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Investment Company Act Notices and Orders

This page lists notices and orders of applications filed under the Investment Company Act (ICA). Copies of the applications may be obtained for a fee at the Commission's Public Reference Branch. For other materials related to the Commission's oversight and regulation of the investment management industry, investment companies (including mutual funds), and investment advisers, see the Division of Investment Management.

See also Investment Company Act Deregistration Notices and Orders.

Chronological List
Fourth Quarter | Third Quarter | Second Quarter | First Quarter

ICA File Number List for 2011

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

812-13781
IC-29896 Dec. 29, 2011 Cantilever Capital, LLC and Cantilever Group, LLC (Notice)

812-13939
IC-29892 Dec. 21, 2011 AllianceBernstein Cap Fund, Inc., et al. (Order)

812-13478
IC-29890 Dec. 19, 2011 Highland Capital Management, L.P., et al. (Notice)

812-13777
IC-29889 Dec. 19, 2011 Rio Tinto plc and Rio Tinto Limited (Notice)

812-13935
IC-29888 Dec. 19, 2011 Genesis Capital, LLC and Northern Lights Fund Trust (Order)

812-13621
IC-29885 Dec. 14, 2011 John Hancock Variable Insurance Trust, et al. (Order)

812-13929
IC-29884 Dec. 14, 2011 SEI Investments Management Corporation et al. (Order)

812-13930
IC-29883 Dec. 13, 2011 American Century Strategic Asset Allocations, Inc., et al. (Notice)

812-13936
IC-29882 Dec. 13, 2011 Bandon Capital Management, LLC and Northern Lights Fund Trust (Order)

812-13987
IC-29881 Dec. 9, 2011 Wells Fargo Bank, N.A. (Notice and Temporary Order)

812-13944
IC-29880 Dec. 8, 2011 The Singapore Fund, Inc. (Order)

812-13952
IC-29879 Dec. 8, 2011 Seasons Series Trust, et al. (Notice)

812-13939
IC-29876 Nov. 29, 2011 AllianceBernstein Cap Fund, Inc., et al. (Notice)

813-00377
IC-29869 Nov. 22, 2011 Citadel LLC, et al. (Order)

812-13935
IC-29867 Nov. 21, 2011 Genesis Capital, LLC and Northern Lights Fund Trust (Notice)

812-13929
IC-29866 Nov. 18, 2011 SEI Investments Management Corporation, et al. (Notice)

812-13621
IC-29865 Nov. 18, 2011 John Hancock Variable Insurance Trust, et al. (Notice)

812-13936
IC-29864 Nov. 17, 2011 Bandon Capital Management, LLC and Northern Lights Fund Trust (Notice)

812-13755
IC-29863 Nov. 17, 2011 RiverPark Advisors, LLC, et al. (Order)

812-13695
IC-29860 Nov. 10, 2011 NGP Capital Resources Company, et al. (Order)

812-13830
IC-29852 Oct. 28, 2011 Global X Funds, et al. (Order)

813-00377
IC-29851 Oct. 27, 2011 Citadel LLC, et al. (Notice)

812-13922
IC-29850 Oct. 26, 2011 Incapital LLC, et al. (Order)

812-13606
IC-29849 Oct. 26, 2011 MFS Series Trust I, et al. (Order)

812-13869
IC-29843 Oct. 25, 2011 Principal Funds, Inc., et al. (Order)

812-13575
IC-29842 Oct. 25, 2011 Destra Capital Investments LLC and Destra Unit Investment Trust (Order)

812-13755
IC-29840 Oct. 19, 2011 RiverPark Advisors, LLC, et al. (Notice)

812-13893
IC-29839 Oct. 18, 2011 Fifth Third Funds and Fifth Third Asset Management, Inc. (Order)

812-13943
IC-29838 Oct. 18, 2011 DFA Investment Dimensions Group Inc., et al. (Order)

812-13866
IC-29837 Oct. 17, 2011 ASGI Agility Income Fund, et al. (Order)

812-13855
IC-29836 Oct. 17, 2011 Curian Series Trust and Curian Capital, LLC (Order)

812-13892
IC-29835 Oct. 12, 2011 Legg Mason Partners Equity Trust, et al. (Order)

812-13867
IC-29834 Oct. 12, 2011 Stone Harbor Emerging Markets Income Fund, et al. (Order)

812-13891
IC-29833 Oct. 12, 2011 Investment Managers Series Trust, et al. (Order)

812-13890
IC-29832 Oct. 12, 2011 Highland Capital Management, L.P., et al. (Order)

812-13695
IC-29831 Oct. 7, 2011 NGP Capital Resources Company, et al. (Notice)

812-13931
IC-29830 Oct. 4, 2011 Stone Harbor Investment Partners LP, et al. (Order)
Third Quarter

812-13830
IC-29829 Sep. 30, 2011 Global X Funds, et al. (Notice)

812-13922
IC-29828 Sep. 30, 2011 Incapital LLC, et al. (Notice)

812-13606
IC-29827 Sep. 30, 2011 MFS Series Trust I, et al. (Notice)

812-13575
IC-29825 Sep. 29, 2011 Destra Capital Investments LLC and Destra Unit Investment Trust (Notice)

812-13869
IC-29824 Sep. 29, 2011 Principal Funds, Inc., et al. (Notice)

812-13876
IC-29821 Sep. 27, 2011 Horizon Technology Finance Corporation, et al. (Order)

812-13943
IC-29820 Sep. 22, 2011 DFA Investment Dimensions Group Inc., et al. (Notice)

812-13893
IC-29819 Sep. 22, 2011 Fifth Third Funds and Fifth Third Asset Management, Inc. (Notice)

812-13944
IC-29817 Sep. 22, 2011 The Singapore Fund, Inc. (Notice)
Comments received are available.

812-13855
IC-29794 Sep. 19, 2011 Curian Series Trust and Curian Capital, LLC (Notice)

812-13866
IC-29793 Sep. 19, 2011 ASGI Agility Income Fund, et al. (Notice)

812-13867
IC-29791 Sep. 16, 2011 Stone Harbor Emerging Markets Income Fund, et al. (Notice)

812-13890
IC-29790 Sep. 15, 2011 Highland Capital Management, L.P., et al. (Notice)

812-13892
IC-29789 Sep. 15, 2011 Legg Mason Partners Equity Trust, et al. (Notice)

812-13891
IC-29787 Sep. 13, 2011 Investment Managers Series Trust, et al. (Notice)

812-13794
IC-29786 Sep. 13, 2011 Golub Capital BDC, Inc., et al. (Order)

812-13862
IC-29785 Sep. 12, 2011 Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Order)

812-13931
IC-29784 Sep. 7, 2011 Stone Harbor Investment Partners LP, et al. (Notice)

812-13883
IC-29783 Sep. 7, 2011 Pax World Funds Series Trust I, et al. (Order)

812-13773
IC-29782 Sep. 6, 2011 Northern Trust Investments, Inc., et al. (Order)

812-13876
IC-29777 Aug. 31, 2011 Horizon Technology Finance Corporation, et al. (Notice)

812-13853
IC-29774 Aug. 30, 2011 American Capital, Ltd. (Order)

812-13860
IC-29773 Aug. 30, 2011 RidgeWorth Funds et al. (Order)

812-13916
IC-29769 Aug. 24, 2011 BofA Funds Series Trust, et al. (Order)

812-13863
IC-29757 Aug. 16, 2011 Northern Lights Variable Trust, et al. (Order)

812-13794
IC-29756 Aug. 16, 2011 Golub Capital BDC, Inc., et al. (Notice)

812-13862
IC-29755 Aug. 16, 2011 Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Notice)

812-13909
IC-29754 Aug. 16, 2011 ING Asia Pacific High Dividend Equity Income Fund et al. (Order)

812-13910
IC-29753 Aug. 15, 2011 BAC Home Loans Servicing, LP, et al. (Order)

812-13773
IC-29752 Aug. 10, 2011 Northern Trust Investments, Inc., et al. (Notice)

812-13883
IC-29751 Aug. 10, 2011 Pax World Funds Series Trust I, et al. (Notice)

812-13143
IC-29750 Aug. 8, 2011 HighMark Funds and HighMark Capital Management, Inc. (Order)

812-13919
IC-29749 Aug. 8, 2011 J.P. Morgan Securities LLC, et al. (Order)

812-13741
IC-29747 Aug. 5, 2011 FQF Trust, et al. (Order)

812-13853
IC-29744 Aug. 3, 2011 American Capital, Ltd. (Notice)

812-13860
IC-29743 Aug. 3, 2011 RidgeWorth Funds et al. (Notice)

812-13885
IC-29742 Aug. 2, 2011 WNC Tax Credits 40, LLC, et al. (Order)

812-13916
IC-29741 Aug. 1, 2011 BofA Funds Series Trust, et al. (Notice)

812-13834
IC-29738 Jul. 26, 2011 Sterling Capital Funds and Sterling Capital Management LLC (Order)

812-13914
IC-29737 Jul. 26, 2011 J.P. Morgan Securities LLC, et al. (Order)

812-13896
IC-29736 Jul. 22, 2011 Harris & Harris Group, Inc. (Certification)

812-13909
IC-29735 Jul. 21, 2011 ING Asia Pacific High Dividend Equity Income Fund, et al. (Notice)

812-13863
IC-29729 Jul. 19, 2011 Northern Lights Variable Trust, et. al. (Notice)

812-13831
IC-29728 Jul. 19, 2011 TIAA-CREF Funds, et al. (Order)

812-13815
IC-29727 Jul. 19, 2011 Russell Exchange Traded Funds Trust, et al. (Order)

812-13910
IC-29726 Jul. 18, 2011 BAC Home Loans Servicing, LP, et al. (Notice and Temporary Order)

812-13143
IC-29723 Jul. 12, 2011 HighMark Funds and HighMark Capital Management, Inc. (Notice)

812-13843
IC-29721 Jul. 12, 2011 HighMark Funds, et al. (Order)

812-13741
IC-29720 Jul. 11, 2011 FQF Trust, et al. (Notice)

812-13919
IC-29719 Jul. 11, 2011 J.P. Morgan Securities LLC, et al. (Notice)

812-13865
IC-29717 Jul. 7, 2011 COUNTRY Investors Life Assurance Company, et al. (Order)

812-13821
IC-29716 Jul. 6, 2011 Allianz Life Insurance Company of North America, et al. (Order)

812-13885
IC-29715 Jul. 6, 2011 WNC Tax Credits 40, LLC, et al. (Notice)

812-13834
IC-29713 Jul. 1, 2011 Sterling Capital Funds and Sterling Capital Management LLC (Notice)

812-13818
IC-29712 Jul. 1, 2011 Precidian ETFs Trust, et al. (Order)
Second Quarter

812-13914
IC-29711 Jun. 29, 2011 J.P. Morgan Securities LLC, et al. (Notice)

812-13851
IC-29710 Jun. 28, 2011 Altegris Advisors, L.L.C. and Northern Lights Fund Trust (Order)

812-13791
IC-29709 Jun. 28, 2011 TIAA-CREF Life Insurance Company, et al. (Order)

812-13831
IC-29707 Jun. 24, 2011 TIAA-CREF Funds, et al. (Notice)

812-13815
IC-29706 Jun. 22, 2011 Russell Exchange Traded Funds Trust, et al. (Notice)

812-13843
IC-29694 Jun. 16, 2011 Highmark Funds, et al. (Notice)

812-13821
IC-29693 Jun. 10, 2011 Allianz Life Insurance Company of North America, et al. (Notice)

812-13818
IC-29692 Jun. 9, 2011 Precidian ETFs Trust, et al. (Notice)

812-13865
IC-29691 Jun. 9, 2011 COUNTRY Investors Life Assurance Company, et al. (Notice)

812-13902
IC-29690 Jun. 6, 2011 UBS AG, et al. (Order)

812-13851
IC-29689 Jun. 1, 2011 Altegris Advisors, L.L.C. and Northern Lights Fund Trust (Notice)

812-13910
IC-29688 Jun. 1, 2011 BAC Home Loans Servicing, LP, et al. (Temporary Order)

812-13791
IC-29687 Jun. 1, 2011 TIAA-CREF Life Insurance Company, et al. (Notice)

812-13772
IC-29686 Jun. 1, 2011 PennantPark Investment Corporation, et al. (Order)

812-13736
IC-29675 May 24, 2011 HighMark Capital Management Inc., et al. (Order)

812-13669
IC-29671 May 16, 2011 Russell Investment Management Company, et al. (Order)

812-13902
IC-29666 May 9, 2011 UBS AG, et al. (Notice and Temporary Order)

812-13772
IC-29665 May 6, 2011 PennantPark Investment Corporation, et al. (Notice)

812-13870
IC-29664 May 3, 2011 Russell Investment Company, et al. (Order)

812-13806
IC-29662 Apr. 29, 2011 National Life Insurance Company, et al. (Order)

812-13854
IC-29661 Apr. 26, 2011 Fairholme VP Series Fund, Inc. et al. (Order)

812-13736
IC-29660 Apr. 26, 2011 HighMark Capital Management, Inc., et al. (Notice)

812-13841
IC-29658 Apr. 25, 2011 Jackson National Life Insurance Company, et al. (Order)

812-13842
IC-29656 Apr. 21, 2011 American Family Life Insurance Company, et al. (Order)

812-13669
IC-29655 Apr. 20, 2011 Russell Investment Management Company, et al. (Notice)

812-13801
IC-29629 Apr. 19, 2011 Simple Alternatives, LLC (Order)

812-13806
IC-29627 Apr. 7, 2011 National Life Insurance Company, et al. (Notice)

812-13870
IC-29623 Apr. 6, 2011 Russell Investment Company, et al. (Notice)
First Quarter

812-13841
IC-29621 Mar. 31, 2011 Jackson National Life Insurance Company, et al. (Notice)

812-13759
IC-29620 Mar. 30, 2011 Eaton Vance Management, et al. (Order)

812-13854
IC-29619 Mar. 28, 2011 Fairholme VP Series Fund, Inc. et al. (Notice)

812-13842
IC-29617 Mar. 24, 2011 American Family Life Insurance Company, et al. (Notice)

812-13801
IC-29616 Mar. 24, 2011 Simple Alternatives, LLC and The RBB Fund, Inc. (Notice)

812-13791
IC-29600 Mar. 22, 2011 TIAA-CREF Life Insurance Company, et al. (Notice)

813-00361
IC-29597 Mar. 9, 2011 Riverside Casualty, Inc. (Order)

813-353
IC-29596 Mar. 9, 2011 Capital International, Inc. (Order)

812-13759
IC-29591 Mar. 1, 2011 Eaton Vance Management, et al. (Notice)

813-353
IC-29577 Feb. 10, 2011 Capital International, Inc., et al. (Notice)

813-00361
IC-29576 Feb. 8, 2011 Riverside Casualty, Inc. (Notice)

812-13601
IC-29571 Jan. 24, 2011 iShares Trust et al. (Order)

812-13816
IC-29570 Jan. 24, 2011 MetLife Insurance Company of Connecticut, et al. (Order)


ICA File Number List for 2011
Release No. Date Details

813-00377
IC-29869 Nov. 22, 2011 Citadel LLC, et al. (Order)
IC-29851 Oct. 27, 2011 Citadel LLC, et al. (Notice)

813-00361
IC-29597 Mar. 9, 2011 Riverside Casualty, Inc. (Order)
IC-29576 Feb. 8, 2011 Riverside Casualty, Inc. (Notice)

813-353
IC-29596 Mar. 9, 2011 Capital International, Inc. (Order)
IC-29577 Feb. 10, 2011 Capital International, Inc., et al. (Notice)

812-13987
IC-29881 Dec. 9, 2011 Wells Fargo Bank, N.A. (Notice and Temporary Order)

812-13952
IC-29914 Jan. 4, 2012 Seasons Series Trust, et al. (Order)
IC-29879 Dec. 8, 2011 Seasons Series Trust, et al. (Notice)

812-13944
IC-29880 Dec. 8, 2011 The Singapore Fund, Inc. (Order)
IC-29817 Sep. 22, 2011 The Singapore Fund, Inc. (Notice)

812-13943
IC-29838 Oct. 18, 2011 DFA Investment Dimensions Group Inc., et al. (Order)
IC-29820 Sep. 22, 2011 DFA Investment Dimensions Group Inc., et al. (Notice)

812-13939
IC-29892 Dec. 21, 2011 AllianceBernstein Cap Fund, Inc., et al. (Order)
IC-29876 Nov. 29, 2011 AllianceBernstein Cap Fund, Inc., et al. (Notice)

812-13936
IC-29882 Dec. 13, 2011 Bandon Capital Management, LLC and Northern Lights Fund Trust (Order)
IC-29864 Nov. 17, 2011 Bandon Capital Management, LLC and Northern Lights Fund Trust (Notice)

812-13935
IC-29888 Dec. 19, 2011 Genesis Capital, LLC and Northern Lights Fund Trust (Order)
IC-29867 Nov. 21, 2011 Genesis Capital, LLC and Northern Lights Fund Trust (Notice)

812-13931
IC-29830 Oct. 4, 2011 Stone Harbor Investment Partners LP, et al. (Order)
IC-29784 Sep. 7, 2011 Stone Harbor Investment Partners LP, et al. (Notice)

812-13930
IC-29916 Jan. 10, 2012 American Century Strategic Asset Allocations, Inc. (Order)
IC-29883 Dec. 13, 2011 American Century Strategic Asset Allocations, Inc., et al. (Notice)

812-13929
IC-29884 Dec. 14, 2011 SEI Investments Management Corporation, et al. (Order)
IC-29866 Nov. 18, 2011 SEI Investments Management Corporation, et al. (Notice)

812-13922
IC-29850 Oct. 26, 2011 Incapital LLC, et al. (Order)
IC-29828 Sep. 30, 2011 Incapital LLC, et al. (Notice)

812-13919
IC-29749 Aug. 8, 2011 J.P. Morgan Securities LLC, et al. (Order)
IC-29719 Jul. 11, 2011 J.P. Morgan Securities LLC, et al. (Notice)

812-13916
IC-29769 Aug. 24, 2011 BofA Funds Series Trust, et al. (Order)
IC-29741 Aug. 1, 2011 BofA Funds Series Trust, et al. (Notice)

812-13914
IC-29737 Jul. 26, 2011 J.P. Morgan Securities LLC, et al. (Order)
IC-29711 Jun. 29, 2011 J.P. Morgan Securities LLC, et al. (Notice)

812-13910
IC-29753 Aug. 15, 2011 BAC Home Loans Servicing, LP, et al. (Order)
IC-29726 Jul. 18, 2011 BAC Home Loans Servicing, LP, et al. (Notice and Temporary Order)
IC-29688 Jun. 1, 2011 BAC Home Loans Servicing, LP, et al. (Temporary Order)

812-13909
IC-29754 Aug. 16, 2011 ING Asia Pacific High Dividend Equity Income Fund et al. (Order)
IC-29735 Jul. 21, 2011 ING Asia Pacific High Dividend Equity Income Fund, et al. (Notice)

812-13902
IC-29690 Jun. 6, 2011 UBS AG, et al. (Order)
IC-29666 May 9, 2011 UBS AG, et al. (Notice and Temporary Order)

812-13896
IC-29736 Jul. 22, 2011 Harris & Harris Group, Inc. (Certification)

812-13893
IC-29839 Oct. 18, 2011 Fifth Third Funds and Fifth Third Asset Management, Inc. (Order)
IC-29819 Sep. 22, 2011 Fifth Third Funds and Fifth Third Asset Management, Inc. (Notice)

812-13892
IC-29835 Oct. 12, 2011 Legg Mason Partners Equity Trust, et al. (Order)
IC-29789 Sep. 15, 2011 Legg Mason Partners Equity Trust, et al. (Notice)

812-13891
IC-29833 Oct. 12, 2011 Investment Managers Series Trust, et al. (Order)
IC-29787 Sep. 13, 2011 Investment Managers Series Trust, et al. (Notice)

812-13890
IC-29832 Oct. 12, 2011 Highland Capital Management, L.P., et al. (Order)
IC-29790 Sep. 15, 2011 Highland Capital Management, L.P., et al. (Notice)

812-13885
IC-29742 Aug. 2, 2011 WNC Tax Credits 40, LLC, et al. (Order)
IC-29715 Jul. 6, 2011 WNC Tax Credits 40, LLC, et al. (Notice)

812-13883
IC-29783 Sep. 7, 2011 Pax World Funds Series Trust I, et al. (Order)
IC-29751 Aug. 10, 2011 Pax World Funds Series Trust I, et al. (Notice)

812-13876
IC-29821 Sep. 27, 2011 Horizon Technology Finance Corporation, et al. (Order)
IC-29777 Aug. 31, 2011 Horizon Technology Finance Corporation, et al. (Notice)

812-13870
IC-29664 May 3, 2011 Russell Investment Company, et al. (Order)
IC-29623 Apr. 6, 2011 Russell Investment Company, et al. (Notice)

812-13869
IC-29843 Oct. 25, 2011 Principal Funds, Inc., et al. (Order)
IC-29824 Sep. 29, 2011 Principal Funds, Inc., et al. (Notice)

812-13867
IC-29834 Oct. 12, 2011 Stone Harbor Emerging Markets Income Fund, et al. (Order)
IC-29791 Sep. 16, 2011 Stone Harbor Emerging Markets Income Fund, et al. (Notice)

812-13866
IC-29837 Oct. 17, 2011 ASGI Agility Income Fund, et al. (Order)
IC-29793 Sep. 19, 2011 ASGI Agility Income Fund, et al. (Notice)

812-13865
IC-29717 Jul. 7, 2011 COUNTRY Investors Life Assurance Company, et al. (Order)
IC-29691 Jun. 9, 2011 COUNTRY Investors Life Assurance Company, et al. (Notice)

812-13863
IC-29757 Aug. 16, 2011 Northern Lights Variable Trust, et al. (Order)
IC-29729 Jul. 19, 2011 Northern Lights Variable Trust, et. al. (Notice)

812-13862
IC-29785 Sep. 12, 2011 Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Order)
IC-29755 Aug. 16, 2011 Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Notice)

812-13860
IC-29773 Aug. 30, 2011 RidgeWorth Funds et al. (Order)
IC-29743 Aug. 3, 2011 RidgeWorth Funds et al. (Notice)

812-13855
IC-29836 Oct. 17, 2011 Curian Series Trust and Curian Capital, LLC (Order)
IC-29794 Sep. 19, 2011 Curian Series Trust and Curian Capital, LLC (Notice)

812-13854
IC-29661 Apr. 26, 2011 Fairholme VP Series Fund, Inc. et al. (Order)
IC-29619 Mar. 28, 2011 Fairholme VP Series Fund, Inc. et al. (Notice)

812-13853
IC-29774 Aug. 30, 2011 American Capital, Ltd. (Order)
IC-29744 Aug. 3, 2011 American Capital, Ltd. (Notice)

812-13851
IC-29710 Jun. 28, 2011 Altegris Advisors, L.L.C. and Northern Lights Fund Trust (Order)
IC-29689 Jun. 1, 2011 Altegris Advisors, L.L.C. and Northern Lights Fund Trust (Notice)

812-13843
IC-29721 Jul. 12, 2011 HighMark Funds, et al.(Order)
IC-29694 Jun. 16, 2011 Highmark Funds, et al. (Notice)

812-13842
IC-29656 Apr. 21, 2011 American Family Life Insurance Company, et al. (Order)
IC-29617 Mar. 24, 2011 American Family Life Insurance Company, et al. (Notice)

812-13841
IC-29658 Apr. 25, 2011 Jackson National Life Insurance Company, et al. (Order)
IC-29621 Mar. 31, 2011 Jackson National Life Insurance Company, et al. (Notice)

812-13834
IC-29738 Jul. 26, 2011 Sterling Capital Funds and Sterling Capital Management LLC (Order)
IC-29713 Jul. 1, 2011 Sterling Capital Funds and Sterling Capital Management LLC (Notice)

812-13831
IC-29728 Jul. 19, 2011 TIAA-CREF Funds, et al. (Order)
IC-29707 Jun. 24, 2011 TIAA-CREF Funds, et al. (Notice)

812-13830
IC-29852 Oct. 28, 2011 Global X Funds, et al. (Order)
IC-29829 Sep. 30, 2011 Global X Funds, et al. (Notice)

812-13821
IC-29716 Jul. 6, 2011 Allianz Life Insurance Company of North America, et al. (Order)
IC-29693 Jun. 10, 2011 Allianz Life Insurance Company of North America, et al. (Notice)

812-13818
IC-29712 Jul. 1, 2011 Precidian ETFs Trust, et al. (Order)
IC-29692 Jun. 9, 2011 Precidian ETFs Trust, et al. (Notice)

812-13816
IC-29570 Jan. 24, 2011 MetLife Insurance Company of Connecticut, et al. (Order)

812-13815
IC-29727 Jul. 19, 2011 Russell Exchange Traded Funds Trust, et al. (Order)
IC-29706 Jun. 22, 2011 Russell Exchange Traded Funds Trust, et al. (Notice)

812-13806
IC-29662 Apr. 29, 2011 National Life Insurance Company, et al. (Order)
IC-29627 Apr. 7, 2011 National Life Insurance Company, et al. (Notice)

812-13801
IC-29629 Apr. 19, 2011 Simple Alternatives, LLC (Order)
IC-29616 Mar. 24, 2011 Simple Alternatives, LLC and The RBB Fund, Inc. (Notice)

812-13794
IC-29786 Sep. 13, 2011 Golub Capital BDC, Inc., et al. (Order)
IC-29756 Aug. 16, 2011 Golub Capital BDC, Inc., et al. (Notice)

812-13791
IC-29709 Jun. 28, 2011 TIAA-CREF Life Insurance Company, et al. (Order)
IC-29687 Jun. 1, 2011 TIAA-CREF Life Insurance Company, et al. (Notice)
IC-29600 Mar. 22, 2011 TIAA-CREF Life Insurance Company, et al. (Notice)

812-13781
IC-29925 Jan. 24, 2012 Cantilever Capital, LLC and Cantilever Group, LLC (Order)
IC-29896 Dec. 29, 2011 Cantilever Capital, LLC and Cantilever Group, LLC (Notice)

812-13777
IC-29921 Jan. 17, 2012 Rio Tinto plc et al. (Order)
IC-29889 Dec. 19, 2011 Rio Tinto plc and Rio Tinto Limited (Notice)

812-13773
IC-29782 Sep. 6, 2011 Northern Trust Investments, Inc., et al. (Order)
IC-29752 Aug. 10, 2011 Northern Trust Investments, Inc., et al. (Notice)

812-13772
IC-29686 Jun. 1, 2011 PennantPark Investment Corporation, et al. (Order)
IC-29665 May 6, 2011 PennantPark Investment Corporation, et al. (Notice)

812-13759
IC-29620 Mar. 30, 2011 Eaton Vance Management, et al. (Order)
IC-29591 Mar. 1, 2011 Eaton Vance Management, et al. (Notice)

812-13755
IC-29863 Nov. 17, 2011 RiverPark Advisors, LLC, et al. (Order)
IC-29840 Oct. 19, 2011 RiverPark Advisors, LLC, et al. (Notice)

812-13741
IC-29747 Aug. 5, 2011 FQF Trust, et al. (Order)
IC-29720 Jul. 11, 2011 FQF Trust, et al. (Notice)

812-13736
IC-29675 May 24, 2011 HighMark Capital Management Inc., et al. (Order)
IC-29660 Apr. 26, 2011 HighMark Capital Management, Inc., et al. (Notice)

812-13695
IC-29860 Nov. 10, 2011 NGP Capital Resources Company, et al. (Order)
IC-29831 Oct. 7, 2011 NGP Capital Resources Company, et al. (Notice)

812-13669
IC-29671 May 16, 2011 Russell Investment Management Company, et al. (Order)
IC-29655 Apr. 20, 2011 Russell Investment Management Company, et al. (Notice)

812-13621
IC-29885 Dec. 14, 2011 John Hancock Variable Insurance Trust, et al. (Order)
IC-29865 Nov. 18, 2011 John Hancock Variable Insurance Trust, et al. (Notice)

812-13606
IC-29849 Oct. 26, 2011 MFS Series Trust I, et al. (Order)
IC-29827 Sep. 30, 2011 MFS Series Trust I, et al. (Notice)

812-13601
IC-29571 Jan. 24, 2011 iShares Trust et al. (Order)

812-13575
IC-29842 Oct. 25, 2011 Destra Capital Investments LLC and Destra Unit Investment Trust (Order)
IC-29825 Sep. 29, 2011 Destra Capital Investments LLC and Destra Unit Investment Trust (Notice)

812-13478
IC-29890 Dec. 19, 2011 Highland Capital Management, L.P., et al. (Notice)

812-13143
IC-29750 Aug. 8, 2011 HighMark Funds and HighMark Capital Management, Inc. (Order)
IC-29723 Jul. 12, 2011 HighMark Funds and HighMark Capital Management, Inc. (Notice)

 

http://www.sec.gov/rules/ic/icarchive/icarchive2011.shtml


Modified: 03/22/2012