SEC.gov | Investment Company Act Notices and Orders: Category Listing
12(d)(3) – Other
Investment Company
File No.
Notice
Order
American Capital, Ltd., et al.
812-14222
31148 (07/03/2014)
31191 (07/29/2014)
Ares Capital Corporation, et al.
812-13847
29977 (03/09/2012)
30024 (03/29/2012)
Kohlberg Capital Corporation
812-13882
29975 (03/05/2012)
30011 (03/27/2012)
American Capital, Ltd., et al.
812-13493
29973 (03/01/2012)
30010 (03/27/2012)
Cantilever Capital, LLC and Cantilever Group, LLC
812-13781
29896 (12/29/2011)
29925 (01/24/2012)
Millenium India Acquisition
812-13464
28083 (12/21/2007)
28121 (01/16/2008)
Affiliated Sales & Purchases – Adviser
Investment Company
File No.
Notice
Order
Nexpoint Credit Strategies Fund, et al.
812-14407
31448 (02/05/2015)
31488 (02/26/2015)
Tennenbaum Opportunities Fund V, LLC, et al.
812-14296
31296 (10/20/2014)
31358 (11/25/2014)
The Gabelli Dividend & Income Trust, et al.
812-14211
30908 (02/06/2014)
30970 (02/28/2014)
BofA Funds Series Trust, et al.
812-14096
30590 (07/03/2013)
30638 (07/30/2013)
Royce Value Trust, Inc., et al.
812-13880
30448 (04/04/2013)
30500 (04/30/2013)
Cash Tài khoản Trust, et al.
812-13933
30188 (08/31/2012)
30215 (09/25/2012)
BofA Funds Series Trust, et al.
812-13916
29741 (08/01/2011)
29769 (08/24/2011)
HighMark Capital Management, Inc., et al.
812-13736
29660 (04/26/2011)
29675 (05/24/2011)
Morgan Stanley Investment Management Inc., et al.
812-13656
28941 (10/06/2009)
28986 (10/29/2009)
Bank of America Fund Trust, et al. (fka Nations Fund Trust)
812-12903
28526 (12/01/2008)
28573 (12/29/2008)
Morgan Stanley Investment Management, et al.
812-13213
28125 (01/18/2008)
28150 (02/13/2008)
Lehman Brothers Asset Management LLC
812-12973
27920 (08/01/2007)
27957 (08/28/2007)
The Gabelli Equity Trust Inc., et al.
812-13373
27808 (04/30/2007)
27823 (05/22/2007)
Affiliated Sales & Purchases – In-Kind
Investment Company
File No.
Notice
Order
TCW Direct Lending LLC, et al.
812-14765
33094 (05/09/2018)
33110 (05/30/2018)
The Northwestern Mutual Life Insurance Company, et al.
812-14128
30671 (08/22/2013)
30690 (09/18/2013)
Mutual of America Life Insurance Company, et al.
812-14059
30292 (12/05/2012)
30335 (12/31/2012)
Pruco Life Insurance Company, et al.
812-13990
30186 (08/29/2012)
30209 (09/20/2012)
The Singapore Fund, Inc.
812-13944
29817 (09/22/2011)
29880 (12/08/2011)
The Chile Fund, Inc.
812-13749
29169 (03/08/2010)
29194 (03/30/2010)
The Mexico Equity and Income Fund, Inc.
812-13294
27592 (12/07/2006)
27654 (01/03/2007)
Affiliated Sales & Purchases – Other
Investment Company
File No.
Notice
Order
Principal Funds, Inc. et al.
812-14866
33843 (04/21/2020)
33886 (05/20/2020)
Calvert Fund, et al.
812-14993
33653 (10/02/2019)
33680 (10/29/2019)
Aberdeen Asset Management Inc., et al.
812-14670
33058 (03/27/2018)
33080 (04/24/2018)
Barings LLC, et al.
812-14607
32786 (08/21/2017)
32734 (07/18/2017)
Nuveen Fund Advisors, LLC, et al.
812-14258
31924 (12/02/2015)
31950 (12/29/2015)
Cash Trust Series, Inc., et al.
812-13875-47
31697 (06/24/2015)
31719 (07/20/2015)
William Blair & Company, L.L.C. and William Blair Funds
812-13871
30285 (11/29/2012)
30314 (12/21/2012)
Columbia ETF Trust, et al.
812-14037
30260 (11/13/2012)
30301 (12/11/2012)
Praxis Mutual Funds, et al.
812-13627
30042 (04/23/2012)
30066 (05/21/2012)
Business Development Companies – Capital Structure
Investment Company
File No.
Notice
Order
Capital Southwest Corporation, et al.
812-15219
34333 (07/16/2021)
34355 (08/11/2021)
Ares Capital Corporation, et al.
812-14399
32127 (05/26/2016)
32154 (06/21/2016)
TCP Capital Corp., et al.
812-14275
31670 (06/15/2015)
31712 (07/13/2015)
New Mountain Finance Corporation, et al.
812-14279
31282 (10/10/2014)
31329 (11/05/2014)
Garrison Capital, Inc., et al.
812-14320
31240 (09/03/2014)
31270 (09/30/2014)
Monroe Capital Corporation, et al.
812-14242
31235 (08/28/2014)
31274 (10/02/2014)
Stellus Capital Investment Corporation, et al.
812-14249
31160 (07/17/2014)
31206 (08/12/2014)
Fidus Investment Corporation, et al.
812-14156
31067 (06/02/2014)
31137 (06/30/2014)
Capitala Finance Corp., et al.
812-14239
31050 (05/19/2014)
31074 (06/10/2014)
OFS Capital Corporation, et al.
812-14185
30771 (10/30/2013)
30812 (11/26/2013)
Medley Capital Corporation, et al.
812-14019
30234 (10/16/2012)
30262 (11/14/2012)
Saratoga Investment Corp., et al.
812-14022
30145 (07/23/2012)
30171 (08/20/2012)
Fidus Investment Corporation, et al.
812-13879
29974 (03/01/2012)
30012 (03/27/2012)
Rand Capital Corporation, et al.
812-13634
29941 (02/01/2012)
29972 (02/28/2012)
Horizon Technology Finance Corp.
812-13876
29777 (08/31/2011)
29821 (09/27/2011)
Golub Capital BDC, Inc.
812-13794
29756 (08/16/2011)
29786 (09/13/2011)
PennantPark Investment Corporation, et al.
812-13772
29665 (05/06/2011)
29686 (06/01/2011)
Fifth Street Finance Corp., et al.
812-13698
29500 (11/18/2010)
29526 (12/14/2010)
Triangle Capital Corporation, et al.
812-13771
29453 (09/30/2010)
29482 (10/22/2010)
MGC Capital Corporation, et al.
812-13428
28427 (09/30/2008)
28474 (10/28/2008)
Triangle Capital Corporation, et al.
812-13355
28383 (09/19/2008)
28437 (10/14/2008)
Main Street Capital Corp.
812-13411
28082 (12/21/2007)
28120 (01/16/2008)
Hercules Technology Growth Capital, Inc., et al.
812-13238
27748 (03/07/2007)
27776 (04/05/2007)
Business Development Companies – Compensation
Investment Company
File No.
Notice
Order
Capital Southwest Corporation
812-15213
34560 (04/19/2022)
34584 (05/16/2022)
Capital Southwest Corporation
812-15212
34309 (06/22/2021)
34335 (07/19/2021)
Sutter Rock Capital Corp.
812-15076
33868 (05/19/2020)
33894 (06/16/2020)
Capital Southwest Corporation
812-14740
32742 (07/25/2017)
32787 (08/22/2017)
Equus Total Return, Inc.
812-14653
32392 (12/14/2016)
32421 (01/10/2017)
Newtek Business Services Corp.
812-14450
32070 (04/13/2016)
32109 (05/10/2016)
Medallion Financial Corp.
812-14433
31980 (02/03/2016)
32017 (03/01/2016)
Medallion Financial Corp.
812-14458
31977 (02/01/2016)
32009 (02/29/2016)
Triangle Capital Corporation
812-14077
30410 (02/28/2013)
30432 (03/21/2013)
Medallion Financial Corp.
812-13666
30121 (06/21/2012)
30139 (07/17/2012)
Harris & Harris Group, Inc.
812-13313
29976 (03/07/2012)
30027 (04/03/2012)
Capital Southwest Corporation
812-13769
29450 (09/29/2010)
29491 (10/26/2010)
Kohlberg Capital Corp
812-13623
29376 (08/03/2010)
29407 (08/31/2010)
Hercules Technology Group
812-13716
29287 (05/26/2010)
29303 (06/22/2010)
Medallion Financial Corp.
812-13667
29201 (04/01/2010)
29258 (04/26/2010)
MCG Capital Corp.
812-13694
29191 (03/25/2010)
29210 (04/20/2010)
Main Street Capital Corporation, et al.
812-13649
28726 (05/19/2009)
28768 (06/16/2009)
Triangle Capital Corp.
812-13647
28692 (04/13/2009)
28718 (05/05/2009)
Kohlberg Capital Corporation
812-13368
28228 (03/28/2008)
28239 (03/23/2008)
Patriot Capital Funding, Inc.
812-13348
28176 (02/28/2008)
28200 (03/25/2008)
Kohlberg Capital Corporation
812-13367
28165 (02/20/2008)
28196 (03/18/2008)
Triangle Capital Corporation
812-13447
28165 (02/20/2008)
28169 (03/18/2008)
Main Street Capital Corp.
812-13411
28082 (12/21/2007)
28120 (01/16/2008)
American Capital Strategies
812-13398
28001 (09/27/2007)
28020 (10/24/2007)
Hercules Technology Growth Capital, Inc.
812-13388
27968 (08/28/2007)
28011 (10/10/2007)
Medallion Financial Corp.
812-13290
27917 (07/30/2007)
27955 (08/28/2007)
Hercules Technology Growth Capital, Inc.
812-13312
27815 (05/02/2007)
27838 (05/23/2007)
American Capital Strategies, Ltd.
812-13308
27669 (01/19/2007)
27702 (02/16/2007)
Hercules Technology Growth Capital, Inc.
812-13201
27668 (01/09/2007)
27699 (02/15/2007)
Investment Company
File No.
Notice
Order
Cypress Creek Private Strategies Master Fund, L.P., et al.
812-15283
34645 (07/11/2022)
Sixth Street Specialty Lending, Inc., Et Al
812-15090
34644 (07/08/2022)
Morgan Stanley Direct Lending Fund, et al.
812-15327
34643 (07/06/2022)
34658 (08/02/2022)
Prospect Capital Corporation, et al.
812-15330
34642 (07/05/2022)
34659 (08/02/2022)
Lafayette Square Empire BDC, Inc., et al
812-15208
34590 (05/20/2022)
34617 (06/15/2022)
Stone Point Credit Corporation, et al.
812-15168
34588 (05/18/2022)
34614 (06/14/2022)
First Eagle Alternative Capital BDC, Inc., et al.
812-15315
34583 (05/13/2022)
34613 (06/09/2022)
Blackstone Floating Rate Enhanced Income Fund, et al.
812-15317
34581 (05/11/2022)
34612 (06/07/2022)
AFC BDC Inc., et al.
812-15280
34577 (05/03/2022)
34604 (06/01/2022)
Stellus Capital Investment Corporation, et al.
812-15255
34556 (04/11/2022)
34579 (05/09/2022)
BlackRock Capital Investment Corporation, et al.
812-15259
34535 (03/18/2022)
34558 (04/14/2022)
Goldman Sachs BDC, Inc., et al
812-15237
34533 (03/15/2022)
Panagram Capital, LLC, et al.
812-15267
34531 (03/14/2022)
34557 (04/11/2022)
Onex Falcon Direct Lending BDC Fund, et al
812-15234
34523 (03/02/2022)
34546 (03/29/2022)
Jefferies Private Credit BDC Inc., et al.
812-15136
34522 (03/02/2022)
34551 (03/30/2022)
Redwood Enhanced Income Corp., et al.
812-15245
34480 (01/21/2022)
34553 (04/01/2022)
MSD Investment, LLC, et al.
812-15215
34477 (01/19/2022)
34509 (02/16/2022)
Silver Point Specialty Lending Fund, et al.
812-14556
34472 (01/19/2022)
34506 (02/15/2022)
HPS Corporate Lending Fund, et al.
812-15190
34465 (01/05/2022)
34493 (02/01/2022)
Flat Rock Global, LLC, et al.
812-15223
34457 (12/29/2021)
34481 (01/25/2022)
Variant Alternative Income Fund, et al.
812-15265
34452 (12/23/2021)
34476 (01/19/2022)
Neuberger Berman BDC LLC, et al.
812-15124
34443 (12/16/2021)
34469 (01/13/2022)
Fairway Private Equity & Venture Capital Opportunities Fund, et al.
812-15256
34438 (12/13/2021)
34467 (01/10/2022)
Apollo Investment Corporation, et al.
812-15015
34432 (12/03/2021)
34458 (12/29/2021)
Calamos Hunt Alternative Income Fund, et al.
812-15204
34428 (11/30/2021)
34454 (12/27/2021)
Bain Capital Specialty Finance, Inc., et al.
812-15222
34422 (11/22/2021)
34445 (12/20/2021)
MVP Private Markets Fund, et al.
812-15249
34420 (11/18/2021)
34439 (12/14/2021)
Blackstone / GSO Floating Rate Enhanced Income Fund, et al.
812-15135
34412 (11/01/2021)
34427 (11/29/2021)
Pomona Investment Fund, et al.
812-15218
34374 (09/14/2021)
34398 (10/13/2021)
Commonwealth Credit Partners BDC I, Inc., et al.
812-15195
34325 (07/07/2021)
34347 (08/02/2021)
Investcorp Credit Management BDC, Inc., et al.
812-15176
34318 (06/24/2021)
34338 (07/20/2021)
iCapital KKR Private Markets Fund, et al.
812-15194
34317 (06/24/2021)
34332 (07/15/2021)
First Eagle Alternative Capital Bdc, Inc., et al.
812-15151
34301 (06/15/2021)
34330 (07/13/2021)
Franklin Templeton Co-Investing Interval Fund, et al.
812-15170
34289 (05/27/2021)
34307 (06/22/2021)
Delaware Wilshire Private Markets Master Fund, et al.
812-15119-01
34270 (05/12/2021)
34296 (06/08/2021)
Rand Capital Corporation, et al.
812-15174
34218 (03/01/2021)
34237 (03/29/2021)
Star Mountain Credit Opportunities Fund, LP, et al.
812-15120
34202 (02/23/2021)
34228 (03/23/2021)
Muzinich BDC, Inc., et al.
812-15086
34186 (02/02/2021)
34219 (03/02/2021)
Hamilton Lane Private Assets Fund, et al.
812-15099
34182 (01/28/2021)
34201 (02/23/2021)
Palmer Square Capital BDC Inc., et al.
812-15113
34139 (12/14/2020)
34167 (01/08/2021)
Main Street Capital Corporation, et al.
812-14979
34103 (11/23/2020)
34146 (12/21/2020)
Oaktree Strategic Income II, Inc., et al.
812-15156
34099 (11/18/2020)
34141 (12/15/2020)
Principal Diversified Select Real Asset Fund, et al.
812-15083
34086 (11/04/2020)
34125 (12/01/2020)
Yieldstreet Prism Fund Inc., et al.
812-15038
34050 (10/15/2020)
34090 (11/10/2020)
Rand Capital Corporation, et al.
812-15108
34006 (09/11/2020)
34046-correction (10/07/2020)
1WS Credit Income Fund, et al.
812-14997
33959A (09/04/2020)
34036 (09/30/2020)
Morgan Stanley Direct Lending Fund, et al.
812-15057
33958A (08/28/2020)
34016 (09/18/2020)
1WS Credit Income Fund, et al.
812-14997
33959 (07/28/2020)
Morgan Stanley Direct Lending Fund, et al.
812-15057
33958 (07/28/2020)
34016 (09/18/2020)
FS Global Credit Opportunities Fund, et al.
812-14987
33927 (07/15/2020)
33968 (08/11/2020)
Runway Growth Credit Fund, Inc., et al.
812-15105
33925 (07/13/2020)
33967 (08/10/2020)
OFS Capital Corp., et al.
812-14909
33922 (07/08/2020)
33962 (08/04/2020)
Conversus Stepstone Private Markets, et al.
812-15072
33913 (06/25/2020)
33930 (07/21/2020)
Varagon Capital Corporation, et al.
812-15059
33867 (05/18/2020)
33892 (06/15/2020)
FS Credit Income Fund, et al.
812-14905
33848 (04/22/2020)
33871 (05/19/2020)
Invesco Advisers, Inc., et al.
812-15061
33844 (04/21/2020)
33870 (05/19/2020)
Great Elm Capital Corp., et al.
812-15019
33839 (04/15/2020)
33864 (05/12/2020)
AIP Private Equity Opportunities Fund I A LP, et al.
812-15047
33818 (03/16/2020)
33850 (04/22/2020)
First Eagle BDC, LLC, et al.
812-14949
33746 (01/14/2020)
34102 (11/23/2020)
Kayne Anderson MLP/Midstream Investment Company, et al.
812-14940
33742 (01/08/2020)
33798 (02/04/2020)
Fundrise Real Estate Interval Fund, LLC, et al.
812-15040
33739 (12/31/2019)
33793 (01/28/2020)
Prospect Capital Corporation, et al.
812-14977
33716 (12/16/2019)
33745 (01/13/2020)
Blackstone Alternative Alpha Fund, et al.
812-14967
33707 (12/02/2019)
33738 (12/30/2019)
AMG Pantheon Master Fund, LLC, et al.
812-14626-01
33687 (11/18/2019)
33714 (12/13/2019)
New Mountain Finance Corporation, et al.
812-15030
33624 (09/12/2019)
33656 (10/08/2019)
John Hancock GA Mortgage Trust, et al.
812-14917
33493 (05/28/2019)
33518 (06/25/2019)
BlackRock Capital Investment Corporation, et al.
812-14955
33480 (05/21/2019)
33515 (06/20/2019)
Nuveen Churchill BDC LLC, et al.
812-14898
33475 (05/15/2019)
33503 (06/07/2019)
CM Finance Inc, et al.
812-14850
33377 (02/19/2019)
33401 (03/19/2019)
Pharos Capital BDC, Inc., et al.
812-14891
33372 (02/08/2019)
33394 (03/11/2019)
Stellus Capital Investment Corporation, et al.
812-14855
33289 (11/06/2018)
33316 (12/04/2018)
Blackstone Real Estate Income Fund, et al.
812-14931
33271 (10/16/2018)
33294 (11/13/2018)
Audax Credit BDC Inc., et al.
812-14862
33270 (10/12/2018)
33290 (11/07/2018)
BC Partners Lending Corporation, et al.
812-14860
33256 (09/26/2018)
33279 (10/23/2018)
THL Credit, Inc., et al.
812-14807
33213 (08/24/2018)
33239 (09/19/2018)
Tortoise Capital Advisors, L.L.C., et al.
812-14839
33205 (08/21/2018)
33237 (09/18/2018)
Thrivent Financial for Lutherans, et al.
812-14838
33197 (08/09/2018)
33217 (09/05/2018)
AB Private Credit Investors Corp., et al.
812-14925
33152 (07/09/2018)
33191 (08/06/2018)
Blackstone / GSO Floating Rate Enhanced Income Fund, et al.
812-14835
33149 (07/06/2018)
33186 (07/31/2018)
Benefit Street Partners BDC, Inc., et al.
812-14601
33068 (04/06/2018)
33090 (05/01/2018)
Triloma EIG Energy Income Fund, et al.
812-14848
33047 (03/14/2018)
33070 (04/10/2018)
Corporate Capital Trust, Inc., et al.
812-14882
33043 (03/08/2018)
33064 (04/03/2018)
Alcentra Capital Corporation, et al.
812-14760
33038 (02/28/2018)
33059 (03/27/2018)
TriplePoint Venture Growth BDC Corp., et al.
812-14773
33037 (02/28/2018)
33060 (03/28/2018)
Bain Capital Specialty Finance, Inc., et al.
812-14766
33031 (02/23/2018)
33051 (03/22/2018)
Guggenheim Credit Income Fund, et al.
812-14821
32960 (01/03/2018)
32996 (01/30/2018)
TCG BDC, Inc., et al.
812-14798
32945 (12/20/2017)
32969 (01/17/2018)
BlackRock Capital Investment Corporation, et al.
812-14582
32943 (12/19/2017)
32968 (01/16/2018)
New Mountain Finance Corporation, et al.
812-14799
32900 (11/20/2017)
32941 (12/18/2017)
Horizon Technology Finance Corporation, et al.
812-14738
32888 (10/30/2017)
32923 (11/27/2017)
Oaktree Strategic Income, LLC, et al.
812-14758
32831 (09/22/2017)
32862 (10/18/2017)
Barings Corporate Investors, et al.
812-14689
32822 (09/20/2017)
32864 (10/19/2017)
Medley Capital Corporation, et al.
812-14778
32809 (09/08/2017)
32850 (10/04/2017)
MVC Capital, Inc., et al.
812-14720
32769 (08/01/2017)
32797 (08/28/2017)
1889 BDC, Inc., et al.
812-14682
32687 (06/21/2017)
32735 (07/18/2017)
Partners Group (USA) Inc., et al.
812-14193-01
32667 (06/01/2017)
32726 (07/06/2017)
Corporate Capital Trust, Inc., et al.
812-14408
32642 (05/22/2017)
32683 (06/19/2017)
TICC Capital Corp., et al.
812-14707
32641 (05/19/2017)
32680 (06/14/2017)
Solar Capital Ltd., et al.
812-14735
32638 (05/17/2017)
32677 (06/13/2017)
New Mountain Finance Corporation, et al.
812-14699
32630 (05/08/2017)
32668 (06/05/2017)
Excelsior Private Markets Fund II (Master), LLC, et al.
812-14548-05
32597 (04/10/2017)
32628 (05/08/2017)
Medley Capital Corporation, et al.
812-14679
32520 (03/03/2017)
32581 (03/29/2017)
Golub Capital BDC, Inc., et al.
812-13764
32461 (01/31/2017)
32509 (02/27/2017)
Owl Rock Capital Corporation, et al.
812-14568
32422 (01/11/2017)
32469 (02/07/2017)
Ares Capital Corporation, et al.
812-13603
32399 (12/21/2016)
32427 (01/18/2017)
Goldman Sachs BDC, Inc., et al.
812-14219
32382 (12/07/2016)
32409 (01/04/2017)
Fidus Investment Corporation, et al.
812-14605
32381 (12/07/2016)
32411 (01/04/2017)
NF Investment Corp., et al.
812-14472
32340 (10/27/2016)
32362 (11/22/2016)
Terra Income Fund 6, Inc., et al.
812-14452
32303 (10/04/2016)
32349 (11/01/2016)
Altegris KKR Commitments Master Fund, et al.
812-14410
32265 (09/19/2016)
32319 (10/17/2016)
AB Private Credit Investors Corporation, et al.
812-14453
32261 (09/13/2016)
32310 (10/11/2016)
OFS Capital Corporation, et al.
812-14602
32259 (09/13/2016)
32312 (10/12/2016)
Bain Capital Specialty Finance, Inc., et al.
812-14575
32197 (07/29/2016)
32226 (08/23/2016)
Carey Credit Income Fund, et al.
812-14426
32138 (06/02/2016)
32164 (06/28/2016)
Triloma EIG Global Energy Fund, et al.
812-14429
32106 (05/05/2016)
32132 (05/31/2016)
Capitala Finance Corp., et al.
812-14544
32102 (05/04/2016)
32136 (06/01/2016)
OHA Investment Corporation, et al.
812-14482
32061 (03/30/2016)
32094 (04/25/2016)
NexPoint Capital, Inc., et al.
812-14430
32048 (03/24/2016)
32078 (04/19/2016)
Crescent Capital BDC Inc., et al.
812-14454
32018 (03/02/2016)
32056 (03/29/2016)
Apollo Investment Corporation, et al.
812-13754
32019 (03/02/2016)
32057 (03/29/2016)
Alcentra Capital Corporation, et al.
812-14374
31927 (12/04/2015)
31951 (12/30/2015)
THL Credit, Inc., et al.
812-14256
31899 (11/10/2015)
31929 (12/08/2015)
Harvest Capital Credit Corporation, et al.
812-14365
31860 (10/05/2015)
31930 (12/10/2015)
Triton Pacific Investment Corporation, Inc., et al.
812-14122
31856 (09/30/2015)
Full Circle Capital Corporation et al.
812-14396
31799 (08/28/2015)
31837 (09/23/2015)
Benefit Street Partners BDC, Inc., et al.
812-14126
31651 (05/27/2015)
31686 (06/23/2015)
TCW Direct Lending LLC, et al.
812-14382
31589 (04/30/2015)
31649 (05/27/2015)
Eagle Point Credit Company Inc., et al.
812-14330
31457 (02/18/2015)
31507 (03/17/2015)
Garrison Capital Inc., et al.
812-14097
31373 (12/15/2014)
31409 (01/12/2015)
TPG Specialty Lending, Inc., et al.
812-13980
31338 (11/18/2014)
31379 (12/16/2014)
Monroe Capital Corporation, et al.
812-14028
31253 (09/19/2014)
31286 (10/15/2014)
Fifth Street Finance Corp., et al.
812-14132
31212 (08/14/2014)
31247 (09/09/2014)
Solar Capital Ltd., et al.
812-14195
31143 (07/01/2014)
31187 (07/28/2014)
WhiteHorse Finance, Inc., et al.
812-14120
31080 (06/12/2014)
31152 (07/08/2014)
PennantPark Investment Corp., et al.
812-14134
30985 (03/19/2014)
31015 (04/15/2014)
HMS Income Fund, Inc., et al.
812-14016
30984 (03/18/2014)
31016 (04/15/2014)
NF Investment Corp., et al.
812-14161
30900 (01/31/2014)
30968 (02/26/2014)
Prospect Capital Corporation, et al.
812-14199
30855 (01/13/2014)
30909 (02/10/2014)
Medley Capital Corporation, et al.
812-14020
30769 (10/28/2013)
30807 (11/25/2013)
Stellus Capital Investment Corporation, et al.
812-14061
30739 (09/30/2013)
30754 (10/23/2013)
FS Investment Corporation, et al.
812-13665
30511 (05/09/2013)
30548 (06/04/2013)
Corporate Capital Trust, Inc., et al.
812-13844
30494 (04/25/2013)
30526 (05/21/2013)
Van Eck Funds, et al.
812-13740
30252 (10/25/2012)
30279 (11/23/2012)
Gladstone Capital Corporation, et al.
812-13878
30125 (06/29/2012)
30154 (07/26/2012)
Medley Capital Corporation, et al.
812-13787
29968 (02/27/2012)
30009 (03/26/2012)
NGP Capital Resources Company, et al.
812-13695
29831 (10/07/2011)
29860 (11/10/2011)
Ridgewood Capital Energy Growth, LLC, et al.
812-13569
28931 (09/25/2009)
28982 (10/21/2009)
H&Q Healthcare Investors, et al.
812-13392
28426 (09/30/2008)
28472 (10/28/2008)
Main Street Capital Corporation, et al.
812-13438
28265 (05/08/2008)
28295 (06/03/2008)
Distributions
Investment Company
File No.
Notice
Order
First Eagle Global Opportunities Fund, Et Al
812-15260
34397 (10/12/2021)
34416 (11/09/2021)
High Income Securities Fund
812-15230
34373 (09/09/2021)
34395 (10/05/2021)
Mainstay CBRE Global Infrastructure Megatrends Fund, et al.
812-15242
34372 (09/03/2021)
34390 (09/29/2021)
DoubleLine Opportunistic Credit, et al
812-15240
34328 (07/13/2021)
34353 (08/09/2021)
Vertical Capital Income Fund and Oakline Advisors, LLC
812-15000
33505 (06/12/2019)
33548 (07/09/2019)
Putnam Managed Municipal Income Trust, et al.
812-14970
33449 (04/17/2019)
33474 (05/14/2019)
Macquarie Global Infrastructure Total Return Fund Inc., et al.
812-14990
33389 (03/05/2019)
33436 (04/02/2019)
Special Opportunities Fund, Inc. and Bulldog Investors, LLC
812-14937
33367 (02/04/2019)
33386 (03/04/2019)
Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC
812-14896
33147 (07/03/2018)
33185 (07/31/2018)
The Swiss Helvetia Fund, Inc., et al.
812-14857
33075 (04/23/2018)
33099 (05/21/2018)
The Mexico Equity & Income Fund, Inc. and Pichardo Asset Management, S.A. de C.V.
812-14213
32640 (05/18/2017)
32676 (06/13/2017)
RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC
812-14698
32635 (05/12/2017)
32673 (06/07/2017)
Brookfield Global Listed Infrastructure Income Fund Inc., et al.
812-14456
31802 (09/01/2015)
31855 (09/30/2015)
Ares Dynamic Credit Allocation Fund, Inc., et al.
812-14272
31665 (06/09/2015)
31708 (07/07/2015)
Dreyfus TMT Opportunities Fund, Inc., et al.
812-14357
31549 (04/07/2015)
31593 (05/05/2015)
Sprott Focus Trust, Inc. and Sprott Asset Management LP
812-14437
31548 (04/07/2015)
31952 (05/04/2015)
Principal Real Estate Income Fund and Alps Advisors, Inc.
812-14295
31290 (10/16/2014)
31334 (11/12/2014)
H&Q Healthcare Investors, et al.
812-14306
31197 (08/05/2014)
31224 (08/27/2014)
The New Ireland Fund, Inc. and Kleinwort Benson Investors International Ltd.
812-14290
31185 (07/23/2014)
31216 (08/19/2014)
Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC
812-14215
30883 (01/16/2014)
30913 (02/11/2014)
Guggenheim Equal Weight Enhanced Equity Income Fund and Guggenheim Funds Investment Advisers, LLC
812-14151-04
30780 (11/12/2013)
30822 (12/09/2013)
Royce Focus Trust, Inc., et al.
812-14034
30447 (04/04/2013)
30499 (04/30/2013)
The Adams Express Company and Petroleum & Resources Corporation
812-14064
30304 (12/13/2012)
30344 (01/08/2013)
Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC
812-13998
30195 (09/05/2012)
30226 (10/02/2012)
Invesco Total Property Market Income Fund, et al.
812-13927
30055 (04/26/2012)
30069 (05/22/2012)
Stone Harbor Investment Partners LP
812-13867
29791 (09/16/2011)
29834 (10/12/2011)
Tortoise Power & Energy Infrastructure Fund Inc.
812-13862
29755 (08/16/2011)
29785 (09/12/2011)
ING Asia Pacific High
812-13909
29735 (07/21/2011)
29754 (08/16/2011)
Federated Enhanced Treasury Income Fund, et al.
812-13743
29341 (07/14/2010)
29379 (08/10/2010)
Lazard Global Total Return and Income Fund
812-13218
29331 (06/24/2010)
29344 (07/21/2010)
RMR Real Estate Fund
812-13058
29178 (03/23/2010)
29213 (04/20/2010)
The Chile Fund, Inc.
812-13676
29167 (03/02/2010)
29195 (03/30/2010)
First Trust/Aberdeen Global Opportunity Income Fund, et al.
812-13161
29163 (02/26/2010)
29189 (03/24/2010)
MFS Government Markets Income Trust, et al.
812-13482
28987 (10/29/2009)
29063 (11/24/2009)
Pioneer Diversified High Income Trust, et al.
812-13432
28947 (10/16/2009)
28995 (11/10/2009)
Neuberger Berman Management LLC, et al.
812-13086
28945 (10/14/2009)
28994 (11/10/2009)
Evergreen Income Advantage Fund, et al.,
812-13030
28938 (09/30/2009)
28985 (10/27/2009)
Alpine Global Dynamic Dividend Fund, et al.
812-13630
28897 (09/04/2009)
28937 (09/30/2009)
Clough Global Allocation Fund, et al.
812-13105
28850 (08/24/2009)
28904 (09/21/2009)
Reaves Utility Income Fund, et al.
812-13200
28818 (07/14/2009)
28843 (08/11/2009)
The Blackrock Investment Quality Municipal Trust Inc.
812-13235
28690 (04/07/2009)
28719 (05/05/2009)
Eaton Vance Enhanced Equity Income Fund, et al.
812-13586
28616 (02/10/2009)
28643 (03/10/2009)
MacQuarie Global Infrastructure Total, et al.
812-13397
28579 (01/06/2009)
28611 (02/03/2009)
SunAmerica Focused Alpha Growth Fund, Inc., et al.
812-13239
28578 (01/06/2009)
28612 (02/03/2009)
Boulder Total Return Fund, Inc., et al.
812-13077
28442 (10/20/2008)
28486 (11/17/2008)
The Zweig Total Return Fund, Inc., et al.
812-13497
28441 (10/20/2008)
28485 (11/17/2008)
Calamos Convertible Opportunities and Income Fund, et al.
812-13063
28435 (10/07/2008)
28483 (11/04/2008)
John Hancock Income Securities Trust
812-13357
28372 (08/29/2008)
28389 (09/24/2008)
PIMCO Municipal Income Fund, et al.
812-13381
28370 (08/29/2008)
28412 (09/26/2008)
DNP Select Income Fund Inc., et al.
812-13377
28348 (07/31/2008)
28368 (08/26/2008)
Cohen & Steers Advantage Income Realty Fund, Inc
812-13152
28341 (07/24/2008)
28358 (08/19/2008)
The Mexico Fund, Inc., et al.
812-13454
28332 (07/17/2008)
28357 (08/12/2008)
ING Clarion Real Estate Income Fund
812-13074
28329 (07/08/2008)
28352 (08/05/2008)
Employees Securities Company
Investment Company
File No.
Notice
Order
Viking Global Equities II LP and Viking Global Investors LP
813-00405
34615 (06/14/2022)
34646 (07/12/2022)
Point72 Employee Investment Fund, L.P. and Point72 Asset Management, L.P.
813-00393
34365 (08/26/2021)
34365A (09/15/2021)
34568 (04/21/2022)
Signature PE Fund, LLC and McDermott Will & Emery LLP
813-00395
34145 (12/21/2020)
34175 (01/19/2021)
Citadel Enterprise Americas LLC (formerly Citadel LLC) and CEIF LLC
813-00397
34143 (12/18/2020)
34173 (01/13/2021)
Two Sigma Investments, LP and Two Sigma Luna, LLC
813-00389
33811 (03/05/2020)
33846 (04/22/2020)
Lazard Asset Management LLC and Lazard ESC Funds LLC
813-00394
33709 (12/03/2019)
33741 (01/08/2020)
Tudor Investment Corporation and Tudor Employee Investment Fund LLC
813-00391
33492 (05/23/2019)
33510 (06/17/2019)
Hudson Advisors L.P., et al.
813-00387
32804 (08/31/2017)
32834 (09/26/2017)
The Boston Consulting Group, Inc. and Green Falcon Investors I, L.P.
813-00386
32713 (06/27/2017)
32739 (07/25/2017)
AllianceBernstein L.P. and AllianceBernstein U.S. Real Estate (Employee) Fund II, L.P.
813-00384
32095 (04/25/2016)
32121 (05/23/2016)
Ares Management LLC
813-00385
32020 (03/02/2016)
32058 (03/29/2016)
Kohlberg Kravis Roberts & Co. L.P., et al.
813-382
31070 (06/03/2014)
31141 (07/01/2014)
UBS AG, et al.
813-336
31019 (04/17/2014)
31042 (05/13/2014)
Citadel LLC, et al.
813-383
30589 (07/03/2013)
30637 (07/30/2013)
Invesco Advisers, Inc., et al.
813-180-09
30581 (06/26/2013)
30609 (07/23/2013)
JPMorgan Chase & Co., et al.
813-370
30465 (04/16/2013)
30520 (05/14/2013)
Stetson Capital Fund LP and Davis Polk & Wardwell LLP
813-310
30438 (03/27/2013)
30475 (04/23/2013)
WINCO Investment Partnership 2008 L.P. and Winstead PC
813-374
30374 (01/31/2013)
30407 (02/26/2013)
Alvarez & Marsal, Inc., et al.
813-379
30183 (08/28/2012)
30214 (09/25/2012)
P.E. Partners III, LLC, et al.
813-248
30143 (07/20/2012)
30170 (08/16/2012)
SK Private Investment Fund 1998 LLC, et al.
813-194
30060 (05/04/2012)
30091 (05/31/2012)
Jefferies Employees Special Opportunities Partners, LLC, et al.
813-228
30007 (03/23/2012)
30037 (04/18/2012)
Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC
813-377
29851 (10/27/2011)
29869 (11/22/2011)
Capital International, Inc., et al.
813-353
29577 (02/10/2011)
29596 (03/08/2011)
RIEF RMP LLC and Renaissance Technologies LLC
813-358
29446 (09/28/2010)
29489 (10/26/2010)
Elfun Trusts, et al.
813-373
29441 (09/27/2010)
29485 (10/25/2010)
Tudor Employee Investment Fund LLC and Tudor Investment Corporation
813-359
29409 (09/03/2010)
29449 (09/29/2010)
The Blackstone Group, L.P.
813-375
29378 (08/05/2010)
29406 (08/31/2010)
William Blair & Company, L.L.C.
813-274
28700 (04/22/2009)
28727 (05/20/2009)
TWB Investment Partnership L.P.
813-332
28528 (12/09/2008)
28576 (01/06/2009)
Wortham Finance L.P.
813-365
28484 (11/10/2008)
28529 (12/09/2008)
HLHZ Investments LLC
813-355
28428 (09/30/2008)
28473 (10/28/2008)
American International Group, Inc., et al.
813-369
28286 (05/23/2008)
28301 (06/18/2008)
Bessemer Group, Inc., et al.
813-362
28258 (04/29/2008)
28289 (05/28/2008)
Kiewit Investment Fund
813-367
28047 (11/05/2007)
28076 (12/11/2007)
Tower 21st Century Fund
813-350
28046 (11/08/2007)
28072 (12/04/2007)
Raymond James Employee
813-326
28012 (10/11/2007)
28043 (11/06/2007)
Silas Partners I, LLC, et al.
813-264
27770 (03/27/2007)
27782 (04/24/2007)
SA Investment Partnership LLC, et al.
813-284
27747 (03/05/2007)
27774 (04/02/2007)
Opal Private Equity Fund, LP and Schottenstein, Zox & Dunn Co., L.P.A.
813-356
27612 (12/27/2006)
27675 (01/23/2007)
Exchange Traded Funds – Active
Investment Company
File No.
Notice
Order
IndexIQ Active ETF Trust and IndexIQ Advisors LLC
812-15294
34554 (04/04/2022)
34574 (04/29/2022)
Principal Exchange-Traded Funds, et al.
812-15308
34550 (03/30/2022)
34571 (04/26/2022)
Northern Lights Fund Trust IV, et al.
812-15282
34516 (02/24/2022)
34537 (03/22/2022)
Thrivent ETF Trust, et al.
812-15288
34507 (02/15/2022)
34534 (03/15/2022)
DoubleLine ETF Trust, et al.
812-15273
34499 (02/09/2022)
34527 (03/08/2022)
John Hancock Exchange-Traded Fund Trust, et al.
812-15235
34468 (01/10/2022)
34496 (02/07/2022)
FMI Funds, Inc., et al.
812-15228
34451 (12/22/2021)
34475 (01/19/2022)
Capital Group ETF Trust, et al.
812-15225
34446 (12/22/2021)
34473 (01/19/2022)
Columbia ETF Trust I, et al.
812-15239
34345 (07/27/2021)
34359 (08/24/2021)
Fidelity Beach Street Trust, et al.
812-15175
34326 (07/09/2021)
34350 (08/05/2021)
Hartford Funds Exchange-Traded Trust, et al.
812-15232
34324 (07/07/2021)
34351 (08/05/2021)
Schwab Strategic Trust, et al.
812-15216
34298 (06/11/2021)
34323 (07/07/2021)
T. Rowe Price Associates, Inc., et al.
812-15197
34248 (04/22/2021)
34272 (05/18/2021)
Putnam ETF Trust, et al.
812-15203
34245 (04/15/2021)
34266 (05/10/2021)
The Advisors’ Inner Circle Fund, Cambiar Investors, LLC and Sei Investments Distribution Co.
812-15191
34244 (04/13/2021)
34268 (05/11/2021)
Nuveen Fund Advisors, LLC, et al.
812-15199
34243 (04/08/2021)
34265 (05/04/2021)
Blue Tractor ETF Trust and Blue Tractor Group, LLC
812-15162
34194 (02/10/2021)
34221 (03/09/2021)
The RBB Fund, Inc., et al.
812-15165
34189 (02/05/2021)
34215 (02/26/2021)
Activeshares ETF Trust, et al.
812-15178
34172 (01/12/2021)
34191 (02/09/2021)
Natixis ETF Trust II, et al.
812-15157
34171 (01/12/2021)
34192 (02/09/2021)
Invesco Capital Management LLC, et al.
812-15182
34170 (01/12/2021)
34193 (02/09/2021)
Alps ETF Trust, et al.
812-15169
34149 (12/22/2020)
34181 (01/21/2021)
Advisorshares Trust, et al.
812-15146
34092 (11/12/2020)
34131 (12/08/2020)
Invesco Capital Management LLC, et al.
812-15070
34087 (11/06/2020)
34127 (12/02/2020)
Invesco Capital Management LLC, et al.
812-15141
34041 (10/01/2020)
34076 (10/27/2020)
Blackrock ETF Trust III, et al.
812-15133
34000 (08/31/2020)
34030 (09/28/2020)
Spinnaker ETF Series, et al.
812-15123
33998 (08/28/2020)
34018 (09/23/2020)
Spinnaker ETF Series, et al.
812-15122
33929 (07/17/2020)
33969 (08/12/2020)
J.P. Morgan Exchange-Traded Fund Trust, et al.
812-15093
33923 (07/10/2020)
33965 (08/05/2020)
The Alger ETF Trust, et al.
812-15117
33852 (04/23/2020)
33869 (05/19/2020)
American Century ETF Trust, et al.
812-15082
33841 (04/16/2020)
33862 (05/12/2020)
T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc.
812-14214
33685 (11/14/2019)
33713 (12/10/2019)
Natixis ETF Trust II, et al.
812-14870
33684 (11/14/2019)
33711 (12/10/2019)
Fidelity Beach Street Trust, et al.
812-14364
33683 (11/14/2019)
33712 (12/10/2019)
Blue Tractor ETF Trust and Blue Tractor Group, LLC
812-14625
33682 (11/14/2019)
33710 (12/10/2019)
Gabelli ETFs Trust, et al.
812-15036
33681 (11/05/2019)
33708 (12/03/2019)
Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC.
812-15034
33631 (09/24/2019)
33834 (04/03/2020;
Order Permitting
Withdrawal of
Application)
American Century ETF Trust, et al.
812-15035
33590 (08/14/2019)
33620 (09/10/2019)
Alaia Capital, LLC and m+ ETF Trust
812-15022
33580 (07/30/2019)
33621 (09/10/2019)
ETF Opportunities Trust, et al.
812-15014
33579 (07/29/2019)
33609 (08/26/2019)
Liquid Strategies, LLC and Listed Funds Trust
812-15026
33576 (07/24/2019)
33596 (08/20/2019)
Zacks Investment Management, Inc. and Zacks Trust
812-14984
33565 (07/23/2019)
33593 (08/20/2019)
Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds
812-14991
33516 (06/20/2019)
33555 (07/16/2019)
Pioneer ETF Series Trust I, et al.
812-15018
33506 (06/12/2019)
33546 (07/08/2019)
Collaborative Investment Series Trust and Belpointe Asset Management, LLC
812-14953
33472 (05/10/2019)
33502 (06/05/2019)
iM Global Partner US LLC and Manager Directed Portfolios
812-14944
33431 (03/28/2019)
33451 (04/23/2019)
TigerShares Trust, et al.
812-14980
33392 (03/07/2019)
33438 (04/02/2019)
Pacer Funds Trust, et al.
812-14974
33374 (02/13/2019)
33397 (03/12/2019)
Victory Capital Management Inc., et al.
812-14985
33371 (02/08/2019)
33390 (03/06/2019)
Yleana Advisors, LLC and Yleana Trust
812-14966
33370 (02/06/2019)
AQR Trust and AQR Capital Management, LLC
812-14811
33342 (12/21/2018)
33347 (01/28/2019)
RYZZ Capital Management, LLC, et al.
812-14961
33332 (12/19/2018)
33362 (01/31/2019)
OSI ETF Trust, et al.
812-14960
33330 (12/19/2018)
33366 (02/01/2019)
Người nào Funds, Inc. and Deep A.I. ETF Trust
812-14912
33327 (12/18/2018)
33348 (01/29/2019)
Pacific Global ETF Trust and Cadence Capital Management LLC
812-14933
33320 (12/11/2018)
33353 (01/29/2019)
Toroso Investments, LLC and Tidal ETF Trust
812-14924
33288 (11/05/2018)
33313 (12/03/2018)
Procure Active ETF Trust, et al.
812-14772
33273 (10/17/2018)
33292 (11/07/2018)
Motley Fool Asset Management, LLC and The RBB Fund, Inc.
812-14888
33141 (06/28/2018)
33167 (07/24/2018)
Aptus Capital Advisors, LLC and ETF Series Solutions
812-14880
33120 (06/12/2018)
33154 (07/10/2018)
Sprott ETF Trust and Sprott Asset Management USA Inc.
812-14871
33112 (06/01/2018)
33138 (06/28/2018)
DMS ETF Trust I, et al.
812-14885
33103 (05/22/2018)
33125 (06/19/2018)
U.S. Global Investors, Inc. et al.
812-14869
33092 (05/09/2018)
33118 (06/05/2018)
Destra Exchange-Traded Fund Trust, et al.
812-14789
33049 (03/14/2018)
33069 (04/10/2018)
Nationwide Fund Advisors and ETF Series Solutions
812-14849
33042 (03/08/2018)
33065 (04/03/2018)
Little Harbor Advisors, LLC and ETF Series Solutions
812-14845
33035 (02/26/2018)
33057 (03/26/2018)
Gadsden ETF Trust and Gadsden, LLC
812-14859
32999 (01/30/2018)
33040 (03/07/2018)
EquBot LLC and ETF Series Solutions
812-14858
32993 (01/26/2018)
33009 (02/21/2018)
FQF Trust, et al.
812-14742
32942 (12/19/2017)
32970 (01/17/2018)
CBOE Vest Financial, LLC, et al.
812-14801
32896 (11/07/2017)
32932 (12/04/2017)
Reinhart Partners, Inc., et al.
812-14830
32892 (11/01/2017)
32924 (11/28/2017)
USCF Fund Advisors, LLC, et al.
812-14340
32851 (10/04/2017)
32889 (10/31/2017)
American Century ETF Trust and American Century Investment Management, Inc.
812-14793
32838 (09/28/2017)
32871 (10/25/2017)
Active Weighting Funds ETF Trust and Active Weighting Advisors LLC
812-14696
32820 (09/18/2017)
32859 (10/11/2017)
Innovator ETFs Trust, et al.
812-14781
32812 (09/11/2017)
32854 (10/06/2017)
The Vanguard Group, Inc., et al.
812-14691
32810 (09/08/2017)
32852 (10/04/2017)
Northern Lights Fund Trust and Toews Corporation
812-14787
32733 (07/14/2017)
32777 (08/08/2017)
Northern Lights Fund Trust IV and Main Management ETF Advisors, LLC
812-14747
32662 (05/25/2017)
32686 (06/20/2017)
ClearShares, LLC et al.
812-14739
32620 (05/01/2017)
32665 (05/30/2017)
Formula Folio Investments, LLC and Northern Lights Fund Trust IV
812-14695
32607 (04/20/2017)
32637 (05/16/2017)
Precidian ETFs Trust, et al.
812-14584
32596 (04/05/2017)
32622 (05/02/2017)
Spinnaker ETF Trust, et al.
812-14397
32568 (03/22/2017)
32601 (04/18/2017)
StrongVest ETF Trust, et al.
812-14701
32471 (02/07/2017)
32522 (03/07/2017)
Hartford Funds Exchange-Traded Trust, et al.
812-13828-01
32413 (01/04/2017)
32454 (01/27/2017)
Krane Funds Advisors, LLC, et al.
812-14675
32412 (01/04/2017)
32455 (01/27/2017)
Morgan Stanley ETF Trust, et al.
812-14655
32405 (12/28/2016)
32431 (01/24/2017)
Legg Mason ETF Equity Trust, et al.
812-14547
32360 (11/16/2016)
32391 (12/13/2016)
Foreside Advisor Services, LLC, et al.
812-14659
32256 (09/09/2016)
32304 (10/05/2016)
Regents Park Funds, LLC, et al.
812-14658
32249 (08/31/2016)
32291 (09/27/2016)
Voya ETF Trust, et al.
812-14571
32246 (08/30/2016)
32287 (09/27/2016)
Davis Fundamental ETF Trust, et al.
812-14632
32219 (08/16/2016)
32260 (09/13/2016)
TrimTabs ETF Trust, et al.
812-14661
32208 (08/04/2016)
32244 (08/30/2016)
ETF Managers Group LLC, et al.
812-14598
32142 (06/08/2016)
32171 (07/06/2016)
Madison ETF Trust and Madison ETF Advisers, LLC.
812-14527
32093 (04/25/2016)
32120 (05/23/2016)
Pointbreak Advisers LLC, et al.
812-14577
32023 (03/07/2016)
32064 (04/04/2016)
Advisors Asset Management, Inc. and AAM ETF Trust
812-14535
32015 (03/01/2016)
32055 (03/29/2016)
J.P. Morgan Exchange-Traded Fund Trust, et al.
812-13761
31956 (01/14/2016)
31990 (02/09/2016)
Good Hill Partners LP and Good Hill ETF Trust
812-14507
31897 (11/06/2015)
31923 (12/02/2015)
The Glenmede Portfolios and Glenmede Investment Management LP
812-14484
31801 (08/31/2015)
31851 (09/28/2015)
New York Alaska ETF Management LLC, et al.
812-14419
31667 (06/12/2015)
31709 (07/08/2015)
Nuveen Fund Advisors, LLC, et al.
812-14428
31664 (06/08/2015)
31705 (07/06/2015)
Amplify Investments LLC and Amplify ETF Trust
812-14423
31545 (04/01/2015)
31582 (04/28/2015)
Janus ETF Trust, et al.
812-13819
31492 (03/03/2015)
31540 (03/30/2015)
Exceed Advisory LLC and Exceed ETFs
812-14234
31446 (02/04/2015)
31494 (03/03/2015)
Capital Group ETF Trust, et al.
812-14338
31441 (02/02/2015)
31491 (03/02/2015)
Alphamark Advisors, LLC, et al.
812-14402
31430 (01/28/2015)
31469 (02/24/2015)
Goldman Sachs ETF Trust, et al.
812-14362
31427 (01/26/2015)
31466 (02/23/2015)
Dreyfus ETF Trust, et al.
812-14283
31365 (12/03/2014)
31403 (12/30/2014)
ETF Securities Advisors LLC, et al.
812-14271
31319 (10/24/2014)
31340 (11/19/2014)
Spruce ETF Trust, et al.
812-13953
31301 (10/21/2014)
31337 (11/14/2014)
Precidian ETFs Trust, et al.
812-14116
31300 (10/21/2014)
31336 (11/14/2014)
Validea Capital Management, LLC, et al.
812-14322
31246 (09/09/2014)
31277 (10/07/2014)
Innovator Management LLC and Academy Funds Trust
812-14308
31209 (08/13/2014)
31248 (09/09/2014)
Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust
812-14323
31156 (07/15/2014)
31205 (08/12/2014)
Elkhorn Investments, LLC and Elkhorn ETF Trust
812-14262
31089 (06/19/2014)
31158 (07/15/2014)
Global X Funds, Global X Management Company LLC, and Sei Investments Distribution
Company
812-14241
31084 (06/17/2014)
31153 (07/14/2014)
Prudential Investments LLC, et al.
812-14267
31063 (05/29/2014)
31095 (06/24/2014)
ARK ETF Trust, et al.
812-14172
31009 (04/07/2014)
31034 (04/29/2014)
Direxion Shares ETF Trust, et al
812-14269
31002 (04/03/2014)
31032 (04/29/2014)
Empowered Funds, LLC and Empowered Funds ETF Trust
812-14245
30988 (03/21/2014)
31018 (04/16/2014)
Cohen & Steers Capital Management, Inc., et al.
812-14229
30924 (02/24/2014)
30987 (03/21/2014)
Acacia Asset Management LLC and Acacia Trust
812-14237
30915 (02/11/2014)
30978 (03/11/2014)
USAA Asset Management Company, et al.
812-14140
30891 (01/23/2014)
30921 (02/19/2014)
DBX ETF Trust, et al.
812-14004
30770 (10/29/2013)
30811 (11/26/2013)
VTL Associates, LLC, et al.
812-14200
30763 (10/24/2013)
30789 (11/19/2013)
Syntax Analytics, LLC and Syntax ETF Trust
812-14175
30747 (10/18/2013)
30782 (11/13/2013)
Principal Management Corporation, et al.
812-14136
30692 (09/20/2013)
30742 (10/16/2013)
Horizons ETFs Management (USA) LLC and Horizons ETF Trust
812-14178
30680 (08/27/2013)
30695 (09/24/2013)
Ranger Alternative Management, L.P. and Ranger Funds Investment Trust
812-14071
30639 (08/01/2013)
30677 (08/27/2013)
GENCAP Strategies LLC, et al.
812-14048
30635 (07/30/2013)
30676 (08/27/2013)
Calamos Advisors LLC, et al.
812-14169
30628 (07/24/2013)
30653 (08/20/2013)
NGAM Advisors, L.P., et al.
812-13941
30594 (07/09/2013)
30643 (08/06/2013)
FlexShares Trust, et al.
812-14150
30593 (07/09/2013)
30645 (08/06/2013)
Charles Schwab Investment Management, Inc., et al.
812-14009
30584 (06/27/2013)
30606 (07/23/2013)
ETF Issuer Solutions Inc., et al.
812-14080
30568 (06/26/2013)
30607 (07/23/2013)
ProShares Advisors LLC, et al.
812-14041
30527 (05/21/2013)
30562 (06/18/2013)
ALPS ETF Trust, et al.
812-13884
30519 (05/14/2013)
30553 (06/11/2013)
ERNY Financial ETF Trust and ERNY Financial Advisors, LLC
812-14146
30514 (05/13/2013)
30552 (06/10/2013)
Forum Investment Advisors, LLC, et al.
812-13915
30507 (05/06/2013)
30549 (06/04/2013)
Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc.
812-13886
30503 (05/02/2013)
30543 (05/29/2013)
John Hancock Exchange-Traded Fund Trust, et al.
812-13734
30469 (04/18/2013)
30518 (05/14/2013)
Fidelity Merrimack Street Trust, et al.
812-14104
30464 (04/16/2013)
30513 (05/10/2013)
Neuberger Berman ETF Trust and Neuberger Berman Management LLC
812-13848
30436 (03/25/2013)
30473 (04/22/2013)
Exchange Traded Concepts Trust, et al.
812-13969
30415 (03/07/2013)
30445 (04/02/2013)
Emerging Global Advisors, LLC, et al.
812-14117
30382 (02/13/2013)
30423 (03/12/2013)
Exchange Traded Spreads Trust, et al.
812-13486
30346 (01/09/2013)
30378 (02/05/2013)
Pyxis Capital, L.P., et al.
812-13489-01
30316 (12/21/2012)
30352 (01/16/2013)
Franklin Advisers, Inc., et al.
812-14042
30312 (12/19/2012)
30350 (01/15/2013)
AllianceBernstein Active ETFs, Inc., et al.
812-13797
30305 (12/13/2012)
30343 (01/08/2013)
Cambria Investment Management, L.P. and Cambria ETF Trust
812-13959
30302 (12/12/2012)
See also: IC-30286
30340 (01/04/2013)
T. Rowe Price Associates, Inc., et al.
812-13726
30299 (12/07/2012)
30336 (01/02/2013)
Cambria Investment Management, L.P. and Cambria ETF Trust
812-13959
30286 (11/30/2012)
See also IC-30302
30340 (01/04/2013)
Salient Advisors, L.P. and MarketShares ETF Trust
812-13974
30254 (10/31/2012)
30281 (11/27/2012)
Legg Mason ETF Trust, et al.
812-13757
30237 (10/22/2012)
30265 (11/16/2012)
IndexIQ Advisors LLC, et al.
812-13956
30166 (08/13/2012)
30198 (09/10/2012)
Arrow Investment Advisers, LLC, et al.
812-13937
30100 (06/07/2012)
30127 (07/03/2012)
Federated Investment Management Company and Federated ETF Trust
812-13946
30093 (06/01/2012)
30123 (06/26/2012)
Northern Trust Investments, Inc., et al.
812-13868
30045 (04/24/2012)
30068 (05/22/2012)
Huntington Asset Advisors, Inc., et al.
812-13785
30032 (04/10/2012)
30061 (05/08/2012)
First Trust Exchange-Traded Fund, et al.
812-13795
29983 (03/15/2012)
30029 (04/10/2012)
RiverPark Advisors, LLC, et al.
812-13755
29840 (10/19/2011)
29863 (11/17/2011)
Russell Exchange Traded Funds Trust, et al.
812-13815
29706 (06/22/2011)
29727 (07/19/2011)
Eaton Vance Management, et al.
812-13759
29591 (03/01/2011)
29620 (03/30/2011)
iShares Trust, et al.
812-13601
29543 (12/27/2010)
29571 (01/24/2011)
SSgA Funds Management, Inc., et al.
812-13487
29499 (11/17/2010)
29524 (12/13/2010)
Van Eck Associates Corporation, et al.
812-13605
29459 (10/07/2010)
29496 (11/03/2010)
AdvisorShares Investment
812-13677
29264 (05/06/2010)
29291 (05/28/2010)
Claymore Exchange-Traded Fund Trust 3
812-13534
29256 (04/23/2010)
29271 (05/18/2010)
Pacific Investment Management Company LLC and PIMCO ETF Trust
812-13571
28948 (10/20/2009)
28993 (11/10/2009)
Grail Partners LLC, et al.
812-13440
28571 (12/23/2008)
28604 (01/16/2009)
AdvisorShares Investments, LLC and AdvisorShares Trust
812-13488
28568 (12/23/2008)
28822 (07/20/2009)
First Trust Exchange-Traded Fund III, et al.
812-13477
28421 (09/29/2008)
28468 (10/27/2008)
WisdomTree Investments, Inc., et al.
812-13458
28419 (09/28/2008)
28471 (10/27/2008)
PowerShares Capital Management LLC
812-13491
28411 (09/29/2008)
28467 (10/27/2008)
WisdomTree Trust, et al.
812-13470
28147 (02/06/2008)
28174 (02/27/2008)
Barclays Global Fund Advisors, et al.
812-13485
28146 (02/06/2008)
28173 (02/27/2008)
Bear Stearns Asset Management, Inc., et al.
812-13352
28143 (02/06/2008)
28172 (02/27/2008)
PowerShares Capital Management LLC, et al.
812-13386
28140 (02/01/2008)
28171 (02/27/2008)
Exchange Traded Funds – Index
Investment Company
File No.
Notice
Order
New Age Alpha Advisors, LLC and New Age Alpha Trust
812-14998
33606 (08/21/2019)
33628 (09/17/2019)
Zacks Investment Management, Inc. and Zacks Trust
812-14983
33564 (07/23/2019)
33592 (08/20/2019)
Northern Lights Fund Trust III, et al.
812-15032
33551 (07/11/2019)
33585 (08/09/2019)
WicShares Trust and Water Island Capital, LLC
812-15039
33535 (06/27/2019)
33584 (08/08/2019)
Wahed Invest LLC, et al.
812-14994
33507 (06/12/2019)
33549 (07/09/2019)
Toroso Investments, LLC and Tidal ETF Trust
812-14996
33469 (05/08/2019)
33499 (06/03/2019)
M-CAM International LLC, et al.
812-14995
33450 (04/23/2019)
33479 (05/21/2019)
Roundhill Financial LLC and Listed Funds Trust
812-14981
33446 (04/12/2019)
33471 (05/08/2019)
O’Shaughnessy Asset Management, LLC, et al.
812-14929
33395 (03/11/2019)
33443 (04/09/2019)
Infusive US Trust, et al.
812-14938
33385 (03/01/2019)
33430 (03/27/2019)
OBP Capital LLC, et al.
812-14887
33381 (02/21/2019)
33402 (03/19/2019)
Acquirers Funds, LLC, et al.
812-14954
33380 (02/21/2019)
33403 (03/19/2019)
Toroso Investments, LLC and Tidal ETF Trust
812-14939
33378 (02/21/2019)
33433 (03/29/2019)
Yleana Advisors, LLC and Yleana Trust
812-14965
33368 (02/06/2019)
AQR Trust and AQR Capital Management, LLC
812-14812
33343 (12/21/2018)
33346 (01/28/2019)
Timothy Plan and Timothy Partners, Ltd.
812-14958
33331 (12/19/2018)
33352 (01/29/2019)
Hoya Capital Real Estate, LLC, et al.
812-14969
33325 (12/17/2018)
33359 (01/29/2019)
Pacific Global ETF Trust and Cadence Capital Management LLC
812-14934
33296 (11/19/2018)
33326 (12/17/2018)
ABR Dynamic Funds, LLC, et al.
812-14920
33295 (11/14/2018)
33321 (12/11/2018)
Beyond Advisors IC, et al.
812-14936
33277 (10/22/2018)
33297 (11/19/2018)
Procure ETF Trust I, et al.
812-14771
33274 (10/17/2018)
33291 (11/07/2018)
Vident Advisory, LLC et al.
812-14923
33263 (10/03/2018)
33284 (10/30/2018)
Distillate Capital Partners LLC, et al.
812-14906
33244 (09/24/2018)
33276 (10/22/2018)
Wealthn LLC and TigerShares Trust
812-14919
33223 (09/11/2018)
33266 (10/10/2018)
Cushing Asset Management, LP et al.
812-14918
33206 (08/21/2018)
33264 (10/05/2018)
IndexIQ ETF Trust, et al.
812-14889
33163 (07/19/2018)
33200 (08/14/2018)
DMS ETF Trust I, et al.
812-14886
33148 (07/06/2018)
33189 (08/01/2018)
Defiance ETFs, LLC, et al.
812-14879
33136 (06/27/2018)
33165 (07/23/2018)
Impact Shares Trust I, et al.
812-14846
33134 (06/21/2018)
33160 (07/17/2018)
Sprott ETF Trust and Sprott Asset Management USA Inc.
812-14872
33123 (06/15/2018)
33155 (07/10/2018)
Redwood Investment Management, LLC and Two Roads Shared Trust
812-14873
33076A (04/26/2018)
33100 (05/21/2018)
BMO Exchange Traded Funds, et al.
812-14521
33079 (04/24/2018)
33102 (05/21/2018)
Destra Exchange-Traded Fund Trust, et al.
812-14788
33048 (03/14/2018)
33071 (04/10/2018)
Salt Financial, LLC, et al.
812-14847
32974 (01/23/2018)
33007 (02/21/2018)
Validea Capital Management, LLC, et al.
812-14805
32952 (12/26/2017)
33002 (02/06/2018)
Calvert Research and Management and Calvert ETF Trust
812-14820
32935 (12/06/2017)
32959 (01/03/2018)
CBOE Vest Financial, LLC, et al.
812-14800
32933 (12/04/2017)
32991 (01/25/2018)
Regents Park Funds, LLC and Two Roads Shared Trust
812-14834
32931 (12/01/2017)
32954 (12/27/2017)
American Century ETF Trust and American Century Investment Management, Inc.
812-14794
32928 (11/29/2017)
32955 (12/27/2017)
32955A (01/02/2018)
Motley Fool Asset Management, LLC, et al.
812-14804
32899 (11/17/2017)
32962 (01/03/2018)
Whitford Asset Management, LLC, et al.
812-14817
32853 (10/04/2017)
32890 (10/31/2017)
EntrepreneurShares Series Trust, et al.
812-14803
32847 (10/03/2017)
32887 (10/30/2017)
Wells Fargo Exchange-Traded Funds Trust, et al.
812-14681
32836 (09/27/2017)
32869 (10/24/2017)
Innovator ETFs Trust, et al.
812-14782
32811 (09/11/2017)
32856 (10/06/2017)
SL Advisors, LLC, et al.
812-14802
32801 (08/30/2017)
32832 (09/26/2017)
Sage Advisory Services LTD Co. and Northern Lights Fund Trust IV
812-14792
32774 (08/04/2017)
32806 (08/31/2017)
Northern Lights Fund Trust and Toews Corporation
812-14761
32770 (08/01/2017)
32800 (08/29/2017)
Change Finance, PBC, et al.
812-14746
32763 (07/27/2017)
32793 (08/23/2017)
Point Bridge Capital, LLC, et al.
812-14763
32738 (07/21/2017)
32781 (08/15/2017)
Nationwide Fund Advisors, et al.
812-14751
32727 (07/06/2017)
32771 (08/01/2017)
Transamerica ETF Trust, et al.
812-14649
32718 (06/30/2017)
32743 (07/26/2017)
Dreyfus ETF Trust
812-14703
32666 (05/30/2017)
32711 (06/26/2017)
PIMCO Equity Series, et al.
812-14715
32661 (05/25/2017)
32685 (06/20/2017)
TriLine Index Solutions, LLC, et al.
812-14750
32608 (04/21/2017)
32639 (05/17/2017)
Parker Global Strategies, LLC
812-14709
32528 (03/10/2017)
32595 (04/05/2017)
Morgan Stanley ETF Trust, et al.
812-14656
32484 (02/21/2017)
32539 (03/21/2017)
Tortoise Index Solutions, LLC, et al.
812-14706
32512 (02/27/2017)
32579 (03/28/2017)
USAA ETF Trust, et al.
812-14692
32511 (02/27/2017)
32576 (03/27/2017)
StrongVest ETF Trust, et al.
812-14700
32453 (01/26/2017)
32507 (02/22/2017)
Northern Lights Fund Trust IV and Blue Sky Asset Management, LLC
812-14690
32401 (12/23/2016)
32426 (01/18/2017)
Alpha Architect ETF Trust, et al.
812-14663
32389 (12/12/2016)
32418 (01/09/2017)
CWM Advisors, LLC, et al.
812-14685
32375 (12/01/2016)
32404 (12/28/2016)
OWLshares Trust, et al.
812-14485
32363 (11/22/2016)
32396 (12/20/2016)
Prudential ETF Trust, et al.
812-14633
32351 (11/01/2016)
32374 (11/30/2016)
Hartford Funds Exchange-Traded Trust, et. al.
812-14592
32307 (10/06/2016)
32350 (11/01/2016)
Foreside ETF Trust, et al.
812-14660
32284 (09/26/2016)
32323 (10/24/2016)
SerenityShares Investments LLC, et al.
812-14641
32283 (09/26/2016)
32325 (10/24/2016)
Global X Funds, et al.
812-14549
32262 (09/14/2016)
32311 (10/12/2016)
Dhandho ETF Trust and Dhandho Funds LLC
812-14665
32255 (09/09/2016)
32305 (10/05/2016)
Voya ETF Trust, et al.
812-14572
32248 (08/30/2016)
32288 (09/27/2016)
Rational Advisors, Inc. and Strategy Shares
812-14657
32243 (08/30/2016)
32292 (09/27/2016)
iShares Trust, et al.
812-14678
32235 (08/24/2016)
32268 (09/20/2016)
OSI ETF Trust, et al.
812-14643
32204 (08/02/2016)
32247 (08/30/2016)
CSat Investment Advisory, L.P., et al.
812-14650
32196 (07/28/2016)
32225 (08/23/2016)
Fidelity Commonwealth Trust, et al.
812-14651
32166 (06/29/2016)
32191 (07/26/2016)
Columbia ETF Trust I, et al.
812-14552
32107 (05/05/2016)
32134 (05/31/2016)
Franklin Templeton ETF Trust, et al.
812-14566
32105 (05/05/2016)
32133 (05/31/2016)
Aptus Capital Advisors, LLC, et al.
812-14604
32071 (04/13/2016)
32110 (05/10/2016)
Nuveen Fund Advisors, LLC, et al.
812-14557
32069 (04/12/2016)
32111 (05/10/2016)
Madison ETF Trust and Madison ETF Advisers, LLC
812-14528
32065 (04/04/2016)
32100 (05/02/2016)
Advisors Asset Management, Inc. and AAM ETF Trust
812-14537
32063 (03/31/2016)
32096 (04/26/2016)
FactorShares Trust, et al.
812-14511
32062 (03/30/2016)
32098 (04/26/2016)
Premise Capital, LLC
812-14555
32033 (03/21/2016)
32074 (04/18/2016)
Charles Schwab Investment Management, Inc., et al.
812-14481
32014 (02/29/2016)
32052 (03/25/2016)
CLS Investments, LLC, et al.
812-14554
32011 (02/29/2016)
32053 (03/25/2016)
Innovator Management LLC, et al.
812-14532
31996 (02/12/2016)
32026 (03/09/2016)
PowerShares Exchange-Traded Self-Indexed Fund Trust, et al.
812-14574
31995 (02/11/2016)
32025 (03/08/2016)
Recon Capital Series Trust, et al.
812-14461
31945 (12/21/2015)
31961 (01/19/2016)
Legg Mason Partners Fund Advisor, LLC, et al.
812-14491
31895 (11/05/2015)
31920 (12/01/2015)
Pointbreak Advisers LLC, et al.
812-14499
31894 (11/05/2015)
31921 (12/01/2015)
SPDR® Series Trust, et al.
812-14512
31884 (10/28/2015)
31917 (11/24/2015)
Good Hill Partners LP and Good Hill ETF Trust
812-14506
31878 (10/22/2015)
31904 (11/17/2015)
ARK ETF Trust, et al.
812-14479
31864 (10/07/2015)
31889 (11/02/2015)
Principal Exchange-Traded Funds, et al.
812-14509
31834 (09/21/2015)
31872 (10/19/2015)
Amplify Investments LLC and Amplify ETF Trust
812-14424
31764 (08/17/2015)
31822 (09/14/2015)
FFI Advisors, LLC, et al.
812-14440
31669 (06/15/2015)
31713 (07/13/2015)
Syntax, LLC and Syntax ETF Trust
812-14385
31590 (04/30/2015)
31650 (05/27/2015)
Highland Funds I, et al.
812-14443
31579 (04/27/2015)
31646 (05/26/2015)
John Hancock Exchange-Traded Fund Trust, et al.
812-13683
31546 (04/02/2015)
31581 (04/28/2015)
Janus ETF Trust, et al.
812-14401
31544 (04/01/2015)
31580 (04/28/2015)
Victory Capital Management Inc., et al.
812-14409
31444 (02/03/2015)
31493 (03/03/2015)
Diamond Hill Capital Management, Inc., et al.
812-14398
31433 (01/28/2015)
31472 (02/24/2015)
CSOP ETF Trust and CSOP Asset Management Limited
812-14353
31432 (01/28/2015)
31471 (02/24/2015)
Goldman Sachs ETF Trust, et al.
812-14361
31428 (01/26/2015)
31465 (02/23/2015)
Pacer Funds Trust, et al.
812-14347
31394 (12/22/2014)
31422 (01/20/2015)
Montage Managers Trust, et al.
812-14393
31382 (12/17/2014)
31410 (01/13/2015)
ETF Securities Advisors LLC, et al.
812-14292
31346 (11/24/2014)
31395 (12/22/2014)
Lattice Strategies, LLC, et al.
812-14318
31343 (11/20/2014)
31380 (12/16/2014)
DBX ETF Trust, et al.
812-14177
31276 (10/06/2014)
31326 (11/03/2014)
Northern Trust Investments, Inc., et al.
812-14289
31264 (09/25/2014)
31299 (10/21/2014)
TrimTabs Asset Management, LLC, et al.
812-14298
31165 (07/22/2014)
31214 (08/19/2014)
USCF Equity Trust, et al.
812-14277
31133 (06/25/2014)
31163 (07/22/2014)
Cohen & Steers ETF Trust, et al.,
812-14230
31090 (06/20/2014)
31157 (07/15/2014)
Elkhorn Investments, LLC and Elkhorn ETF Trust
812-14263
31085 (06/17/2014)
31155 (07/15/2014)
Marketshares ETF Trust, et al.
812-14209
31069 (06/02/2014)
31135 (06/26/2014)
ALPS ETF Trust, ALPS Advisors, Inc., ALPS Distributors, Inc., and ALPS Portfolio Solutions Distributor, Inc.
812-14225
31011 (04/08/2014)
31039 (05/06/2014)
Emerging Global Advisors, LLC, et al.
812-14205
30910 (02/10/2014)
30975 (03/07/2014)
J.P. Morgan Exchange-Traded Fund Trust, et al.
812-13760
30898 (01/30/2014)
30927 (02/24/2014)
IndexIQ ETF Trust, et al.
812-14053
30843 (12/23/2013)
30888 (01/22/2014)
Compass Efficient Model Portfolios, LLC
812-14154
30817 (12/04/2013)
30852 (12/31/2013)
VTL Associates, LLC, et al.
812-14201
30815 (12/02/2013)
30849 (12/30/2013)
Arrow Investment Advisors, LLC and Arrow Investments Trust
812-14157
30813 (11/26/2013)
30846 (12/24/2013)
Horizons ETFs Management (USA) LLC and Horizons ETF Trust
812-14179
30803 (11/21/2013)
30833 (12/17/2013)
WisdomTree Trust, et al.
812-14238
30790 (11/20/2013)
30826 (12/11/2013)
ETFis Series Trust I, et al.
812-14212
30786 (11/15/2013)
30825 (12/11/2013)
Ranger Alternative Management, L.P. and Ranger Funds Investment Trust
812-14131
30778 (11/12/2013)
30824 (12/11/2013)
Cambria ETF Trust, et al.
812-14202
30768 (10/28/2013)
30806 (11/25/2013)
Guinness Atkinson Asset Management, Inc., et al.
812-14137
30735 (09/26/2013)
30751 (10/22/2013)
U.S. Global Investors, Inc., et al.
812-14188
30723 (09/25/2013)
30755 (10/23/2013)
ERNY Financial ETF Trust, et al.
812-14145
30636 (07/30/2013)
30678 (08/27/2013)
Exchange Traded Concepts, LLC, et al.
812-13963
30634 (07/29/2013)
30674 (08/26/2013)
NGAM Advisors, L.P., et al.
812-13942
30630 (07/25/2013)
30654 (08/20/2013)
ProShare Advisors LLC, et al.
812-14087
30583 (06/27/2013)
30605 (07/23/2013)
First Trust Exchange-Traded Fund, et al.
812-14088
30582 (06/26/2013)
30610 (07/23/2013)
Guggenheim Funds Investment Advisors, LLC, et al.
812-13991
30560 (06/14/2013)
30598 (07/10/2013)
Sigma Investment Advisors, LLC, et al.
812-14046
30559 (06/14/2013)
30597 (07/10/2013)
Transparent Value Trust, et al.
812-14121
30558 (06/14/2013)
30596 (07/10/2013)
LocalShares Investment Trust, et al.
812-14085
30523 (05/15/2013)
30555 (06/11/2013)
Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC
812-13887
30459 (04/10/2013)
30506 (05/06/2013)
Sage Quant Management LLC, et al.
812-14035
30439 (03/28/2013)
30476 (04/23/2013)
Krane Funds Advisors LLC., et al.
812-13989
30425 (03/14/2013)
30452 (04/08/2013)
Renaissance Capital Greenwich Funds, et al.
812-13976
30422 (03/11/2013)
30451 (04/08/2013)
Market Vectors ETF Trust, et al.
812-14125
30409 (02/27/2013)
30433 (03/21/2013)
Fidelity Commonwealth Trust, et al.
812-13984
30341 (01/07/2013)
30375 (02/01/2013)
Yorkville ETF Trust and Yorkville ETF Advisors, LLC
812-13874
30306 (12/17/2012)
30349 (01/14/2013)
Foreside Advisor Services, LLC, et al.
812-14023
30284 (11/29/2012)
30318 (12/27/2012)
Northern Trust Investments, Inc., et al.
812-13968
30211 (09/24/2012)
30240 (10/23/2012)
Factor Advisors, LLC, et al.
812-13934
30204 (09/17/2012)
30230 (10/10/2012)
Emerging Global Advisors, LLC, et al.
812-13954
30184 (08/28/2012)
30212 (09/25/2012)
Precidian ETFs Trust, et al.
812-13981
30101 (06/08/2012)
30129 (07/05/2012)
Highland Capital Management, L.P., et al.
812-13478
29890 (12/19/2011)
29918 (01/17/2012)
Global X Funds, et al.
812-13830
29829 (09/30/2011)
29852 (10/28/2011)
NT ETF Trust
812-13773
29752 (08/10/2011)
29782 (09/06/2011)
FQF Trust
812-13741
29720 (07/11/2011)
29747 (08/05/2011)
Precidian ETFs Trust, et al.
812-13818
29692 (06/09/2011)
29712 (07/01/2011)
Russell Investment Management Company, et al.
812-13669
29655 (04/20/2011)
29671 (05/16/2011)
Claymore Exchange-Traded Fund Trust, et al.
812-13657
29458 (10/07/2010)
29494 (11/02/2010)
Van Eck Associates Corporation, et al.
812-13624
29455 (10/01/2010)
29490 (10/26/2010)
Pax World Funds Trust II
812-13702
29257 (04/26/2010)
29268 (05/17/2010)
ShariahShares Exchange-Traded Fund Trust, et al.
812-13559
29127 (01/29/2010)
29130 (02/22/2010)
FaithShares Trust, et al.
812-13638
28991 (11/05/2009)
29065 (12/01/2009)
Charles Schwab Investment Management, Inc., et al.
812-13628
28933 (09/28/2009)
28983 (10/23/2009)
Arrow Investment Advisers, LLC, and Arrow Funds Trust
812-13405
28852 (08/25/2009)
28910 (09/22/2009)
Old Mutual Global Shares Trust, et al.
812-13614
28847 (08/13/2009)
28898 (09/09/2009)
Pax World Funds Trust II, et al.
812-13503
28834 (07/22/2009)
28846 (08/13/2009)
X Exchange-Traded Funds, Inc., et al.
812-13449
28766 (06/11/2009)
28814 (07/07/2009)
WisdomTree Investments, Inc., et al.
812-13650
28755 (06/01/2009)
28805 (06/29/2009)
Pacific Investment Management Company LLC
812-13555
28723 (05/11/2009)
28752 (06/01/2009)
INDEXIQ ETF Trust
812-13441
28638 (02/27/2009)
28653 (03/20/2009)
Global X Funds, et al.
812-13517
28378 (09/10/2008)
28443 (10/03/2008)
Javelin Exchange-Traded Trust
812-13425
28350 (07/31/2008)
28367 (08/26/2008)
Van Eck Associates Corporation, et al.
812-13507
28349 (07/31/2008)
28365 (08/25/2008)
ALPS Advisers, Inc., et al.,
812-13430
28235 (04/09/2008)
28262 (05/02/2008)
NETS Trust, et al.
812-13444
28166 (02/25/2008)
28195 (03/17/2008)
The TIGERS Revenue Trust and VTL Associates LLC
812-13363
28123 (01/18/2008)
28151 (02/13/2008)
FocusShares f/n/a MyShares
812-13376
28040 (10/31/2007)
28066 (11/27/2007)
Van Eck Associates Corp.
812-13426
28007 (09/28/2007)
28021 (10/24/2007)
Claymore Exchange-Traded Fund
812-13396
27982 (09/26/2007)
28019 (10/23/2007)
Wisdom Tree Investments, Inc., et al.
812-13417
27976 (09/21/2007)
28015 (10/17/2007)
SPA ETF Trust, et al.
812-13372
27963 (08/31/2007)
27983 (09/26/2007)
Rydex ETF Trust, et al.
812-13387
27958 (08/28/2007)
27981 (09/25/2007)
Ameristock ETF Trust
812-13332
27847 (05/30/2007)
27874 (06/26/2007)
PowerShares Exchange-Traded Fund Trust
812-13335
27811 (04/30/2007)
27841 (05/25/2007)
Ssga Funds Management, Inc.
812-13356
27809 (04/30/2007)
27839 (05/25/2007)
First Trust Exchange-Traded Fund, et al.
812-13262
27772 (03/30/2007)
27784 (04/25/2007)
Vanguard Bond Index Funds, et al.
812-13336
27750 (03/09/2007)
27773 (04/02/2007)
BLDRS Index Funds Trust, et al.
812-13344
27745 (02/28/2007)
27768 (03/21/2007)
NASDAQ-100 Trust, Series 1, et al.
812-13345
27740 (02/27/2007)
27753 (03/20/2007)
Van Eck Associates Corporation, et al.
812-13339
27694 (01/31/2007)
27742 (02/27/2007)
PowerShares Exchange-Traded Fund Trust, et al.
812-13343
27693 (01/31/2007)
27743 (02/27/2007)
Ziegler Exchange Traded Trust, et al.
812-13224
27610 (12/22/2006)
27664 (01/18/2007)
Barclays Global Fund Advisors, et al.
812-13208
27608 (12/21/2006)
27661 (01/17/2007)
Exchange Traded Funds – Leveraged
Investment Company
File No.
Notice
Order
Rafferty Asset Management, LLC, et al.
812-13610
28889 (08/27/2009)
28905 (09/22/2009)
ProShares Trust, et al.
812-13400
28696 (04/14/2009)
28724 (05/12/2009)
Rafferty Asset Management, LLC, et al.
812-13483
28379 (09/12/2008)
28434 (10/06/2008)
Rydex ETF Trust, et al.
812-13390
28000 (09/27/2007)
28018 (10/23/2007)
ProShares Trust, et al.
812-13382
27975 (09/21/2007)
28014 (10/17/2007)
Rydex ETF Trust, et al.
812-13337
27703 (02/20/2007)
27754 (03/20/2007)
ProShares Trust, et al.
812-13329
27609 (12/22/2006)
27666 (01/18/2007)
Exchange-Traded Managed Funds
Investment Company
File No.
Notice
Order
Brandes Investment Trust, et al.
812-14809
32893 (11/02/2017)
32925 (11/28/2017)
Nationwide Fund Advisors, et al.
812-14783
32712 (06/27/2017)
32740 (07/25/2017)
UBS ETMF Trust, et al.
812-14727
32529 (03/10/2017)
32594 (04/05/2017)
Causeway ETMF Trust, et al.
812-14729
32435 (01/25/2017)
32485 (02/22/2017)
Columbia Trust, et al.
812-14553
31866 (10/13/2015)
31898 (11/10/2015)
Nile Capital Investment Trust, et al.
812-14500
31760 (08/13/2015)
31813 (09/09/2015)
ALPS ETMF Trust, et al.
812-14517
31759 (08/13/2015)
31815 (09/09/2015)
Ivy NextShares, et al.
812-14516
31757 (08/13/2015)
31816 (09/09/2015)
Principal ETMF Trust, et al.
812-14496
31746 (08/11/2015)
31812 (09/09/2015)
Victory NextShares Trust, et al.
812-14495
31745 (08/11/2015)
31811 (09/09/2015)
Pioneer ETMF Series Trust I
812-14504
31718 (07/16/2015)
31756 (08/13/2015)
Broms Asset Management NextShares Trust, et al.
812-14503
31717 (07/16/2015)
31755 (08/13/2015)
Hartford Funds NextShares Trust, et al.
812-14439
31576 (04/23/2015)
31607 (05/19/2015)
Gabelli ETMF Trust, et al.
812-14438
31575 (04/23/2015)
31608 (05/19/2015)
American Beacon Nextshares Trust, et al.
812-14417
31498 (03/06/2015)
31542 (04/01/2015)
Eaton Vance Management, et al.
812-14139
31333 (11/06/2014)
31361 (12/02/2014)
Finance Subsidiaries
Investment Company
File No.
Notice
Order
General Electric Company and GE Capital International Funding Company
812-14550
31833 (09/21/2015)
31871 (10/19/2015)
Fund of Funds – Direct Investment
Investment Company
File No.
Notice
Order
Context Capital Advisers, LLC, et al.
812-14392
31689 (06/24/2015)
31720 (07/21/2015)
Van Eck Associates Corporation, et al.
812-14400
31547 (04/06/2015)
31596 (05/06/2015)
Trust for Professional Managers and William Blair & Company, L.L.C.
812-14354
31543 (04/01/2015)
31584 (04/28/2015)
SSgA Mastertrust and SSgA Funds Management, Inc.
812-14291
31249 (09/11/2014)
31278 (10/07/2014)
Northern Lights Fund Trust, et al.
812-14297
31087 (06/18/2014)
31154 (07/15/2014)
Goldman Sachs Trust, et al.
812-14075
30471 (04/19/2013)
30522 (05/15/2013)
Ivy Funds Variable Insurance Portfolios, et al.
812-14114
30427 (03/15/2013)
30458 (04/10/2013)
Allianz Variable Insurance Products Fund of Funds Trust, et al.
812-14084
30371 (01/29/2013)
30406 (02/26/2013)
Securian Funds Trust, et al.
812-14091
30354 (01/22/2013)
30387 (02/19/2013)
PNC Capital Advisors, LLC, et al.
812-14055
30298 (12/06/2012)
30333 (12/28/2012)
Lord, Abbett & Co. LLC, et al.
812-14047
30297 (12/06/2012)
30334 (12/28/2012)
The Hartford Mutual Funds, Inc., et al.
812-14024
30164 (08/08/2012)
30194 (09/05/2012)
Forward Funds, et al.
812-13996
29982 (03/15/2012)
30031 (04/10/2012)
Capital Research and Management Company, et al.
812-14007
29981 (03/01/2012)
30033 (03/23/2012)
Columbia Funds Master Investment Trust, LLC, et al.
812-13955
29980 (03/13/2012)
30030 (04/10/2012)
DoubleLine Capital LP and DoubleLine Funds Trust
812-13983
29943 (02/02/2012)
29971 (02/28/2012)
Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC
812-13982
29939 (01/30/2012)
29967 (02/27/2012)
American Century Strategic Asset Allocations, Inc., et al.
812-13930
29883 (12/13/2011)
29916 (01/10/2012)
Seasons Series Trust, et al.
812-13952
29879 (12/08/2011)
29914 (01/04/2012)
AllianceBernstein Cap Fund, Inc., et al.
812-13939
29876 (11/29/2011)
29892 (12/21/2011)
SEI Investments Management Corporation, et al.
812-13929
29866 (11/18/2011)
29884 (12/14/2011)
DFA Investment Dimensions Group, Inc., et al.
812-13943
29820 (09/22/2011)
29838 (10/18/2011)
Highland Capital Management, L.P.
812-13890
29790 (09/15/2011)
29832 (10/12/2011)
Legg Mason Partners Equity Trust, et al.
812-13892
29789 (09/15/2011)
29835 (10/12/2011)
Stone Harbor Investment
812-13931
29784 (09/07/2011)
29830 (10/04/2011)
HighMark Funds, et al.
812-13843
29694 (06/16/2011)
29721 (07/12/2011)
Russell Investment Company, et al.
812-13870
29623 (04/06/2011)
29664 (05/03/2011)
Nuveen Asset Management, et al.
812-13839
29522 (12/08/2010)
29546 (12/30/2010)
Northern Lights Fund Trust, et al.
812-13786
29452 (09/30/2010)
29487 (10/26/2010)
FFCM, LLC and FQF Trust
812-13748
29292 (06/02/2010)
29335 (06/29/2010)
Kinetics Mutual Funds, Inc., et al.
812-13745
29270 (05/17/2010)
29297 (06/14/2010)
Calvert Social Investment
812-13718
29209 (04/19/2010)
29268 (05/17/2010)
Pioneer Bond Fund
812-13727
29198 (03/31/2010)
29259 (04/27/2010)
Rydex Series Funds
812-13685
29179 (03/23/2010)
29212 (04/20/2010)
Columbia Funds Series Trust, et al.
812-13631
28896 (09/04/2009)
28936 (09/20/2009)
WisdomTree Asset Management, Inc. and WisdomTree Trust
812-13642
28804 (06/29/2009)
28836 (07/24/2009)
PowerShares Exchange-Traded Fund Trust, et al.
812-13604
28760 (06/08/2009)
28813 (07/07/2009)
First American Strategy Funds, Inc.
812-13602
28683 (03/31/2009)
28715 (04/28/2009)
ING Investments, LLC
812-13538
28650 (03/17/2009)
28693 (04/14/2009)
Wells Fargo Funds Trust, et al.
812-13548
28482 (10/31/2008)
28524 (11/26/2008)
Aberdeen Asset Management
812-13531
28407 (09/25/2008)
28443 (10/21/2008)
Delaware Management Business Trust, et al.
812-13521
28405 (09/24/2008)
28445 (10/20/2008)
Morgan Stanley Series Funds, et al.
812-13529
28388 (09/23/2008)
28444 (10/21/2008)
Fidelity Aberdeen Street Trust, et al.
812-13505
28376 (09/05/2008)
28425 (09/30/2008)
Advanced Series Trust, et al.
812-13537
28355 (08/08/2008)
28374 (09/03/2008)
PIMCO Funds, et al.
812-13513
28331 (07/17/2008)
28356 (08/12/2008)
Thrivent Mutual Funds, et al.,
812-13508
28252 (04/28/2008)
28267 (05/20/2008)
Franklin California Tax-Free Income Fund, et al.
812-13500
28229 (03/31/2008)
28257 (04/24/2008)
J.P. Morgan Trust I, et al.
812-13418
28183 (03/04/2008)
28230 (04/01/2008)
Eaton Vance Mutual Fund, et al.
812-13481
28170 (02/26/2008)
28202 (03/25/2008)
Schroder Series Trust, et al.
812-13457
28133 (01/24/2008)
28167 (02/25/2008)
Schroder Series Trust, et al.
812-13467
28133 (01/24/2008)
28167 (02/25/2008)
Vanguard STAR Funds
812-13412
28009 (09/28/2007)
28024 (10/24/2007)
DWS Advisor Funds, et al.
812-13383
27919 (07/31/2007)
27954 (08/27/2007)
Fund of Funds – Multi-Group
Investment Company
File No.
Notice
Order
ETF Managers Trust and ETF Managers Group LLC
812-15088
33799 (02/19/2020)
33823 (03/24/2020)
MassMutual Select Funds, et al.
812-15052
33675 (10/23/2019)
33686 (11/18/2019)
ETFis Series Trust I, et al.
812-15031
33622 (09/11/2019)
33655 (10/08/2019)
Forum Funds, et al.
812-15041
33587 (08/12/2019)
33618 (09/09/2019)
Symmetry Panoramic Trust and Symmetry Partners, LLC
812-14942
33317 (12/06/2018)
33364 (02/01/2019)
Ares Credit and Income Trust and Ares Capital Management III LLC
812-14892
33243 (09/21/2018)
33275 (10/17/2018)
Innovator ETFs Trust, et al.
812-14837
33214 (08/24/2018)
33238 (09/19/2018)
Goldman Sachs Trust, et al.
812-14764
33137 (06/27/2018)
33166 (07/24/2018)
Morningstar Funds Trust, et al.
812-14808
33005A (02/15/2018)
33044 (03/13/2018)
Morningstar Funds Trust, et al.
812-14808
33005 (02/14/2018)
Northern Lights Fund Trust and Pacific Financial Group, LLC
812-14810
32973 (01/23/2018)
33008 (02/21/2018)
Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC
812-14779
32940 (12/15/2017)
32966 (01/09/2018)
Ausdal Unit Investment Trust and Ausdal Financial Partners, Inc.
812-14786
32922 (11/27/2017)
32953 (12/26/2017)
Meeder Funds Trust, et al.
812-14775
32898 (11/08/2017)
32934 (12/05/2017)
Princeton Fund Advisors, LLC. et al.
812-14776
32894 (11/02/2017)
32930 (11/30/2017)
Olden Lane Securities LLC and Olden Lane Trust
812-14726
32845 (09/29/2017)
32872 (10/25/2017)
Active Weighting Funds ETF Trust and Active Weighting Advisors LLC
812-14697
32808 (09/06/2017)
32848 (10/03/2017)
American Century International Bond Funds, et al.
812-14754
32805 (08/31/2017)
32833 (09/26/2017)
Advanced Series Trust, et al.
812-14748
32778 (08/15/2017)
32817 (09/12/2017)
Franklin Fund Allocator Series, et al.
812-14611
32669 (06/05/2017)
32722 (07/03/2017)
Aspiriant Trust, et al.
812-14467
32634 (05/11/2017)
32672 (06/06/2017)
Allianz Funds Multi-Strategy Trust and Allianz Global Investors U.S. LLC
812-14255
32533 (03/15/2017)
32598 (04/11/2017)
Brinker Capital Destinations Trust, et al.
812-14724
32478 (02/14/2017)
32534 (03/16/2017)
USAA Asset Management Company, et al.
812-14693
32474 (02/09/2017)
32525 (03/07/2017)
ALAIA Market Linked Trust and Beech Hill Securities, Inc.
812-14543
32384 (12/08/2016)
32410 (01/04/2017)
Destra Capital Advisors LLC, et al.
812-14628
32308 (10/07/2016)
32459 (01/30/2017)
Guggenheim Funds Trust, et al.
812-14525
32140 (06/06/2016)
32170 (07/05/2016)
PowerShares Exchange-Traded Fund Trust, et al.
812-14442
32006 (02/25/2016)
32035 (03/22/2016)
State Farm Associates’ Funds Trust, et al.
812-14558
31988 (02/08/2016)
32357 (11/10/2016)
Good Hill Partners LP and Good Hill ETF Trust
812-14505
31986 (02/05/2016)
32021 (03/02/2016)
Columbia Funds Series Trust I, et al.
812-14411
31953 (01/07/2016)
31981 (02/03/2016)
Northern Lights Fund Trust, et al.
812-14519
31952 (01/04/2016)
31978 (02/02/2016)
Advisors Asset Management, Inc. and AAM ETF Trust
812-14536
31870 (10/19/2015)
31902 (11/16/2015)
Janus Investment Fund, et al.
812-14412
31753 (08/13/2015)
31808 (09/09/2015)
Amplify Investments LLC and Amplify ETF Trust
812-14425
31683 (06/18/2015)
31716 (07/15/2015)
American Funds Insurance Series, et al.
812-14325
31677 (06/17/2015)
31715 (07/14/2015)
Realty Capital Income Funds Trust, et al.
812-14341
31458 (02/18/2015)
31506 (03/17/2015)
Forum Funds II, et al.
812-14355
31407 (01/06/2015)
31443 (02/03/2015)
Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions
812-14381
31404 (01/05/2015)
31438 (01/30/2015)
Wilshire Mutual Funds, Inc., et al.
812-14350
31381 (12/16/2014)
31456 (02/12/2015)
Elkhorn Investments, LLC and Elkhorn ETF Trust
812-14264
31363 (12/02/2014)
31401 (12/29/2014)
AllianceBernstein Cap Fund, Inc., et al.
812-14236
31332 (11/06/2014)
31364 (12/03/2014)
BNY Mellon Funds Trust, et al.
812-14240
31245 (09/09/2014)
31279 (10/07/2014)
FundVantage Trust, et al.
812-14253
31161 (07/17/2014)
31207 (08/12/2014)
Absolute Shares Trust, et al.
812-14274
31079 (06/12/2014)
31150 (07/08/2014)
BMO Funds, Inc., et al.
812-14273
31064 (05/30/2014)
31132 (06/25/2014)
Elkhorn Securities, LLC and Elkhorn Unit Trust
812-14261
31022 (04/17/2014)
31043 (05/13/2014)
FundVantage Trust, et al
812-14197
31003 (04/03/2014)
31033 (04/29/2014)
RiverNorth Funds, et al.
812-14160
30919 (02/18/2014)
30983 (03/18/2014)
The Ohio National Life Insurance Company, et al.
812-14182
30895 (01/28/2014)
30925 (02/24/2014)
American Pension Investors Trust, et al.
812-14181
30885 (01/16/2014)
30914 (02/11/2014)
ALPS Series Trust, Brinker Capital, Inc. and ALPS Distributors, Inc.
812-14218
30858 (01/15/2014)
30917 (02/11/2014)
IndexIQ ETF Trust, et al.
812-14153
30844 (12/23/2013)
30889 (01/22/2014)
Forethought Variable Insurance Trust, et al.
812-14198
30840 (12/19/2013)
30857 (01/14/2014)
Altegris Advisors, L.L.C., et al.
812-14130
30779 (11/12/2013)
30823 (12/09/2013)
KP Funds, et al.
812-14142
30545 (06/03/2013)
30586 (07/01/2013)
Financial Investors Trust and Hanson McClain Strategic Advisors, Inc.
812-14098
30521 (05/15/2013)
30554 (06/11/2013)
Global X Funds, et al.
812-14079
30426 (03/14/2013)
30454 (04/09/2013)
AIP Series Trust and Morgan Stanley AIP GP LP
812-14092
30420 (03/11/2013)
30450 (04/08/2013)
The Advisors’ Inner Circle Fund, et al.
812-14065
30412 (03/04/2013)
30443 (04/01/2013)
Forward Funds, et al.
812-14043
30411 (02/28/2013)
30437 (03/26/2013)
Symetra Life Insurance Company, et al.
812-14082
30353 (01/22/2013)
30386 (02/19/2013)
First Trust Exchange-Traded Fund, et al. (Notice)
812-13895
30345 (01/08/2013)
30377 (02/05/2013)
Credit Suisse Opportunity Funds, et al.
812-14015
30342 (01/07/2013)
30376 (02/04/2013)
PNC Capital Advisors, LLC, et al.
812-14056
30239 (10/23/2012)
30271 (11/20/2012)
Neuberger Berman Alternative Funds, et al.
812-14050
30236 (10/22/2012)
30267 (11/19/2012)
PowerShares Exchange-Traded Fund Trust, et al.
812-13820
30222 (09/26/2012)
30238 (10/23/2012)
Financial Investors Trust, et al.
812-13985
30205 (09/18/2012)
30233 (10/16/2012)
Wells Fargo Funds Trust, et al.
812-13967
30201 (09/12/2012)
30231 (10/10/2012)
Prudential Investment Portfolios 3, et al.
812-13993
30200 (09/11/2012)
30229 (10/09/2012)
Credit Suisse Asset Management, LLC, et al.
812-13966
30144 (07/20/2012)
30169 (08/15/2012)
The Dreyfus Corporation, et al.
812-13906
30137 (07/12/2012)
30163 (08/07/2012)
AQR Capital Management, LLC, et al.
812-13833
30128 (07/03/2012)
30153 (07/26/2012)
Federated Investment Management Company and Federated ETF Trust
812-13946
30093 (06/01/2012)
30123 (06/26/2012)
Hennion & Walsh, Inc. and Smart Trust
812-14001
30092 (06/04/2012)
30122 (06/26/2012)
Van Eck VIP Trust, et al.
812-13846
30063 (05/10/2012)
30096 (06/05/2012)
GPS Funds I, et al.
812-13986
30044 (04/24/2012)
30067 (05/22/2012)
Huntington Asset Advisors, Inc., et al.
812-13785
30032 (04/10/2012)
30061 (05/08/2012)
Pacific Life Insurance Company, et al.
812-13962
29944 (02/13/2012)
29979 (03/12/2012)
Henderson Global Funds, et al.
812-13950
29942 (02/01/2012)
29970 (02/28/2012)
Highland Capital Management, L.P., et al.
812-13478
29890 (12/19/2011)
29918 (01/17/2012)
RiverPark Advisors, LLC, et al.
812-13755
29840 (10/19/2011)
29863 (11/17/2011)
Global X Funds, et al.
812-13830
29829 (09/30/2011)
29852 (10/28/2011)
Incapital LLC, et al.
812-13922
29828 (09/30/2011)
29850 (10/26/2011)
Destracom Investments LLC
812-13575
29825 (09/29/2011)
29842 (10/25/2011)
Fifth Third Funds and Fifth
812-13893
29819 (09/22/2011)
29839 (10/18/2011)
NT ETF Trust
812-13773
29752 (08/10/2011)
29782 (09/06/2011)
FQF Trust
812-13741
29720 (07/11/2011)
29747 (08/05/2011)
Russell Exchange Traded Funds Trust, et al.
812-13815
29706 (06/22/2011)
29727 (07/19/2011)
Precidian ETFs Trust, et al.
812-13818
29692 (06/09/2011)
29712 (07/01/2011)
Russell Investment Management Company, et al.
812-13669
29655 (04/20/2011)
29671 (05/16/2011)
Eaton Vance Management, et al.
812-13759
29591 (03/01/2011)
29620 (03/30/2011)
SSgA Funds Management, Inc., et al.
812-13487
29499 (11/17/2010)
29524 (12/13/2010)
Van Eck Associates Corporation, et al.
812-13605
29459 (10/07/2010)
29496 (11/03/2010)
Claymore Exchange-Traded Fund Trust, et al.
812-13657
29458 (10/07/2010)
29494 (11/02/2010)
Jackson National Life Insurance Company, et al.
812-13765
29442 (09/27/2010)
29484 (10/25/2010)
Transamerica Asset Management, Inc., et al.
812-13661
29410 (09/03/2010)
29447 (09/28/2010)
Aston Funds, et al.
812-13775
29400 (08/26/2010)
29443 (09/27/2010)
Millington Securities, Inc., et al.
812-13709
29375 (07/30/2010)
29386 (08/25/2010)
Virtus Opportunities Trust
812-13751
29370 (07/27/2010)
29383 (08/23/2010)
DWS Advisor Funds, et al.
812-13539
29295 (06/09/2010)
29339 (07/07/2010)
EQ Advisors Trust, et al.
812-13706
29294 (06/04/2010)
29336 (06/20/2010)
AdvisorShares Investment
812-13677
29264 (05/06/2010)
29291 (05/28/2010)
Claymore Exchange-Traded Fund Trust 3
812-13534
29256 (04/23/2010)
29271 (05/18/2010)
Legg Mason Partners
812-13681
29192 (03/26/2010)
29255 (04/21/2010)
Lincoln Variable Insurance
812-13660
29168 (03/05/2010)
29196 (03/31/2010)
iShares Trust, et al.
812-13570
29129 (02/16/2010)
29172 (03/10/2010)
ShariahShares Exchange-Traded Fund Trust, et al.
812-13559
29127 (01/29/2010)
29130 (02/22/2010)
Madison Asset Management, LLC
812-13653
29068 (12/07/2009)
29099 (12/29/2009)
FaithShares Trust, et al.
812-13638
28991 (11/05/2009)
29065 (12/01/2009)
Pacific Investment Management Company LLC and PIMCO ETF Trust
812-13571
28949 (10/20/2009)
28993 (11/10/2009)
Charles Schwab Investment Management, Inc., et al.
812-13628
28933 (09/28/2009)
28983 (10/23/2009)
Arrow Investment Advisers, LLC, and Arrow Funds Trust
812-13405
28852 (08/25/2009)
28910 (09/22/2009)
Old Mutual Global Shares Trust, et al.
812-13614
28847 (08/13/2009)
28898 (09/09/2009)
Pax World Funds Trust II, et al.
812-13503
28834 (07/22/2009)
28846 (08/13/2009)
WisdomTree Investments, Inc., et al.
812-13650
28755 (06/01/2009)
28805 (06/29/2009)
Phoenix Life Insurance Company, et al.
812-13564
28686 (04/03/2009)
28714 (04/28/2009)
Massachusetts Financial Services Company, et al.
812-13519
28649 (03/17/2009)
28694 (04/14/2009)
INDEXIQ ETF Trust
812-13441
28638 (02/27/2009)
28653 (03/20/2009)
DFA Investment Dimensions Group Inc.
812-13541
28637 (02/26/2009)
28654 (03/24/2009)
Allstate Financial Investment Trust, et al.
812-13523
28581 (01/12/2009)
28614 (02/09/2009)
Aberdeen Asset Management, Inc.
812-13530
28429 (09/30/2008)
28475 (10/28/2008)
WisdomTree Investments, Inc. et al.
812-13458
28419 (09/28/2008)
28471 (10/27/2008)
Van Kampen Retirement Strategy Trust, et al.
812-13506
28406 (09/25/2008)
28440 (10/17/2008)
Javelin Exchange-Traded Trust
812-13425
28350 (07/31/2008)
28367 (08/26/2008)
Goldman Sachs Trust, et al.
812-13456
28347 (07/31/2008)
28366 (08/26/2008)
The RBB Fund, et al.
812-13496
28260 (04/30/2008)
28288 (05/28/2008)
Fidelity Rutland Square Trust, et al.
812-13476
28259 (04/30/2008)
28287 (05/28/2008)
MLIG Variable Insurance Trust and Rozel Advisors LLC
812-13436
28139 (01/31/2008)
28169 (02/26/2008)
Northern Institutional Funds, et al.
812-13424
28119 (01/06/2008)
28149 (02/12/2008)
The UBS Funds, et al.
812-13453
28080 (12/19/2007)
28122 (01/16/2008)
Rafferty Asset Management
812-13416
28039 (10/30/2007)
28067 (11/27/2007)
Fidelity Rutland Square
812-13232
28008 (09/28/2007)
28023 (10/24/2007)
Wisdom Tree Investments, Inc., et al.
812-13417
27976 (09/21/2007)
28015 (10/17/2007)
DWS Advisor Funds
812-13364
27919 (07/31/2007)
27954 (08/27/2007)
John Hancock Trust
812-13341
27848 (05/30/2007)
27873 (06/26/2007)
Van Eck Worldwide Insurance Trust
812-13304
27820 (05/09/2007)
27849 (06/01/2007)
First Trust Exchange-Traded Fund, et al.
812-13340
27812 (04/30/2007)
27845 (05/30/2007)
The RBB Fund, Inc. and Abundance Technologies, Inc.
812-13295
27749 (03/08/2007)
27775 (04/03/2007)
Van Eck Associates Corporation, et al.
812-13339
27694 (01/31/2007)
27742 (02/27/2007)
PowerShares Exchange-Traded Fund Trust, et al.
812-13343
27693 (01/31/2007)
27743 (02/27/2007)
NexBank Securities, Inc. and NexBank Series
812-13278
27602 (12/18/2006)
27659 (01/16/2007)
Members Mutual Funds, et al.
812-13133
27598 (12/13/2006)
27657 (01/09/2007)
Inadvertent Investment Companies – 3(b)(2)
Investment Company
File No.
Notice
Order
Exact Sciences Corporation
812-14875
33228 (09/14/2018)
33267 (10/11/2018)
National Securities Clearing Corporation
812-14818
32839 (09/28/2017)
32868 (10/24/2017)
ACS Wireless, Inc
812-14066
30567 (06/25/2013)
30602 (07/19/2013)
Rio Tinto plc and Rio Tinto Limited
812-13777
29889 (12/19/2011)
29921 (01/17/2012)
Hill Physicians Medical Group, Inc.
812-13255
27804 (04/26/2007)
27824 (05/02/2007)
Inadvertent Investment Companies – 6(c)
Investment Company
File No.
Notice
Order
General Electric Company and GE Capital International Holdings Limited
812-14743
32477 (02/13/2017)
32532 (03/13/2017)
Beverly Hills Bancorp Inc.
812-14280
31054 (05/21/2014)
31083 (06/16/2014)
Beverly Hills Bancorp Inc.
812-14135
30497 (04/30/2013)
30541 (05/24/2013)
Steel Partners Holdings L.P.
812-13793
30056 (04/27/2012)
30070 (05/23/2012)
Beverly Hills Bancorp Inc.
812-13767
30036 (04/18/2012)
30064 (05/15/2012)
Korea Finance Corp.
812-13752
29332 (06/25/2010)
29343 (07/20/2010)
Hill Physicians Medical Group, Inc.
812-13255
27804 (04/26/2007)
27824 (05/02/2007)
Inadvertent Investment Companies – Foreign Banks/Insurance
Investment Company
File No.
Notice
Order
Development Bank of Japan Inc.
812-15164
34043 (10/05/2020)
34083 (11/02/2020)
Türkiye Sinai Kalkinma Bankasi A.S.
812-14514
32066 (04/06/2016)
32101 (05/03/2016)
Korea Finance Corp.
812-13752
29332 (06/25/2010)
29343 (07/20/2010)
Compagnie de Financement Foncier
812-13573
28835 (07/22/2009)
28848 (08/13/2009)
Inadvertent Investment Companies – Other
Investment Company
File No.
Notice
Order
Sunwest Rollover Member LLC
812-13778
30014 (03/29/2012)
30046 (04/24/2012)
Ineligible – Disqualified Firm
Investment Company
File No.
Notice
Order
Allianz Global Investors U.S. LLC, et al.
812-15337
34587 (05/17/2022)
34616 (06/14/2022)
Credit Suisse Asset Management, LLC., et al.
812-15274
34400 (10/19/2021)
34518 (03/01/2022)
Goldman Sachs (Malaysia) Sdn. Bhd., et al.
812-15172
34071 (10/22/2020)
34097 (11/17/2020)
Deutsche Bank AG, et al.
812-15163
34025 (09/24/2020)
34053 (10/20/2020)
Wells Fargo Securities, LLC, et al.
812-15011
33404 (03/20/2019)
33448 (04/16/2019)
Charles Schwab & Co. Inc. and Charles Schwab Investment Management, Inc.
812-14926
33157 (07/10/2018)
33195 (08/07/2018)
BNP Paribas USA, Inc., et al.
812-14874
32995 (01/26/2018)
33033 (02/23/2018)
Stifel, Nicolaus & Company, Inc., et al.
812-14721
32379 (12/06/2016)
32408 (01/04/2017)
Macquarie Capital (USA) Inc., et al.
812-14460
31704 (07/06/2015)
31734 (08/03/2015)
See also: 31602
The Royal Bank of Scotland plc, et al.
812-14469
31642 (05/20/2015)
31673 (06/16/2015)
J.P. Morgan Chase & Co., et al.
812-14466
31613 (05/20/2015)
31674 (06/16/2015)
UBS AG, et al.
812-14465
31612 (05/20/2015)
31672 (06/16/2015)
Macquarie Capital (USA) Inc., et al.
812-14460
31602 (05/15/2015)
Deutsche Bank AG, et al.
812-14448
31577 (04/23/2015)
31606 (05/19/2015)
Royal Bank of Canada, et al.
812-14403
31388 (12/19/2014)
31411 (01/13/2015)
Banc of America Mortgage Securities, Inc, et al.
812-14390
31359 (11/25/2014)
31397 (12/23/2014)
Citigroup Global Markets Inc., et al.
812-13970
31199 (08/06/2014)
31238 (09/03/2014)
BNP Paribas S.A., et al.
812-14327
31140 (06/30/2014)
31188 (07/28/2014)
Credit Suisse Asset Management, LLC, et al.
812-14313
31051 (05/19/2014)
31082 (06/16/2014)
RBS Securities Inc. and Citizens Investment Advisors
812-14232
30808 (11/25/2013)
30842 (12/23/2013)
Wells Fargo Bank, N.A., et al.
812-14176
30644 (08/06/2013)
30685 (09/04/2013)
The Royal Bank of Scotland plc, et al.
812-14148
30462 (04/12/2013)
30509 (05/08/2013)
UBS AG, et al.
812-14105
30383 (02/15/2013)
30424 (03/13/2013)
See also: 30311
J.P. Morgan Securities LLC, et al.
812-14094
30347 (01/09/2013)
30380 (02/06/2013)
UBS AG, et al.
812-14105
30311 (12/19/2012)
Wells Fargo Bank, N.A., et al.
812-14074
30266 (11/16/2012)
30303 (12/12/2012)
See also: 30210
ReconTrust Company, N.A., et al.
812-14068
30174 (08/20/2012)
30203 (09/17/2012)
GE Asset Management Incorporated, et al.
812-13994
29926 (01/24/2012)
29952 (02/22/2012)
Wells Fargo Bank, N.A., et al.
812-13987
29881 (12/09/2011)
29914 (01/04/2012)
BAC Home Loan Servicing, LP
812-13910
29726 (07/18/2011)
29753 (08/15/2011)
J.P. Morgan Securities LLC, et al.
812-13919
29719 (07/11/2011)
29749 (08/05/2011)
J.P. Morgan Securities LLC, et al.
812-13914
29711 (06/29/2011)
29737 (07/26/2011)
UBS AG, et al.
812-13902
29666 (05/09/2011)
29690 (06/06/2011)
Citigroup Global Markets Inc., et al.
812-13808
29464 (10/19/2010)
29498 (11/15/2010)
GE Asset Management Incorporated, et al.
812-13807
29374 (07/30/2010)
29385 (08/25/2010)
Goldman Sachs & Co., et al.
812-13796
29366 (07/21/2010)
29382 (08/18/2010)
GE Asset Management Incorporated and GE Investment Distributors, Inc.
812-13680
28845 (08/11/2009)
28899 (09/09/2009)
Banc of America Securities LLC, et al.
812-13662
28764 (06/09/2009)
28810 (07/07/2009)
Deutsche Bank Securities Inc., et al.
812-13664
28763 (06/09/2009)
28811 (07/07/2009)
RBC Capital Markets Corporation, et al.
812-13663
28762 (06/09/2009)
28812 (07/07/2009)
UBS AG
812-13645
28652 (03/19/2009)
28695 (04/14/2009)
E*Trade Financial Corporation
812-13639
28645 (03/12/2009)
28689 (04/07/2009)
Wachovia Securities, LLC, et al.
812-13632
28618 (02/18/2009)
28648 (03/17/2009)
Citigroup Global
812-13615
28572 (12/23/2008)
28605 (01/16/2009)
UBS Securities LLC
812-13609
28569 (12/23/2008)
28606 (01/16/2009)
Prudential Financial, Inc., et al.
812-13572
28377 (09/05/2008)
28430 (10/01/2008)
The BISYS Group, Inc.
812-13394
27978 (09/24/2007)
28017 (10/22/2007)
American International Group, Inc.
812-13259
27931 (08/20/2007)
27970 (09/17/2007)
Barclays Global Fund Advisors
812-13391
27851 (06/06/2007)
27882 (07/05/2007)
Insurance Products – Bonus Recapture
Investment Company
File No.
Notice
Order
Minnesota Life Insurance Company, et al.
812-14158
30821 (12/06/2013)
30850 (12/30/2013)
Transamerica Life Insurance Company, et al.
812-14133
30776 (11/06/2013)
30816 (12/03/2013)
American General Life Insurance Company, et al.
812-13973
30681 (08/29/2013)
30699 (09/24/2013)
Jackson National Life Insurance Company, et al.
812-13841
29621 (03/31/2011)
29658 (04/25/2011)
Nationwide Life Insurance Company, et al.
812-13756
29337 (07/02/2010)
29369 (07/27/2010)
Pruco Life Insurance Company, et al.
812-13713
29302 (06/18/2010)
29342 (07/15/2010)
Jackson National Life Insurance Company of New York, et al.
812-13710
29265 (05/10/2010)
29293 (06/03/2010)
Jackson National Life Insurance Company, et al.
812-13703
29205 (04/07/2010)
29262 (04/30/2010)
Annuity Investors Life, et al.
812-13612
28909 (09/22/2009)
28948 (10/20/2009)
Jackson Nat’l Life Ins. Company, et al.
812-13584
28890 (08/27/2009)
28907 (09/22/2009)
ING USA Annuity & Life Ins. Co., et al.
812-13600
28646 (03/13/2009)
28687 (04/03/2009)
Prudential Annuities Life Assurance Co., et al.
812-13532
28354 (08/08/2008)
28373 (09/03/2008)
Minnesota Life Insurance Co., et al.
812-13457
28321 (06/26/2008)
28334 (07/22/2008)
CUNA Mutual Insurance Society, et al.
812-13423
28181 (03/04/2008)
28232 (04/01/2008)
Pruco Life Insurance Company, et al.
812-13437
28180 (03/04/2008)
28231 (04/01/2008)
Prudential Annuities Life Assurance Corp., et al.
812-13446
28179 (03/04/2008)
28233 (04/01/2008)
Minnesota Life Insurance Company, et al.
812-13365
27960 (08/30/2007)
27979 (09/25/2007)
Jackson National Life Insurance Co., et al.
812-13320
27603 (12/19/2006)
27660 (01/16/2007)
Insurance Products – Exchange Offer
Investment Company
File No.
Notice
Order
AXA Equitable Life Insurance Company, et al.
812-14734
33126 (06/19/2018)
33161 (07/17/2018)
Minnesota Life Insurance Company, et al.
812-14606
32393 (12/14/2016)
32419 (01/09/2017)
Prudential Retirement Insurance and Annuity Co., et al.
812-13455
28263 (05/07/2008)
28297 (06/06/2008)
Hartford Life Insurance Co., et al.
812-13267
27933 (08/22/2007)
27972 (09/18/2007)
Insurance Products – Fund Substitution
Investment Company
File No.
Notice
Order
AGL Separate Tài khoản VL-R, et al.
812-15291
34559 (04/15/2022)
34580 (05/11/2022)
Teachers Insurance and Annuity Association of America, et al.
812-15143
34267 (05/10/2021)
34295 (06/07/2021)
The Ohio National Life Insurance Company, et al.
812-15101
34242 (04/07/2021)
34264 (05/04/2021)
Brighthouse Life Insurance Company, et al.
812-15140
34220 (03/04/2021)
34239 (03/30/2021)
New York Life Insurance and Annuity Corporation, Et Al
812-15121
34079 (10/30/2020)
34101 (11/20/2020)
Mutual of America Life Insurance Company, et al.
812-15033
33654 (10/02/2019)
33679 (10/29/2019)
The Guardian Insurance & Annuity Company, Inc., et al.
812-14911
33566 (07/23/2019)
33594 (08/20/2019)
Voya Retirement Insurance and Annuity Company et al.
812-14856
33554 (07/15/2019)
33586 (08/09/2019)
American Fidelity Assurance Company, et al.
812-14822
33309 (11/29/2018)
33345 (01/28/2019)
AXA Equitable Life Insurance Company, et al.
812-14831
33201 (08/15/2018)
33224 (09/11/2018)
The Guardian Insurance & Annuity Company, Inc., et al.
812-14714
32967 (01/10/2018)
33003 (02/07/2018)
Commonwealth Annuity and Life Insurance Company, et al.
812-14646
32615 (04/27/2017)
32644 (05/23/2017)
Transamerica Life Insurance Company, et al.
812-14490
32574 (03/24/2017)
32603 (04/19/2017)
Transamerica Advisors Life Insurance Company, et al.
812-14489
32573 (03/24/2017)
32604 (04/19/2017)
Transamerica Life Insurance Company, et al.
812-14488
32572 (03/24/2017)
32605 (04/19/2017)
Transamerica Financial Life Insurance Company, et al.
812-14487
32571 (03/24/2017)
32606 (04/19/2017)
Allianz Life Insurance Company of North America, et al
812-14580
32207 (08/03/2016)
32242 (08/29/2016)
New York Life Insurance and Annuity Corporation, et al.
812-14589
32193 (07/26/2016)
32227 (08/23/2016)
Principal Life Insurance Company, et al.
812-14586
32030 (03/17/2016)
32067 (04/08/2016)
Principal Life Insurance Company, et al.
812-14600
32029 (03/17/2016)
32068 (04/08/2016)
The Guardian Insurance & Annuity Company, Inc., et al
812-14449
31958 (01/15/2016)
31993 (02/10/2016)
Horace Mann Life Insurance Company, et al
812-14336
31714 (07/13/2015)
31744 (08/07/2015)
Voya Retirement Insurance and Annuity Company, et al.
812-14302
31552 (04/15/2015)
31599 (05/12/2015)
Pacific Life Insurance Company, Et Al
812-14359
31451 (02/09/2015)
31499 (03/06/2015)
American Fidelity Assurance Company, et al.
812-14288
31217 (08/19/2014)
31251 (09/16/2014)
MetLife Insurance Company of Connecticut, et al.
812-14221
31000 (03/31/2014)
31023 (04/22/2014)
Minnesota Life Insurance Company, et al.
812-14203
30999 (03/28/2014)
31028 (04/24/2014)
Ameritas Life Insurance Corp., et al.
812-14189
30764 (10/25/2013)
30787 (11/15/2013)
Pacific Life Insurance Company, et al
812-14141
30744 (10/17/2013)
30777 (11/08/2013)
The Northwestern Mutual Life Insurance Company, et al.
812-14128
30671 (08/22/2013)
30690 (09/18/2013)
American Family Life Insurance Company, et al.
812-14109
30564 (06/20/2013)
30601 (07/16/2013)
Lincoln National Life Insurance Company, et al
812-14063
30468 (04/18/2013)
30517 (05/14/2013)
ING Life Insurance and Annuity Company, et al.
812-14033
30431 (03/21/2013)
30461 (04/12/2013)
AXA Equitable Life Insurance Company, et al.
812-14036
30373 (01/31/2013)
30405 (02/26/2013)
Mutual of America Life Insurance Company, et al.
812-14059
30292 (12/05/2012)
30335 (12/31/2012)
Pruco Life Insurance Company, et al.
812-13990
30186 (08/29/2012)
30209 (09/20/2012)
New York Life Insurance & Annuity Company, et al.
812-13903
29923 (01/19/2012)
29947 (02/14/2012)
TIAA-CREF Life Insurance Company, et al.
812-13791
29709 (06/28/2011)
29687 (06/01/2011)
Allianz Life Insurance Company of North America, et al.
812-13821
29693 (06/10/2011)
29716 (07/06/2011)
Country Investors Life Assurance Co., et al.
812-13865
29691 (06/09/2011)
29717 (07/07/2011)
National Life Insurance Company, et al.
812-13806
29662 (04/29/2011)
29627 (04/07/2011)
American Family Life Insurance Company, et al.
812-13842
29617 (03/24/2011)
29656 (04/21/2011)
Met Life Insurance Company of CT, et al.
812-13816
29544 (12/28/2010)
29570 (01/24/2011)
American Life Insurance Company, et al.
812-13780
29521 (11/30/2010)
29545 (12/29/2010)
Nationwide Life Insurance Company, et al.
812-13648
29486 (10/25/2010)
29505 (11/22/2010)
AXA Equitable Life Insurance Company, et al.
812-13686
29338 (07/07/2010)
29372 (07/29/2010)
MetLife Insurance Company of Connecticut, et al.
812-13700
29190 (03/25/2010)
29211 (04/20/2010)
Integrity Life Insurance Company, et al.
812-13690
29171 (03/10/2010)
29204 (04/07/2010)
Nationwide Life Ins. Co., et al.
812-13495
28767 (06/12/2009)
28815 (07/08/2009)
MetLife Ins. Co. of Connecticut, et al.
812-13588
28678 (03/25/2009)
28699 (04/20/2009)
Sun Life Assurance Company of Canada (U.S.), et al.
812-13402
28570 (12/23/2008)
28607 (01/22/2009)
Riversource Life Insurance Co., et al.
812-13492
28527 (12/04/2008)
28575 (12/30/2008)
Allianz Life Insurance Co. of North America, et al.
812-13474
28480 (10/30/2008)
28521 (11/25/2008)
Allianz Life Insurance Co. of North America, et al.
812-13451
28369 (08/28/2008)
28384 (09/19/2008)
The Penn Mutual Life Insurance Company, et al.
812-13401
28328 (07/02/2008)
28342 (07/25/2008)
ING USA Annuity & Life Insurance Co., et al.
812-13466
28256 (04/28/2008)
28285 (05/23/2008)
American Family Life Insurance Co., et al.
812-13445
28197 (03/19/2008)
28237 (04/16/2008)
Jefferson National Life Insurance Co., et al.
812-13452
28191 (03/10/2008)
28234 (04/03/2008)
MetLife Insurance Co. of Connecticut, et al.
812-13439
28190 (03/10/2008)
28236 (04/16/2008)
MetLife Insurance Company of Connecticut, et al.
812-13380
28013 (10/12/2007)
28044 (11/07/2007)
MONY Life Insurance Co. of America, et al.
812-13346
27909 (07/24/2007)
27929 (08/17/2007)
ING Life Insurance and Annuity Company, et al.
812-13361
27869 (06/20/2007)
27885 (07/16/2007)
Lincoln Variable Insurance Products Trust, et al.
812-13287
27821 (05/11/2007)
27850 (06/04/2007)
Jefferson National Life Insurance Co., et al.
812-13342
27779 (04/06/2007)
27813 (04/30/2007)
MetLife Insurance Co. of Connecticut, et al.
812-13347
27778 (04/06/2007)
27810 (04/30/2007)
John Hancock Life Insurance Co., et al.
812-13318
27752 (03/19/2007)
27781 (04/16/2007)
Country Investors Life Assurance Co., et al.
812-13325
27695 (02/02/2007)
27744 (02/28/2007)
Integrity Life Insurance Co., et al.
812-13321
27677 (01/24/2007)
27738 (02/23/2007)
Sun Life Assurance Co. of Canada (U.S.), et al.
812-13282
27651 (12/29/2006)
27688 (01/25/2007)
Insurance Products – Substitution Related Affiliated Securities Transactions
Investment Company
File No.
Notice
Order
Minnesota Life Insurance Company, et al.
812-14203
30999 (03/28/2014)
31028 (04/24/2014)
Lincoln National Life Insurance Company, et al
812-14063
30468 (04/18/2013)
30517 (05/14/2013)
New York Life Insurance & Annuity Company, et al.
812-13903
29923 (01/19/2012)
29947 (02/14/2012)
Allianz Life Insurance Company of North America, et al.
812-13821
29693 (06/10/2011)
29716 (07/06/2011)
Met Life Insurance Company of CT, et al.
812-13816
29544 (12/28/2010)
29570 (01/24/2011)
Nationwide Life Insurance Company, et al.
812-13648
29486 (10/25/2010)
29505 (11/22/2010)
AXA Equitable Life Insurance Company, et al.
812-13686
29338 (07/07/2010)
29372 (07/29/2010)
MetLife Insurance Company of Connecticut, et al.
812-13700
29190 (03/25/2010)
29211 (04/20/2010)
Nationwide Life Ins. Co., et al.
812-13495
28767 (06/12/2009)
28815 (07/08/2009)
MetLife Ins. Co. of Connecticut, et al.
812-13588
28678 (03/25/2009)
28699 (04/20/2009)
Sun Life Assurance Company of Canada (U.S.), et al.
812-13402
28570 (12/23/2008)
28607 (01/22/2009)
Riversource Life Insurance Co., et al.
812-13492
28527 (12/04/2008)
28575 (12/30/2008)
Allianz Life Insurance Co. of North America, et al.
812-13474
28480 (10/30/2008)
28521 (11/25/2008)
Allianz Life Insurance Co. of North America, et al.
812-13451
28369 (08/28/2008)
28384 (09/19/2008)
The Penn Mutual Life Insurance Company, et al.
812-13401
28328 (07/02/2008)
28342 (07/25/2008)
Jefferson National Life Insurance Co., et al.
812-13452
28191 (03/10/2008)
28234 (04/03/2008)
MetLife Insurance Co. of Connecticut, et al.
812-13439
28190 (03/10/2008)
28236 (04/16/2008)
John Hancock Life Insurance Company, et al.
812-13414
28065 (11/26/2007)
28081 (12/21/2007)
MetLife Insurance Company of Connecticut, et al.
812-13380
28013 (10/12/2007)
28044 (11/07/2007)
MONY Life Insurance Co. of America, et al.
812-13346
27909 (07/24/2007)
27929 (08/17/2007)
ING Life Insurance and Annuity Company, et al.
812-13361
27869 (06/20/2007)
27885 (07/16/2007)
Lincoln Variable Insurance Products Trust, et al.
812-13287
27821 (05/11/2007)
27850 (06/04/2007)
Jefferson National Life Insurance Co., et al.
812-13342
27779 (04/06/2007)
27813 (04/30/2007)
MetLife Insurance Co. of Connecticut, et al.
812-13347
27778 (04/06/2007)
27810 (04/30/2007)
Sun Life Assurance Co. of Canada (U.S.), et al.
812-13282
27651 (12/29/2006)
27688 (01/25/2007)
Insurance Products – Mixed and Shared Funding
Investment Company
File No.
Notice
Order
BlackRock Variable Series Funds, Inc., et al.
812-14901
33119 (06/06/2018)
33145 (07/03/2018)
The RBB Fund, Inc., et al.
812-14206
31648 (05/27/2015)
31687 (06/23/2015)
SunAmerica Series Trust, et al.
812-14226
31281 (10/10/2014)
31331 (11/05/2014)
Managed Portfolio Series, et al.
812-14250
31268A (10/15/2014)
31323 (10/31/2014)
Managed Portfolio Series, et al.
812-14250
31268 (09/29/2014)
31323 (10/31/2014)
Arden Investment Series Trust, et al.
812-14152
30745 (10/17/2013)
30781 (11/12/2013)
Variable Insurance Trust, et al.
812-14108
30700 (09/24/2013)
30749 (10/22/2013)
Hatteras Variable Trust, et al.
812-14040
30296 (12/06/2012)
30338 (01/02/2013)
Northern Lights Var. Trust, et al.
812-13863
29729 (07/19/2011)
29757 (08/16/2011)
Fairholme VP Series Fund, Inc., et al.
812-13854
29619 (03/28/2011)
29661 (04/26/2011)
MML Series Investment Fund, et al.
812-13611
28849 (08/20/2009)
28901 (09/15/2009)
Mainstay VP Series Fund, Inc., et al.
812-13515
28619 (02/20/2009)
28651 (03/18/2009)
TIAA-CREF Life Funds, et al.
812-13563
28530 (12/10/2008)
28577 (01/06/2009)
Financial Investors Variable Insurance Trust, et al.
812-13359
27965 (09/04/2007)
27999 (09/27/2007)
Sentinel Variable Products Trust, et al.
812-13353
27921 (08/03/2007)
27959 (08/29/2007)
Delaware VI P Trust, et al.
812-13333
27886 (07/16/2007)
27926 (08/09/2007)
Principal Variable Contracts Fund, Inc., et al.
812-13338
27852 (06/18/2007)
27887 (07/17/2007)
XTF Advisors Trust, et al.
812-13334
27783 (04/25/2007)
27825 (05/22/2007)
Wilshire Variable Insurance Trust, et al.
812-13272
27701 (02/16/2007)
27751 (03/15/2007)
Interfund Lending
Investment Company
File No.
Notice
Order
Calamos Investment Trust, et al.
812-15173
34273 (05/19/2021)
34303 (06/17/2021)
Symmetry Panoramic Trust and Symmetry Partners, LLC
812-15066
34165 (01/06/2021)
34187 (02/02/2021)
Frost Family of Funds and Frost Investment Advisors, LLC
812-15142
34031 (09/29/2020)
34074 (10/27/2020)
First Trust Series Fund, et. al.
812-15075
33857 (04/28/2020)
33888 (05/27/2020)
Blackstone Alternative Alpha Fund, et al.
812-15021
33703 (11/22/2019)
33720 (12/18/2019)
Diamond Hill Funds and Diamond Hill Capital Management, Inc.
812-14988
33616 (09/04/2019)
33652 (10/02/2019)
Eaton Vance Growth Trust, et al.
812-14868
33447 (04/15/2019)
33473 (05/13/2019)
Franklin Alternative Strategies Funds, et al.
812-14819
33095 (05/10/2018)
33117 (06/05/2018)
Aquila Funds Trust, et al.
812-14321
33061 (03/28/2018)
33078 (04/24/2018)
Columbia Funds Series Trust, et al.
812-14842
32998 (01/30/2018)
33036 (02/27/2018)
Harbor Funds and Harbor Capital Advisors, Inc.
812-14784
32965 (01/09/2018)
33000 (02/05/2018)
PIMCO Funds, et al.
812-14756
32867 (10/23/2017)
32903 (11/20/2017)
AQR Funds, et al.
812-14741
32821 (09/18/2017)
32863 (10/19/2017)
Allianz Funds, et al.
812-14455
32631 (05/10/2017)
32671 (06/06/2017)
Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC
812-14636
32584 (03/30/2017)
32611 (04/25/2017)
AB Bond Fund Inc., et al.
812-14677
32540 (03/22/2017)
32600 (04/18/2017)
Advanced Series Trust, et al.
812-14608
32523 (03/07/2017)
32593 (04/05/2017)
Victory Portfolios, et al.
812-14719
32519 (03/02/2017)
32577 (03/28/2017)
Touchstone Investment Trust, et al.
812-14612
32515 (02/28/2017)
32580 (03/28/2017)
Neuberger Berman Investment Advisers LLC, et al.
812-14563-11
32513 (02/27/2017)
32578 (03/28/2017)
Transamerica Funds, et al.
812-14676
32400 (12/21/2016)
32424 (01/18/2017)
Virtus Alternative Solutions Trust, et al.
812-14603
32398 (12/21/2016)
32425 (01/18/2017)
The Boston Trust & Walden Funds, et al.
812-14654
32353 (11/07/2016)
32377 (12/02/2016)
Hartford Mutual Funds Inc., et al.
812-14652
32338 (10/26/2016)
32364 (11/22/2016)
Nuveen Fund Advisors, LLC, et al.
812-14619
32322 (10/21/2016)
32359 (11/16/2016)
First Investors Equity Funds, et al.
812-14594
32318 (10/14/2016)
32355 (11/09/2016)
Harris Associates Investment Trust, et al.
812-14609
32306 (10/05/2016)
32347 (11/01/2016)
Legg Mason Global Asset Management Trust, et al.
812-14583
32300 (10/03/2016)
32354A (11/07/2016)
Calvert Social Investment Fund, et al.
812-14529
32234 (08/24/2016)
32270 (09/20/2016)
Blackrock Funds, et al.
812-14497
32209 (08/08/2016)
32252 (09/06/2016)
Lord Abbett Family of Funds and Lord, Abbett & Co. LLC
812-14502
32167 (06/29/2016)
32192 (07/26/2016)
MainStay Funds Trust, et al.
812-14523
32163 (06/27/2016)
32190 (07/25/2016)
Nationwide Mutual Funds, et al.
812-14573
32115 (05/16/2016)
32148 (06/13/2016)
TCW Alternative Funds, et al.
812-14561
32113 (05/11/2016)
32141 (06/07/2016)
Bridge Builder Trust, et al.
812-14492
32103 (05/04/2016)
32135 (06/01/2016)
AMCAP Fund, et al.
812-14384
32049 (03/24/2016)
32077 (04/19/2016)
PNC Funds, et al.
812-14530
31976 (02/01/2016)
32010 (02/29/2016)
JNL Series Trust, et al.
812-14270
31261 (09/24/2014)
31297 (10/20/2014)
BMO Funds, Inc., et al.
812-14217
31146 (07/02/2014)
31193 (07/30/2014)
Ivy Funds, et al.
812-14216
31068 (06/02/2014)
31138 (06/30/2014)
Vanguard Admiral Funds, et al.
812-13597
31021 (04/17/2014)
31044 (05/13/2014)
DFA Investment Dimensions Group Inc., et al.
812-14208
30976 (03/07/2014)
31001 (04/02/2014)
Fidelity Aberdeen Street Trust, et al.
812-13731
30258 (11/06/2012)
30288 (12/03/2012)
John Hancock Variable Insurance Trust, et al.
812-13621
29865 (11/18/2011)
29885 (12/14/2011)
MFS Series Trust I, et al.
812-13606
29827 (09/30/2011)
29849 (10/26/2011)
Principal Funds Inc.
812-13869
29824 (09/29/2011)
29843 (10/25/2011)
Northern Funds
812-13707
29368 (07/23/2010)
29381 (08/18/2010)
The Alger Funds, et al.
812-13578
28819 (07/16/2009)
28844 (08/11/2009)
The Managers Funds, et al.
812-13551
28748 (05/28/2009)
28770 (06/23/2009)
Dodge & Cox Funds
812-13480
28409 (09/29/2008)
28470 (10/27/2008)
Pioneer Bond Fund, et al.
812-13427
28144 (02/05/2008)
28182 (03/04/2008)
Interval Funds
Investment Company
File No.
Notice
Order
Voya Senior Income Fund, et al.
812-15314
34609 (06/03/2022)
34640 (06/29/2022)
Lord Abbett Floating Rate High Income Fund, et al.
812-15097
34308 (06/22/2021)
34336 (07/19/2021)
Arca U.S. Treasury Fund and Arca Capital Management, LLC
812-15145
34026 (09/24/2020)
34055 (10/20/2020)
Aspiriant Defensive Allocation Fund and Aspiriant LLC
812-15051
33924 (07/10/2020)
33961 (07/31/2020)
Aspiriant Defensive Allocation Fund and Aspiriant LLC
812-15051
33893 (06/15/2020)
Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC
812-14832
33101 (05/21/2018)
33124 (06/18/2018)
Blackstone / GSO Floating Rate Enhanced Income Fund, et al.
812-14796
32866 (10/23/2017)
32902 (11/20/2017)
BTOP50 CTA Index Fund
812-12984
28045 (11/08/2007)
28074 (12/04/2007)
Joint Transaction
Investment Company
File No.
Notice
Order
Terra Capital Partners, LLC, et al.
812-14645
32097 (04/26/2016)
32117 (05/18/2016)
ING Investments, LLC, et al.
812-14013
30295 (12/06/2012)
30337 (01/02/2013)
Main Street Capital Corporation, et al.
812-13804
29922 (01/17/2012)
29946 (02/14/2012)
Forward Funds, et al.
812-13543
28640 (03/03/2009)
28682 (03/30/2009)
The Franklin, Templeton and Mutual Series Funds, et al.
812-13499
28574 (12/29/2008)
28608 (01/26/2009)
MFS Series Trust X, et al.
812-13234
27662 (01/13/2007)
27698 (02/13/2007)
Investment Company
File No.
Notice
Order
Federated Hermes Project and Trade Finance Tender Fund and Federated Investment Management Company
812-15334
34621 (06/22/2022)
34650 (07/19/2022)
Blackrock Capital Investment Advisors, LLC and Blackrock Private Credit Fund
812-15298
34606 (06/02/2022)
34639 (06/28/2022)
Churchill Asset Management LLC and Nuveen Churchill Private Capital Income Fund
812-15312
34569 (04/21/2022)
34586 (05/17/2022)
Alpha Alternative Assets Fund and Alpha Growth Management LLC
812-15277
34530 (03/09/2022)
34555 (04/05/2022)
John Hancock Asset-Based Lending Fund and John Hancock Investment Management LLC
812-15276
34491 (01/31/2022)
34524 (03/03/2022)
Fairway Private Equity & Venture Capital Opportunities Fund and Fairway Capital Management, LLC
812-15257
34462 (01/04/2022)
34492 (02/01/2022)
Apollo Credit Management, LLC and Apollo Debt Solutions BDC
812-15192 and 812-15192-01
34461 (01/03/2022)
34489 (01/31/2022)
Oaktree Fund Advisors, LLC and Oaktree Diversified Income Fund Inc.
812-15246
34436 (12/10/2021)
34464 (01/05/2022)
MassMutual Access Pine Point Fund, et al.
812-15233
34435 (12/08/2021)
34459 (12/30/2021)
PGIM Private Real Estate Fund, Inc.
812-15266
34434 (12/03/2021)
34455 (12/29/2021)
Fortune V Separate Tài khoản, et al.
812-15263
34429 (11/30/2021)
34453 (12/23/2021)
Bow River Capital Evergreen Fund, et al.
812-15258
34421 (11/19/2021)
34442 (12/15/2021)
AFA Multi-Manager Credit Fund and Alternative Fund Advisors, LLC
812-15200
34414 (11/02/2021)
34430 (12/01/2021)
The Optima Dynamic Alternatives Fund, Et Al
812-15250
34381 (09/24/2021)
34409 (10/21/2021)
MVP Private Markets Fund, et al;
812-15244
34334 (07/16/2021)
34356 (08/11/2021)
BNY Mellon Alcentra Opportunistic Global Credit Income Fund and BNY Mellon Investment Adviser, Inc.
812-15214
34320 (06/29/2021)
34344 (07/26/2021)
Calamos-Avenue Opportunities Fund and Calamos Avenue Management, LLC
812-15131
34300 (06/14/2021)
34327 (07/12/2021)
HPS Corporate Lending Fund and HPS Investment Partners, LLC
812-15207
34259 (04/29/2021)
34275 (05/25/2021)
SharesPost 100 Fund and Liberty Street Advisors, Inc.
812-15185
34240 (04/05/2021)
34262 (05/03/2021)
NB Crossroads Private Markets Access Fund LLC and Neuberger Berman Investment Advisers LLC
812-15150
34094 (11/13/2020)
34132 (12/08/2020)
First Eagle Credit Opportunities Fund, et al.
812-15144
34080 (10/30/2020)
34126 (12/01/2020)
Primark Private Equity Investments Fund and Primark Advisors LLC
812-15139
34054 (10/20/2020)
34098 (11/17/2020)
361 Social Infrastructure Fund and 361 Infrastructure Partners, LLC
812-15104
34051 (10/15/2020)
34091 (11/10/2020)
GSO Asset Management LLC and Blackstone Private Credit Fund
812-15114
34011 (09/14/2020)
34044 (10/06/2020)
Resource Credit Income Fund and Sierra Crest Investment Management LLC
812-15147
34001 (09/02/2020)
34033 (09/29/2020)
Owl Rock Capital Corporation II, et al.
812-15095
33972 (08/17/2020)
34012 (09/15/2020)
Keystone Private Income Fund and Keystone National Group, LLC
812-15073
33917 (07/01/2020)
33957 (07/28/2020)
Hamilton Lane Private Assets Fund and Hamilton Lane Advisors, L.L.C.
812-15098
33896 (06/17/2020)
33926 (07/14/2020)
KKR Credit Opportunities Portfolio and KKR Credit Advisors (US) LLC
812-15067
33840 (04/16/2020)
33863 (05/12/2020)
Conversus StepStone Private Markets and StepStone Conversus LLC
812-15074
33815 (03/12/2020)
33851 (04/23/2020)
Prospect Capital Management L.P., et al.
812-15037
33800 (02/19/2020)
33822 (03/24/2020)
FS Energy and Power Fund and FS/EIG Advisor, LLC
812-14383-09
33794 (01/29/2020)
33803 (02/25/2020)
Goldman Sachs Real Estate Diversified Income Fund, et al.
812-15081
33743 (01/09/2020)
33797 (02/04/2020)
CIM Real Assets & Credit Fund, et al.
812-15001
33630 (09/23/2019)
33659 (10/22/2019)
Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC
812-15004
33610 (08/27/2019)
33632 (09/24/2019)
1WS Credit Income Fund and 1WS Capital Advisers, LLC
812-14964
33556 (07/16/2019)
33589 (08/14/2019)
Lord Abbett Credit Opportunities Fund, et al.
812-14962
33513 (06/19/2019)
33558 (07/16/2019)
Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC
812-14854
33509 (06/13/2019)
33547 (07/09/2019)
Axonic Alternative Income Fund and Axonic Capital LLC
812-14968
33508 (06/13/2019)
33553 (07/15/2019)
Cresset Private Markets Opportunity Fund and Cresset SPG, LLC
812-14915
33497 (05/31/2019)
33536 (06/27/2019)
Ellington Income Opportunities Fund, et al.
812-14975
33470 (05/08/2019)
33501 (06/04/2019)
Principal Diversified Select Income Fund, et al.
812-14932
33441 (04/08/2019)
33466 (05/06/2019)
American Beacon Sound Point Enhanced Income Fund, et al.
812-14959
33393 (03/08/2019)
33439 (04/03/2019)
BlackRock Credit Strategies Fund, et al.
812-14956
33388 (03/05/2019)
33437 (04/02/2019)
Cliffwater Corporate Lending Fund and Cliffwater LLC
812-14902
33318 (12/06/2018)
33365 (02/01/2019)
Stone Ridge Trust II, et al.
812-14900
33315 (12/04/2018)
33363 (02/01/2019)
Destra International & Event-Driven Credit Fund and Destra Capital Advisors LLC
812-14903
33268 (10/11/2018)
33293 (11/09/2018)
Hedge Fund Guided Portfolio Solution, et al.
812-14899
33255 (09/26/2018)
33278 (10/23/2018)
Variant Alternative Income Fund and Variant Investments, LLC
812-14895
33242 (09/20/2018)
33269 (10/12/2018)
Broadstone Real Estate Access Fund, et al.
812-14928
33220 (09/07/2018)
33258 (09/28/2018)
PIMCO Flexible Credit Income Fund, et al.
812-14767
33219 (09/06/2018)
33262 (10/02/2018)
OFI Carlyle Private Credit Fund and OC Private Capital, LLC
812-14853
33168 (07/24/2018)
33204 (08/20/2018)
Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc.
812-14662
33108 (05/24/2018)
33127 (06/19/2018)
Angel Oak Strategic Credit Fund and Angel Oak Capital Advisors, LLC
812-14851
33066 (04/05/2018)
33089 (05/01/2018)
The Relative Value Fund et al.
812-14683
32884 (10/26/2017)
32904 (11/21/2017)
Blackstone / GSO Floating Rate Enhanced Income Fund, et al.
812-14795
32865 (10/23/2017)
32901 (11/20/2017)
Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC
812-14725
32860 (10/12/2017)
32897 (11/07/2017)
PREDEX and PREDEX Capital Management, LLC
812-14770
32837 (09/27/2017)
32870 (10/24/2017)
Sharespost 100 Fund and SP Investments Management, LLC
812-14759
32768 (07/31/2017)
32799 (08/28/2017)
USQ Core Real Estate Fund and Union Square Capital Partners, LLC
812-14733
32767 (07/31/2017)
32798 (08/28/2017)
Vertical Capital Income Fund and Oakline Advisors, LLC
812-14716
32723 (07/03/2017)
32766 (07/31/2017)
Triloma EIG Energy Income Fund, et al.
812-14435
32679 (06/13/2017)
32730 (07/11/2017)
CION Ares Diversified Credit Fund, et al.
812-14711
32678 (06/13/2017)
32731 (07/11/2017)
Sierra Total Return Fund, et al.
812-14713
32632 (05/10/2017)
32670 (06/06/2017)
Winton Diversified Opportunities Fund and Winton Capital US LLC
812-14694
32585 (03/30/2017)
32614 (04/26/2017)
NorthStar/Townsend Institutional Real Estate Fund Inc., et al.
812-14708
32472 (02/07/2017)
32524 (03/07/2017)
FS Global Credit Opportunities Fund, et al.
812-14567
32221 (08/17/2016)
32257 (09/12/2016)
Ramius Archview Credit and Distressed Fund and Ramius Advisors, LLC
812-14501
32139 (06/06/2016)
32168 (07/05/2016)
ABS Long/Short Strategies Fund and ABS Investment Management LLC
812-14587
32090 (04/21/2016)
32116 (05/18/2016)
Susa Registered Fund, L.L.C., et al.
812-14518
31975 (01/29/2016)
32004 (02/24/2016)
Altegris KKR Commitments Master Fund, et al.
812-14415
31944 (12/17/2015)
31955 (01/12/2016)
Wildermuth Endowment Strategy Fund, et al.
812-14534
31896 (11/05/2015)
31922 (12/01/2015)
CLA Strategic Allocation Fund and CLA Asset Management, LLC
812-14533
31863 (10/07/2015)
31890 (11/03/2015)
Pomona Investment Fund, et al.
812-14416
31819 (09/11/2015)
31862 (10/07/2015)
Archstone Alternative Solutions Fund and A.P. Management Company, LLC
812-14434
31761 (08/14/2015)
31817 (09/10/2015)
FEG Absolute Access TEI Fund LLC and FEG Investors, LLC
812-14352
31758 (08/13/2015)
31814 (09/09/2015)
AMG Pantheon Private Equity Fund, LLC, et al.
812-14337
31728 (07/29/2015)
31767 (08/24/2015)
Little Harbor MultiStrategy Composite Fund and Little Harbor Advisors, LLC
812-14395
31726 (07/28/2015)
31768 (08/25/2015)
Griffin Institutional Access Real Estate Fund and Griffin Capital Advisor, LLC
812-14373
31509 (03/23/2015)
31559 (04/20/2015)
Princeton Private Equity Fund and Princeton Fund Advisors, LLC
812-14367
31512 (03/25/2015)
31562 (04/22/2015)
Corsair Opportunity Fund, et al.
812-14326
31454 (02/10/2015)
31501 (03/10/2015)
ACAP Strategic Fund and SilverBay Capital Management LLC
812-14333
31372 (12/11/2014)
31406 (01/06/2015)
Morgan Creek Global Equity Long/Short Institutional Fund, et al.
812-14093
31369 (12/11/2014)
31405 (01/06/2015)
Alternative Strategies Fund and Ladenburg Thalmann Asset Management, Inc.
812-14328
31360 (12/01/2014)
31400 (12/24/2014)
Alliancebernstein Multi-Manager Alternative Fund, et al.
812-14227
31322 (10/31/2014)
31345 (11/24/2014)
Evanston Alternative Opportunities Fund and Evanston Capital Management, LLC.
812-14293
31250 (09/15/2014)
31285 (10/14/2014)
Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc.
812-14244
31093 (06/23/2014)
31162 (07/22/2014)
College Retirement Equities Fund, et al.
812-14305
31092 (06/23/2014)
31204 (08/11/2014)
Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc.
812-14147
31046 (05/13/2014)
31075 (06/10/2014)
Steben Select Multi-Strategy Fund and Steben & Company, Inc.
812-14144
31029 (04/25/2014)
31052 (05/21/2014)
Multi-Strategy Growth & Income Fund, et al.
812-14228
30860 (01/15/2014)
30911 (02/11/2014)
Total Income+ Real Estate Fund, et al.
812-14184
30859 (01/15/2014)
30912 (02/11/2014)
CPG Carlyle Private Equity Fund, LLC, et al.
812-14089
30512 (05/09/2013)
30547 (06/04/2013)
Blackstone Alternative Alpha Fund, et al.
812-14026
30280 (11/26/2012)
30317 (12/26/2012)
Permal Hedge Strategies Fund, et al.
812-14011
30228 (10/09/2012)
30257 (11/05/2012)
Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC
812-14008
30103 (06/14/2012)
30133 (07/10/2012)
BlackRock Preferred Partners LLC, et al.
812-13964
30160 (08/02/2012)
30182 (08/28/2012)
ASGI Agility Income Fund
812-13866
29793 (09/19/2011)
29837 (10/15/2011)
Highland Capital Management, L.P., et al.
812-13221
28888 (08/27/2009)
28908 (09/22/2009)
Allianz RCM Global EcoTrends Fund
812-13364
27936 (08/23/2007)
27971 (09/18/2007)
Multi-Manager – Voting
Investment Company
File No.
Notice
Order
Alpha Architect ETF Trust and Empowered Funds, LLC
812-15243
34505 (02/15/2022)
34532 (03/15/2022)
Innovator ETFS Trust and Innovator Capital Management, LLC
812-14780
32813 (09/11/2017)
32855 (10/06/2017)
Homestead Funds, Inc. and RE Advisers Corporation
812-14664
32602 (04/19/2017)
32636 (05/16/2017)
Aspiration Funds and Aspiration Fund Adviser, LLC
812-14389
32432 (01/24/2017)
32504 (02/22/2017)
Academy Funds Trust and Innovator Management LLC
812-14358
31679 (06/17/2015)
31711 (07/09/2015)
Crow Point Partners, LLC and Northern Lights Fund Trust
812-13858
31431 (01/28/2015)
31470 (02/24/2015)
Persimmon Capital Management LP and Northern Lights Fund Trust III
812-14251
31218 (08/19/2014)
31284 (10/01/2014)
Altegris Advisors L.L.C. and Northern Lights Fund Trust
812-14196
31221 (08/22/2014)
31189 (07/28/2014)
Valmark Advisers, Inc. and Northern Lights Variable Trust
812-13951
31071 (06/04/2014)
31142 (07/01/2014)
Catalyst Capital Advisors LLC and Mutual Fund Series Trust
812-14101
30832 (12/16/2013)
30854 (01/13/2014)
Compass Efficient Model Portfolios, LLC, et al.
812-13881
30550 (06/04/2013)
30588 (07/02/2013)
Highland Associates, Inc. and Financial Investors Trust
812-14006
30259 (11/09/2012)
30291 (12/05/2012)
LoCorr Fund Management, LLC and LoCorr Investment Trust
812-13913
30168 (08/14/2012)
30199 (09/11/2012)
Franklin Advisers, Inc. and Franklin Templeton International Trust
812-13900
30105 (06/18/2012)
30138 (07/17/2012)
Hirtle Callaghan & Co., LLC and HC Capital Trust
812-13859-01
30102 (06/11/2012)
30132 (07/10/2012)
Preservation Trust Advisors, LLC and Northern Lights Fund Trust
812-13965
29937 (01/26/2012)
29951 (02/22/2012)
Genesis Capital, LLC and Northern Lights Fund Trust
812-13935
29867 (11/21/2011)
29888 (12/19/2011)
Bandon Capital Management, LLC and Northern Lights Fund Trust
812-13936
29864 (11/17/2011)
29882 (12/13/2011)
Curian Series Trust, et al.
812-13855
29794 (09/19/2011)
29836 (10/17/2011)
RidgeWorth Funds
812-13860
29743 (08/03/2011)
29773 (08/30/2011)
HIGHMARK Funds, et al.
812-13143
29723 (07/12/2011)
29750 (08/08/2011)
Altegris Advisors, L.L.C., et al.
812-13851
29689 (06/01/2011)
29710 (06/28/2011)
The Integrity Funds, et al.
812-13763
29399 (08/25/2010)
29418 (09/21/2010)
WisdomTree Asset Management, Inc. and WisdomTree Trust
812-13733
29380 (08/13/2010)
29412 (09/08/2010)
Members Mutual Funds, et al.
812-13654
29062 (11/23/2009)
29096 (12/22/2009)
AdvisorOne Funds and CLS Investments, LLC
812-13643
28894 (08/31/2009)
28932 (09/28/2009)
Forward Funds, et al.
812-13533
28420 (09/29/2008)
28469 (10/27/2008)
Phoenix Equity Trust, et al.
812-13526
28375 (09/03/2008)
28410 (09/29/2008)
AARP Funds
812-13251
27918 (07/31/2007)
27956 (08/28/2007)
First Investors Equity Funds
812-13350
27826 (05/23/2007)
27868 (06/20/2007)
Forward Funds, et al.
812-13249
27777 (04/05/2007)
27814 (05/01/2007)
Liberty All-Star Equity Fund, et al.
812-13327
27741 (02/27/2007)
27769 (03/27/2007)
Multi-Manager – Voting & Disclosure
Investment Company
File No.
Notice
Order
Quaker Investment Trust and Community Capital Management, LLC.
812-15319
34648 (07/13/2022)
Advisors Series Trust and Semper Capital Management, L.P.
812-15231
34500 (02/09/2022)
34528 (03/08/2022)
Catholic Responsible Investments Funds and Christian Brothers Investment Services, Inc.
812-15264
34474 (01/19/2022)
34508 (02/15/2022)
ETF Opportunities Trust and Applied Finance Advisors, LLC
812-15217
34463 (01/05/2022)
34494 (02/02/2022)
Investment Managers Series Trust and Hamilton Lane Advisors, L.L.C.
812-15229
34370 (09/01/2021)
34385 (09/27/2021)
Uncommon Investment Funds Trust and Uncommon Investment Advisors LLC
812-15180
34331 (07/15/2021)
34354 (08/11/2021)
New Age Alpha Trust and New Age Alpha Advisors, LLC
812-15187
34322 (07/06/2021)
34348 (08/03/2021)
Listed Funds Trust and Skyrocket Investments, LLC
812-15202-01
34293 (06/02/2021)
34321 (06/29/2021)
Simplify Exchange Traded Funds and Simplify Asset Management Inc.
812-15154
34274 (05/24/2021)
34306 (06/21/2021)
Azzad Funds and Azzad Asset Management, Inc.
812-15189
34241 (04/05/2021)
34261 (04/30/2021)
The Advisors’ Inner Circle Fund and Pathstone Family Office, LLC
812-15166
34184 (02/01/2021)
34216 (02/26/2021)
ETF Series Solutions and Distillate Capital Partners LLC
812-15171
34169 (01/11/2021)
34190 (02/08/2021)
Esoterica Thematic Trust and Esoterica Capital LLC
812-15106
34161 (01/04/2021)
34185 (02/01/2021)
ETF Series Solutions and Clearshares LLC
812-15167
34144 (12/21/2020)
34174 (01/19/2021)
Investment Managers Series Trust II and AXS Investments LLC
812-15100
34075 (10/27/2020)
34104 (11/23/2020)
Managed Portfolio Series and Tortoise Index Solutions, LLC
812-15116
34072 (10/26/2020)
34105 (11/23/2020)
Horizon Funds and Horizon Investments, LLC
812-15089
34039 (10/01/2020)
34077 (10/27/2020)
Federated Hermes Adviser Series, et al.
812-15055
34002 (09/02/2020)
34040 (10/01/2020)
USCF Advisers LLC, et al.
812-14774-02
33859 (04/30/2020)
33887 (05/27/2020)
Legg Mason Partners Equity Trust, et al.
812-15008
33853 (04/24/2020)
33873 (05/20/2020)
Capitol Series Trust and Cornerstone Capital Inc.
812-15049
33842 (04/17/2020)
33865 (05/13/2020)
Guinness Atkinson Funds and Guinness Atkinson Asset Management, Inc.
812-15062
33813 (03/10/2020)
33849 (04/22/2020)
North Square Investments Trust, et al.
812-14957
33702 (11/21/2019)
33719 (12/17/2019)
OSI ETF Trust, et al.
812-15060
33678 (10/29/2019)
33705 (11/26/2019)
Collaborative Investment Series Trust and Tactical Fund Advisors, LLC
812-15012
33588 (08/12/2019)
33619 (09/09/2019)
PFS Funds and Castle Investment Management, LLC.
812-15010
33563 (07/23/2019)
33595 (08/20/2019)
Columbia Funds Series Trust, et al.
812-14791
33495 (05/30/2019)
33519 (06/26/2019)
ALPS Variable Investment Trust, et al.
812-14894
33468 (05/07/2019)
33500 (06/03/2019)
Carillon Series Trust, et al.
812-14194-03
33464 (05/02/2019)
33494 (05/29/2019)
Symmetry Panoramic Trust and Symmetry Partners, LLC
812-14943
33452 (04/23/2019)
33478 (05/21/2019)
Monteagle Funds and Nashville Capital Corporation
812-14881
33379 (02/21/2019)
33463 (04/30/2019)
Victory Capital Management Inc. et al.
812-14986
33369 (02/06/2019)
33387 (03/05/2019)
TigerShares Trust, et al.
812-14947
33334 (12/20/2018)
33350 (01/29/2019)
Investment Managers Series Trust and 361 Capital, LLC
812-14893
33323 (12/14/2018)
33349 (01/29/2019)
Cushing Asset Management, LP and Cushing ETF Trust
812-14945
33285 (10/30/2018)
33307 (11/27/2018)
Natixis Funds Trust I, et al.
812-14883
33265 (10/05/2018)
33287 (10/31/2018)
Advisors Asset Management, Inc. and ETF Series Solutions
812-14833
33169 (07/24/2018)
33207 (08/21/2018)
TriLine Index Solutions, LLC and ETF Series Solutions
812-14829
33159 (07/11/2018)
33192 (08/06/2018)
SL Advisors, LLC and ETF Series Solutions
812-14828
33158 (07/11/2018)
33193 (08/06/2018)
DMS ETF Trust I, et al.
812-14884
33156 (07/10/2018)
33196 (08/07/2018)
PFM Multi-Manager Series Trust and PFM Asset Management LLC
812-14815
33098 (05/15/2018)
33121 (06/13/2018)
FS Series Trust and FS Fund Advisor, LLC
812-14762
32992 (01/25/2018)
33006 (02/20/2018)
Northern Lights Fund Trust and AlphaCore Capital, LLC
812-14806
32961 (01/03/2018)32997 (01/30/2018)
Oppenheimer Capital Appreciation Fund et al.
812-14749
32956 (12/27/2017)
32972 (01/23/2018)
The Hartford Mutual Funds, Inc., et al.
812-14564
32944 (12/20/2017)
32971 (01/17/2018)
Northern Lights Fund Trust IV and Measured Risk Portfolios, Inc.
812-14797
32803 (08/31/2017)
32835 (09/26/2017)
Eagle Series Trust, et al.
812-14777-01
32802A (09/18/2017)
32861 (10/16/2017)
Eagle Series Trust, et al.
812-14777
32802 (08/31/2017)
Morningstar Funds Trust and Morningstar Investment Management LLC
812-14753
32736 (07/18/2017)
32780 (08/15/2017)
Westcore Trust and Denver Investment Advisors LLC
812-14728
32682 (06/16/2017)
32732 (07/12/2017)
Series Portfolios Trust and Highmore Group Advisors, LLC
812-14717
32660 (05/24/2017)
32684 (06/20/2017)
Investment Managers Series Trust II and Vivaldi Asset Management, LLC
812-14710
32536 (03/20/2017)
32599 (04/17/2017)
The RBB Fund, Inc. and Altair Advisers LLC
812-14386
32483 (02/21/2017)
32538 (03/21/2017)
Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC
812-14590
32481 (02/16/2017)
32530 (03/13/2017)
Brinker Capital Destinations Trust, et al.
812-14718
32479 (02/14/2017)
32535 (03/16/2017)
Destra Capital Advisors LLC, et al.
812-14629
32458 (01/30/2017)
32510 (02/27/2017)
Guardian Variable Products Trust and Park Avenue Institutional Advisers LLC
812-14627
32420 (01/09/2017)
32468 (02/06/2017)
DFA Investment Dimensions Group Inc., et al.
812-14622
32406 (12/29/2016)
32433 (01/24/2017)
Delaware Management Business Trust, et al.
812-14595
32395 (12/19/2016)
32423 (01/17/2017)
ETF Managers Group, et al.
812-14508
32317 (10/13/2016)
32358 (11/10/2016)
Virtus Alternative Solutions Trust, et al.
812-14538
32293 (09/28/2016)
32327 (10/25/2016)
Northern Lights Fund Trust and Dearborn Capital Management, LLC
812-14432
32264 (09/16/2016)
32313 (10/12/2016)
Starboard Investment Trust and Cavalier Investments, Inc
812-14630
32241 (08/29/2016)
32282 (09/26/2016)
American Independence Funds Trust, et al.
812-14666
32206 (08/03/2016)
32237 (08/25/2016)
Managed Portfolio Series and Port Street Investments, LLC
812-14585
32201 (08/02/2016)
32245 (08/30/2016)
Investment Managers Series Trust, et al.
812-14635
32195 (07/28/2016)
32224 (08/23/2016)
Mutual Fund Series Trust, et al.
812-14597
32189 (07/20/2016)
32220 (08/16/2016)
Northern Lights Fund Trust and Princeton Fund Advisors, LLC
812-14285
32032 (03/21/2016)
32079 (04/19/2016)
Amplify ETF Trust and Amplify Investments LLC
812-14591
32022 (03/03/2016)
32054 (03/29/2016)
LoCorr Fund Management, LLC and LoCorr Investment Trust
812-14540
32005 (02/24/2016)
32036 (03/22/2016)
MassMutual Premiere Funds, et al.,
812-14376
31982 (02/03/2016)
32013 (02/29/2016)
Investment Managers Series Trust, et al.
812-14478
31954 (01/11/2016)
31989 (02/08/2016)
ETF Series Solutions and AlphaClone, Inc.
812-14475
31906 (11/19/2015)
31938 (12/15/2015)
U.S. Global Investors, Inc., et al.
812-14451
31905 (11/18/2015)
31937 (12/15/2015)
Forum Funds and Exceed Advisory LLC
812-14531
31893 (11/05/2015)
31919 (12/01/2015)
The RBB Fund, Inc. and Abbey Capital Limited
812-14372
31766 (08/21/2015)
31827 (09/16/2015)
Pulteney Street Capital Management, LLC and PSP Family of Funds
812-14356
31754 (08/13/2015)
31809 (09/09/2015)
BPV Capital Management, LLC and BPV Family of Funds
812-14413
31721 (07/21/2015)
31765 (08/18/2015)
BMO Funds, Inc. and BMO Asset Management Corp.
812-14370
31603 (05/15/2015)
31666 (06/10/2015)
The MainStay Funds, et al.
812-14360
31597 (05/11/2015)
31663 (06/08/2015)
Starboard Investment Trust and Foliometrix, LLC
812-14170
31587 (04/30/2015)
31647 (05/27/2015)
ETFS Trust and ETF Securities Advisors LLC
812-14346
31511 (03/25/2015)
31557 (04/20/2015)
Exchange Traded Concepts, LLC et al.
812-14334
31453 (02/10/2015)
31502 (03/10/2015)
AB Cap Fund, Inc., et al.
812-14235
31449 (02/06/2015)
31496 (03/03/2015)
The Saratoga Advantage Trust and James Alpha Management, LLC
812-14351
31447 (02/05/2015)
31495 (03/03/2015)
Trust for Professional Managers and William Blair & Company L.L.C.
812-14349
31435 (01/28/2015)
31464 (02/23/2015)
Context Capital Advisers, LLC and Context Capital Funds
812-14266
31408 (01/06/2015)
31445 (02/03/2015)
Forum Funds II and CVR Portfolio Funds LLC
812-14344
31386 (12/18/2014)
31414 (01/13/2015)
Forum Funds II and Acuitas Investments, LLC
812-14345
31385 (12/18/2014)
31413 (01/13/2015)
SSgA Funds Management, Inc., et al.
812-13961
31384 (12/18/2014)
31412 (01/13/2015)
Advanced Series Trust, et al.
812-14159
31342 (11/20/2014)
31377 (12/16/2014)
American Century Capital Portfolios, Inc. and American Century Investment Management, Inc.
812-14329
31328 (11/04/2014)
31362 (12/02/2014)
Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC
812-14332
31302 (10/22/2014)
31339 (11/18/2014)
BlackRock Advisors, LLC, et al.
812-13784
31291 (10/16/2014)
31335 (11/12/2014)
Eagle Capital Appreciation Fund, et al.
812-14173
31239 (09/03/2014)
31269 (09/29/2014)
Advisors Series Trust and Vivaldi Asset Management, LLC
See also requests and additional information
812-14299
31226 (08/27/2014)
32378 (12/05/2016; Order Permitting Withdrawal of Application)
Northern Lights Fund Trust II and North Peak Asset Management LLC
812-14032
31222 (08/26/2014)
31254 (09/23/2014)
Principal Funds, Inc., et al.
812-14138
31203 (08/11/2014)
31244 (09/08/2014)
Steben Alternative Investment Funds and Steben & Company, Inc.
812-14314
31186 (07/24/2014)
31215 (08/19/2014)
Janus Investment Fund, et al.
812-14294
31145 (07/02/2014)
31192A (07/29/2014)
KraneShares Trust and Krane Funds Advisors, LLC
812-14284
31144 (07/02/2014)
31190 (07/29/2014)
Rothschild Larch Lane Management Company LLC and The Advisors’ Inner Circle Fund III
812-14265
31134 (06/25/2014)
31164 (07/22/2014)
Ivy Funds, et al.
812-14210
31013 (04/10/2014)
31040 (05/06/2014)
Professionally Managed Portfolios and Balter Liquid Alternatives, LLC
812-14243
31010 (04/08/2014)
31038 (05/05/2014)
Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc.
812-14231
30986 (03/19/2014)
31014 (04/15/2014)
Hatteras Alternative Mutual Funds Trust, et al.
812-14282
30969 (02/26/2014)
30991 (03/25/2014)
Legg Mason Partners Equity Trust, et al.
812-14127
30923 (02/24/2014)
30990 (03/24/2014)
KKR Series Trust and Prisma Capital Partners LP
812-14124
30905 (02/04/2014)
30973 (03/04/2014)
T. Rowe Price Global Allocation Fund, Inc. et al.
812-14224
30901 (01/31/2014)
30967 (02/26/2014)
Cornerstone Advisors Inc. and The Advisors’ Inner Circle Fund
812-14060
30884 (01/16/2014)
30916 (02/11/2014)
Wells Fargo Funds Trust, et al.
812-14090
30830 (12/13/2013)
30853 (01/08/2014)
American Beacon Funds, et al.
812-13825
30819 (12/05/2013)
30848 (12/30/2013)
AIM Growth Series (Invesco Growth Series), et al.
812-14204
30785 (11/15/2013)
30827 (12/11/2013)
Forethought Variable Insurance Trust, et al.
812-14183
30716 (09/25/2013)
30750 (10/22/2013)
The KP Funds and Callan Associates Inc.
812-14143
30693 (09/23/2013)
30748 (10/21/2013)
Franklin Templeton International Trust, et al.
812-14167
30679 (08/27/2013)
30698 (09/24/2013)
Equinox Funds Trust, et al.
812-14129
30673 (08/23/2013)
30691 (09/19/2013)
Aspiriant Global Equity Trust and Aspiriant, LLC
812-14155
30640 (08/05/2013)
30684 (09/03/2013)
Grosvenor Alternative Funds Master Trust, et al.
812-14110
30599 (07/15/2013)
30648 (08/12/2013)
Bridge Builder Trust, et al.
812-14118
30592 (07/09/2013)
30641 (08/06/2013)
The Dreyfus Corporation, et al.
812-13637
30580 (06/26/2013)
30608 (07/23/2013)
ING Investments, LLC, et al.
812-14111
30566 (06/24/2013)
30603 (07/22/2013)
First Trust Exchange-Traded Fund, et al.
812-14070
30546 (06/03/2013)
30587 (07/01/2013)
Frank Russell Company, et al.
812-13783
30524 (05/17/2013)
30556 (06/12/2013)
Goldman Sachs Trust II, et al.
812-14078
30496 (04/29/2013)
30542 (05/29/2013)
Symetra Mutual Funds Trust, et al.
812-14081
30472 (04/19/2013)
30516 (05/14/2013)
Trust for Professional Managers and Aurora Investment Management L.L.C.
812-14113
30460 (04/12/2013)
30510 (05/08/2013)
Munder Series Trust, et al.
812-14099
30441 (03/29/2013)
30493 (04/24/2013)
Blackstone Alternative Investment Funds, et al.
812-14076
30416 (03/07/2013)
30444 (04/02/2013)
Cohen & Steers Real Assets Fund, Inc., et al.
812-14003
30413 (03/04/2013)
30442 (03/29/2013)
AdvisorShares Investments, LLC and AdvisorShares Trust
812-14027
30381 (02/12/2013)
30421 (03/11/2013)
Arden Investment Series Trust and Arden Asset Management LLC
812-14062
30255 (11/02/2012)
30283 (11/28/2012)
Trust for Professional Managers, et al.
812-14012
30235 (10/18/2012)
30263 (11/14/2012)
PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc.
812-14000
30224 (09/27/2012)
30241 (10/23/2012)
Neuberger Berman Alternative Funds, et al.
812-13988-01
30206 (09/18/2012)
30232 (10/15/2012)
Cash Tài khoản Trust, et al.
812-13512
30151 (07/25/2012)
30172 (08/20/2012)
Capital Research and Management Company, et al.
812-13616-09
30150 (07/25/2012)
30173 (08/20/2012)
IndexIQ Advisors LLC, et al.
812-13957
30130 (07/09/2012)
30161 (08/03/2012)
Advisors Series Trust and Orinda Asset Management, LLC
812-13889
30043 (04/23/2012)
32254 (09/08/2016; Intention to Rescind a Prior Order)
30065 (05/21/2012)
32302 (10/04/16; Order Rescinding a Prior Order)
Domini Social Investment Trust and Domini Social Investments LLC
812-13971
29984 (03/21/2012)
30035 (04/17/2012)
Investment Managers Ser
812-13891
29787 (09/13/2011)
29833 (10/12/2011)
Pax World Funds Series Trust, et al.
812-13883
29751 (08/10/2011)
29783 (09/07/2011)
Sterling Capital Funds, et al.
812-13834
29713 (07/01/2011)
29738 (07/26/2011)
Simple Alternatives, LLC, et al.
812-13801
29616 (03/24/2011)
29629 (04/19/2011)
Highland Capital Management, L.P. and Highland Funds I
812-13770
29445 (09/27/2010)
29488 (10/26/2010)
American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company
812-13708
29444 (09/27/2010)
29483 (10/25/2010)
Northern Lights Fund Trust
812-13651
29208 (04/16/2010)
29267 (05/12/2010)
Lincoln Variable Insurance
812-13732
29170 (03/09/2010)
29197 (03/31/2010)
Cash Tài khoản Trust, et al.
812-13678
29094 (12/16/2009)
29109 (01/12/2010)
Strategic Funds, Inc., et al.
812-13712
29064 (11/30/2009)
29097 (12/23/2009)
Grail Advisors LLC and Grail Advisors ETF Trust
812-13516
28900 (09/14/2009)
28944 (10/08/2009)
GE Funds, et al.
812-13545
28808 (07/02/2009)
28839 (07/28/2009)
Embarcadero Funds, Inc., et al.
812-13633
28769 (06/22/2009)
28820 (07/20/2009)
Trust for Professional Managers, et al.
812-11351
28382 (09/19/2008)
28439 (10/15/2008)
Aberdeen Asset Management Inc.
812-13528
28364 (08/25/2008)
28385 (09/22/2008)
Advisors Series Trust, et al.
812-13473
28175 (02/27/2008)
28201 (03/25/2008)
Unified Series Trust
812-13450
28071 (11/30/2007)
28117 (12/27/2007)
Trust for Professional Managers, Inc.
812-13408
27964 (08/31/2007)
27995 (09/26/2007)
Aston Funds
812-13375
27879 (06/29/2007)
27910 (07/25/2007)
First American Investment Funds, Inc.
812-13268
27818 (05/04/2007)
27846 (05/30/2007)
Old Westbury Funds, Inc. and Bessemer Investment Management LLC
812-13286
27807 (04/27/2007)
27837 (05/23/2007)
New River Funds and New River Advisers LLC
812-13319
27653 (01/03/2007)
27690 (01/31/2007)
Forum Funds, et al.
812-13265
27605 (12/20/2006)
27665 (01/18/2007)
The MainStay Funds, et al.
812-13257
27595 (12/11/2006)
27656 (01/08/2007)
Non-In-Person Board Meetings
Investment Company
File No.
Notice
Order
Goldman Sachs Trust II, et al
812-15336
34638 (06/27/2022)
34654 (07/25/2022)
Brighthouse Funds Trust I, et al.
812-15310
34552 (04/01/2022)
34572 (04/27/2022)
Morgan Stanley Pathway Funds
812-15295
34502 (02/10/2022)
34525 (03/08/2022)
Brinker Capital Destinations Trust
812-15293
34501 (02/10/2022)
34526 (03/08/2022)
Bridge Builder Trust, et al.
812-15278
34433 (12/03/2021)
34456 (12/29/2021)
SEI Asset Allocation Trust, Et Al
812-15268
34418 (11/15/2021)
34437 (12/13/2021)
Optimum Fund Trust, et al.
812-15183
34386 (09/27/2021)
34410 (10/25/2021)
Nationwide Mutual Funds, et al.
812-15210
34302 (06/16/2021)
34329 (07/13/2021)
Russell Investment Company, et al.
812-15134
34200 (02/23/2021)
34238 (03/30/2021)
Columbia Funds Series Trust, et al.
812-15130
34197 (02/18/2021)
34224 (03/16/2021)
Northern Funds and Northern Trust Investments, Inc.
812-15155
34095 (11/13/2020)
34133 (12/09/2020)
Principal Funds, Inc., et al.
812-15115
33973 (08/19/2020)
34013 (09/15/2020)
Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC
812-15007
33748 (01/21/2020)
33801 (02/19/2020)
Other
Investment Company
File No.
Notice
Order
WCB Investment Pool LLC
812-15079
34582 (05/12/2022)
34611 (06/07/2022)
Voya Russia Fund, a Series of Voya Mutual Funds, and Voya Investments, LLC
812-15333
N/A
34578 (05/04/2022)
Oaktree Fund Advisors, LLC and Oaktree Strategic Credit Fund
812-15284
34470 (01/14/2022)
34498 (02/09/2022)
Infinity Q Diversified Alpha Fund, a Series of Trust for Advised Portfolios, and Infinity Q Capital Management, LLC
812-15205
N/A
34198 (02/22/2021)
J.P. Morgan Investment Management Inc., et al.
812-15158
34150 (12/22/2020)
34180 (01/21/2021)
KKR Registered Advisor LLC and KKR Real Estate Select Trust Inc.
812-15096-01
34147 (12/22/2020)
34176 (01/21/2021)
Daxor Corporation
812-15043
33816 (03/13/2020)
33854 (04/24/2020)
Jeffrey LLC
812-14624
32526 (03/07/2017)
32590 (04/04/2017)
Allstate Assurance Company, et al
812-14149
32457 (01/27/2017)
32506 (02/22/2017)
The Bank of New York Mellon Trust Company, National Association and The Bank of
New York Mellon
812-14680-01
32309 (10/07/2016)
32348 (11/01/2016)
Harris & Harris Group, Inc.
812-14669
N/A
32285 (09/26/2016)
Wells Fargo Bank, National Association, et al.
812-14599
32218 (08/16/2016)
32253 (09/07/2016)
Leaning Pine II, L.L.C.
812-14473
31959 (01/15/2016)
31992 (02/10/2016)
Third Avenue Trust and Third Avenue Management LLC
812-14593
N/A
31943 (12/16/2015)
Harris & Harris Group, Inc.
812-14515
N/A
31891 (11/04/2015)
U.S. Bank National Association
812-14404
31886 (10/29/2015)
31916 (11/24/2015)
The Adams Express Company and Petroleum & Resources Corporation
812-14300
31452 (02/09/2015)
MUFG Union Bank, N.A.
812-14331
31347 (11/24/2014)
31396 (12/23/2014)
Harris & Harris Group, Inc.
812-14317
N/A
31271 (09/30/2014)
Copley Fund, Inc.
811-02815
34-72173
(05/15/2014)
See also Application and Exhibits
31088 (06/19/2014)
Matthews A Share Selections Fund, LLC, et al.
812-14058
31020 (04/17/2014)
31045 (05/13/2014)
Special Opportunities Fund, Inc.
811-07528
30647 (08/08/2013)
See also Application
31213 (08/15/2014)
Harris & Harris Group, Inc.
812-14164
N/A
30604 (07/22/2013)
ASA Gold and Precious Metals Limited
812-13877
30539 (05/22/2013)
30561 (06/18/2013)
Harris & Harris Group, Inc.
812-14029
N/A
30104 (06/15/2012)
Central Securities Corporation
812-13857
29915 (01/06/2012)
29940 (02/01/2012)
Harris & Harris Group, Inc.
812-13896
N/A
29736 (07/22/2011)
Harris & Harris Group, Inc.
812-13768
N/A
29289 (05/28/2010)
PNC Bank, National Association
812-13640
29066 (12/03/2009)
29100 (12/29/2009)
Pioneer Floating Rate Trust and Pioneer High Income Trust
812-13636
28998 (11/20/2009)
29070 (12/15/2009)
DNP Select Income Fund Inc., et al.
812-13617
28891 (08/27/2009)
28906 (09/22/2009)
Federated Core Trust III, et al.
812-13421
28806 (06/30/2009)
28834 (07/27/2009)
Harris & Harris Group, Inc.
812-13655
28761 (06/09/2009)
28761 (06/09/2009)
Nuveen Tax-Advantaged Total Return Strategy Fund, et al.
812-13619
28758 (06/04/2009)
28893 (08/28/2009)
Flaherty & Crumrine Preferred Income Fund Incorporated, et al.
812-13598
28722 (05/08/2009)
28754 (06/01/2009)
Cohen & Steers Advantage Income Realty Fund, Inc., et al.
812-13594
28721 (05/08/2009)
28753 (06/01/2009)
Bridgeway Capital Management, Inc.
812-13525
28685 (04/01/2009)
28716 (04/28/2009)
Calamos Convertible Opportunities and Income Fund, et al.
812-13552
28603 (01/14/2009)
28615 (02/10/2009)
Reserve Municipal Money-Market Trust, et al.
812-13585
N/A
28466 (10/24/2008)
The Reserve Fund
812-13576
N/A
28386 (09/22/2008)
Eaton Vance Floating Rate-Income Trust
812-13540
28431 (10/02/2008)
28464 (10/23/2008)
Harris & Harris Group, Inc.
812-13520
N/A
28294 (05/30/2008)
MMA PRAXIS Mutual Funds
812-13413
27977 (09/24/2007)
28016 (10/22/2007)
Harris & Harris Group, Inc.
812-13374
N/A
27870 (06/20/2007)
HSBC Securities (USA) Inc.
812-13186
27805 (04/26/2007)
27822 (05/22/2007)
Deutsche Bank Trust Company Americas
812-13212
27644 (12/28/2006)
27673 (01/23/2007)
Securities Lending (Withdrawn)
Investment Company
File No.
Notice
Order
U.S. Bank National Association, et al.
812-13246
28238 (04/16/2008)
28264 (05/07/2008)
Two-Tier Real Estate Partnerships
Investment Company
File No.
Notice
Order
WNC Tax Credits 40, LLC, et al.
812-13885
29715 (07/06/2011)
29742 (08/02/2011)
WNC Tax Credits 38, LLC
812-13687
29202 (04/02/2010)
29260 (04/27/2010)
Unit Investment Trusts – Other
Investment Company
File No.
Notice
Order
Strategas Trust and Strategas Securities, LLC
812-15160
34195 (02/16/2021)
34223 (03/16/2021)
Ausdal Financial Partners, Inc. and Ausdal Unit Investment Trust
812-14785
32939 (12/14/2017)
32964 (01/09/2018)
Olden Lane Securities LLC and Olden Lane Trust
812-14436-01
32589 (04/03/2017)
32619 (05/01/2017)
ALAIA Market Linked Trust and Beech Hill Securities, Inc.
812-14542
32324 (10/24/2016)
32361 (11/18/2016)
Eaton Vance Distributors, Inc. and Eaton Vance Unit Trust
812-14304
31280 (10/08/2014)
31327 (11/04/2014)
Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions
812-14276
31062 (05/21/2014)
31086 (06/17/2014)
Elkhorn Securities, LLC and Elkhorn Unit Trust
812-14260
30902 (02/03/2014)
30974 (03/05/2014)
TSC Distributors LLC and TSC UITS
812-14054
30449 (04/04/2013)
30501 (04/30/2013)
AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc.
812-14005
30134 (07/10/2012)
30162 (08/06/2012)
Destra Capital Investments LLC and Destra Unit Investment Trust
812-13574-01
30059 (05/03/2012)
30087 (05/30/2012)
Incapital LLC and Incapital Unit Trust
812-13921
29924 (01/24/2012)
29949 (02/21/2012)
Advisors Asset Management, Inc.
812-13536
28613 (02/06/2009)
28641 (03/04/2009)
Matrix Capital Group, Inc.
812-13475
28284 (05/22/2008)
28300 (06/17/2008)
NexBank Securities, Inc. and NexBank Series
812-13279
27655 (01/04/2007)
27691 (01/30/2007)