008-28663 000014470 N/A 0.000000000000 Franklin Templeton Financial Services Corp. 008-29504 000013594 N/A 0.000000000000 Franklin Templeton Investment Services, Inc. 008-43206 000027884 N/A 0.000000000000 Franklin Distributors, LLC 008-53089 000109064 N/A 0.000000000000 Franklin Templeton Distributors, Inc. 008-05889 000000332 N/A 0.000000000000 BlockCross ATS N/A N/A N/A 74.650000000000 JP MORGAN SECURITIES LLC 008-35008 000000079 ZBUT11V806EZRVTWT807 44.380000000000 BOFA SECURITIES, INC. 008-69787 000283942 549300HN4UKV1E2R3U73 375.430000000000 CREDIT SUISSE SECURITIES (USA) LLC 008-00422 000000816 1V8Y6QCX6YMJ2OELII46 120.870000000000 Cowen and Company, LLC 008-22522 000007616 549300WR155U7DVMIW58 880.880000000000 WELLS FARGO SECURITIES, LLC 008-65876 000126292 VYVVCKR63DVZZN70PB21 168.630000000000 SANFORD C. BERNSTEIN & CO., LLC 008-52942 000104474 549300I7JYZHT7D5CO04 521.250000000000 INSTINET, LLC 008-23669 000007897 549300MGMN3RKMU8FT57 152.850000000000 MORGAN STANLEY & CO. LLC 008-15869 000008209 9R7GPTSO7KV3UQJZQ078 864.190000000000 UBS Securities LLC 008-22651 000007654 T6FIZBDPKLYJKFCRVK44 3409.620000000000 6612.750000000000 Merrill Lynch Professional Clearing Corp. 008-33359 000016139 549300PMHS66E71I2D34 8387275.310000000000 CITADEL SECURITIES LLC 008-53574 000116797 12UUJYTN7D3SW8KCSG25 6749990.890000000000 RBC CAPITAL MARKETS LLC 008-45411 000031194 549300LCO2FLSSVFFR64 35996437.110000000000 51133703.310000000000 Y 210432579.730000000000 0.000000000000 N N N ClearBridge All Cap Growth ESG ETF S000057207 N 50000.000000000000 1.880000000000 0.230000000000 98.120000000000 0.230000000000 2.460000000000 0.410000000000 97.540000000000 0.410000000000 0.000000000000 350.000000000000 0.000000000000 0.000000000000 350.000000000000 0.000000000000 0.000000000000 350.000000000000 0.000000000000 0.000000000000 350.000000000000 0.000000000000 N true
Report of Independent Registered Public Accounting Firm
To the Board of Trustees of Legg Mason ETF Investment Trust and Shareholders of ClearBridge All Cap Growth ESG ETF
In planning and performing our audit of the financial statements of ClearBridge All Cap Growth ESG ETF (a series of Legg Mason ETF Investment Trust, the “Fund”) as of and for the year ended September 30, 2021, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Fund’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Fund’s internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Fund's internal control over financial reporting.
The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.
Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.
Our consideration of the Fund’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be material weaknesses under standards established by the PCAOB.
However, we noted no deficiencies in the Fund’s internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of September 30, 2021.
This report is intended solely for the information and use of the Board of Trustees of Legg Mason ETF Investment 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.
/s/ PricewaterhouseCoopers LLP
San Francisco, California
November 19, 2021
PricewaterhouseCoopers LLP, 405 Howard Street, Suite 600, San Francisco, CA, 94105 T: (415) 498 5000, F: (415) 498 7100, www.pwc.com/us
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