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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
2012 | 2011 | 2010 | 2009 | 2008 | 2007
| 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
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