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Investment Company Act Notices and Orders
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2013 | |||
| File No. | Release No. | Date | Investment Company |
|---|---|---|---|
| 812-14085 | IC-30523 | May 15, 2013 | LocalShares Investment Trust, et al. (Notice) |
| 812-14075 | IC-30522 | May 15, 2013 | Goldman Sachs Trust, et al. (Order) |
| 812-14098 | IC-30521 | May 15, 2013 | Financial Investors Trust and Hanson McClain Strategic Advisors, Inc. (Notice) |
| 813-370 | IC-30520 | May 14, 2013 | JPMorgan Chase & Co., et al. (Order) |
| 812-13884 | IC-30519 | May 14, 2013 | ALPS ETF Trust, et al. (Notice) |
| 812-13734 | IC-30518 | May 14, 2013 | John Hancock Exchange-Traded Fund Trust, et al. (Order) |
| 812-14081 | IC-30516 | May 14, 2013 | Symetra Mutual Funds Trust, et al. (Order) |
| 812-14063 | IC-30517 | May 14, 2013 | Lincoln National Life Insurance Company, et al. (Order) |
| 812-14146 | IC-30514 | May 13, 2013 | ERNY Financial ETF Trust and ERNY Financial Advisors, LLC (Notice) |
| 812-14104 | IC-30513 | May 10, 2013 | Fidelity Merrimack Street Trust, et al. (Order) |
| 812-14089 | IC-30512 | May 9, 2013 | CPG Carlyle Private Equity Fund, LLC, et al. (Notice) |
| 812-13665 | IC-30511 | May 9, 2013 | FS Investment Corporation, et al. (Notice) |
| 812-14113 | IC-30510 | May 8, 2013 | Trust for Professional Managers and Aurora Investment Management L.L.C. (Order) |
| 812-14148 | IC-30509 | May 8, 2013 | The Royal Bank of Scotland plc, et al. (Order) |
| 812-13915 | IC-30507 | May 6, 2013 | Forum Investment Advisors, LLC, et al. (Notice) |
| 812-13887 | IC-30506 | May 6, 2013 | Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC (Order) |
| 812-13886 | IC-30503 | May 2, 2013 | Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc. (Notice) |
| 812-14054 | IC-30501 | Apr. 30, 2013 | TSC Distributors LLC and TSC UITS (Order) |
| 812-13880 | IC-30500 | Apr. 30, 2013 | Royce Value Trust, Inc., et al. (Order) |
| 812-14034 | IC-30499 | Apr. 30, 2013 | Royce Focus Trust, Inc., et al. (Order) |
| 812-14135 | IC-30497 | Apr. 30, 2013 | Beverly Hills Bancorp Inc. (Notice) |
| 812-14078 | IC-30496 | Apr. 29, 2013 | Goldman Sachs Trust II, et al. (Notice) |
| 812-13844 | IC-30494 | Apr. 25, 2013 | Corporate Capital Trust, Inc., et al. (Notice) |
| 812-14099 | IC-30493 | Apr. 24, 2013 | Munder Series Trust, et al. (Order) |
| 813-310 | IC-30475 | Apr. 23, 2013 | Stetson Capital Fund LP and Davis Polk & Wardwell LLP (Order) |
| 812-13848 | IC-30473 | Apr. 22, 2013 | Neuberger Berman ETF Trust and Neuberger Berman Management LLC (Order) |
| 812-14035 | IC-30476 | Apr. 23, 2013 | Sage Quant Management LLC, et al. (Order) |
| 812-14081 | IC-30472 | Apr. 19, 2013 | Symetra Mutual Funds Trust, et al. (Notice) |
| 812-14075 | IC-30471 | Apr. 19, 2013 | Goldman Sachs Trust, et al. (Notice) |
| 812-13734 | IC-30469 | Apr. 18, 2013 | John Hancock Exchange-Traded Fund Trust, et al. (Notice) |
| 812-14063 | IC-30468 | Apr. 18, 2013 | Lincoln National Life Insurance Company, et al (Notice) |
| 813-370 | IC-30465 | Apr. 16, 2013 | JPMorgan Chase & Co., et al. (Notice) |
| 812-14104 | IC-30464 | Apr. 16, 2013 | Fidelity Merrimack Street Trust, et al. (Notice) |
| 812-14148 | IC-30462 | Apr. 12, 2013 | The Royal Bank of Scotland plc, et al. (Notice) |
| 812-14033 | IC-30461 | Apr. 12, 2013 | ING Life Insurance and Annuity Company, et al. (Order) |
| 812-14113 | IC-30460 | Apr. 12, 2013 | Trust for Professional Managers and Aurora Investment Management L.L.C. (Notice) |
| 812-13887 | IC-30459 | Apr. 10, 2013 | Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC (Notice) |
| 812-14114 | IC-30458 | Apr. 10, 2013 | Ivy Funds Variable Insurance Portfolios, et al. (Order) |
| 812-14079 | IC-30454 | Apr. 9, 2013 | Global X Funds, et al. (Order) |
| 812-13989 | IC-30452 | Apr. 8, 2013 | Krane Fund Advisors LLC, et al. (Order) |
| 812-13976 | IC-30451 | Apr. 8, 2013 | Renaissance Capital Greenwich Funds, et al. (Order) |
| 812-14092 | IC-30450 | Apr. 8, 2013 | AIP Series Trust and Morgan Stanley AIP GP LP (Order) |
| 812-14054 | IC-30449 | Apr. 4, 2013 | TSC Distributors LLC and TSC UITS (Notice) |
| 812-13880 | IC-30448 | Apr. 4, 2013 | Royce Value Trust, Inc., et al. (Notice) |
| 812-14034 | IC-30447 | Apr. 4, 2013 | Royce Focus Trust, Inc., et al. (Notice) |
| 812-13969 | IC-30445 | Apr. 2, 2013 | Exchange Traded Concepts Trust, et al. (Order) |
| 812-14076 | IC-30444 | Apr. 2, 2013 | Blackstone Alternative Investment Funds, et al. (Order) |
| 812-14065 | IC-30443 | Apr. 1, 2013 | The Advisors’ Inner Circle Fund, et al. (Order) |
| 812-14003 | IC-30442 | Mar. 29, 2013 | Cohen & Steers Real Assets Fund, Inc., et al. (Order) |
| 812-14099 | IC-30441 | Mar. 29, 2013 | Munder Series Trust, et al. (Notice) |
| 812-14035 | IC-30439 | Mar. 28, 2013 | Sage Quant Management LLC, et al. (Notice) |
| 813-310 | IC-30438 | Mar. 27, 2013 | Stetson Capital Fund LP and Davis Polk & Wardwell LLP (Notice) |
| 812-14043 | IC-30437 | Mar. 26, 2013 | Forward Funds, et al. (Order) |
| 812-13848 | IC-30436 | Mar. 25, 2013 | Neuberger Berman ETF Trust and Neuberger Berman Management LLC (Notice) |
| 812-14125 | IC-30433 | Mar. 21, 2013 | Market Vectors ETF Trust, et al. (Order) |
| 812-14077 | IC-30432 | Mar. 21, 2013 | Triangle Capital Corporation (Order) |
| 812-14033 | IC-30431 | Mar. 21, 2013 | ING Life Insurance and Annuity Company, et al. (Notice) |
| 812-14114 | IC-30427 | Mar. 15, 2013 | Ivy Funds Variable Insurance Portfolios, et al. (Notice) |
| 812-14079 | IC-30426 | Mar. 14, 2013 | Global X Funds, et al. (Notice) |
| 812-13989 | IC-30425 | Mar. 14, 2013 | Krane Funds Advisors LLC., et al. (Notice) |
| 812-14105 | IC-30424 | Mar. 13, 2013 | UBS AG, et al. (Order) |
| 812-14117 | IC-30423 | Mar. 12, 2013 | Emerging Global Advisors, LLC, et al. (Order) |
| 812-13976 | IC-30422 | Mar. 11, 2013 | Renaissance Capital Greenwich Funds, et al. (Notice) |
| 812-14027 | IC-30421 | Mar. 11, 2013 | AdvisorShares Investments, LLC and AdvisorShares Trust (Order) |
| 812-14092 | IC-30420 | Mar. 11, 2013 | AIP Series Trust and Morgan Stanley AIP GP LP (Notice) |
| 812-14076 | IC-30416 | Mar. 7, 2013 | Blackstone Alternative Investment Funds, et al. (Notice) |
| 812-13969 | IC-30415 | Mar. 7, 2013 | Exchange Traded Concepts Trust, et al. (Notice) |
| 812-14003 | IC-30413 | Mar. 4, 2013 | Cohen & Steers Real Assets Fund, Inc., et al. (Notice) |
| 812-14065 | IC-30412 | Mar. 4, 2013 | The Advisors’ Inner Circle Fund, et al. (Notice) |
| 812-14043 | IC-30411 | Feb. 28, 2013 | Forward Funds, et al. (Notice) |
| 812-14077 | IC-30410 | Feb. 28, 2013 | Triangle Capital Corporation (Notice) |
| 812-14125 | IC-30409 | Feb. 27, 2013 | Market Vectors ETF Trust, et al. (Notice) |
| 813-374 | IC-30407 | Feb. 26, 2013 | WINCO Investment Partnership 2008 L.P. and Winstead PC (Order) |
| 812-14084 | IC-30406 | Feb. 26, 2013 | Allianz Variable Insurance Products Fund of Funds Trust, et al. (Order) |
| 812-14036 | IC-30405 | Feb. 26, 2013 | AXA Equitable Life Insurance Company, et al. (Order) |
| 812-14091 | IC-30387 | Feb. 19, 2013 | Securian Funds Trust, et al. (Order) |
| 812-14082 | IC-30386 | Feb. 19, 2013 | Symetra Life Insurance Company, et al. (Order) |
| 812-14105 | IC-30383 | Feb. 15, 2013 | UBS AG, et al. (Notice and Temporary Order) |
| 812-14117 | IC-30382 | Feb. 13, 2013 | Emerging Global Advisors, LLC, et al. (Notice) |
| 812-14027 | IC-30381 | Feb. 12, 2013 | AdvisorShares Investments, LLC and AdvisorShares Trust (Notice) |
| 812-14094 | IC-30380 | Feb. 6, 2013 | J.P. Morgan Securities LLC, et al. (Order) |
| 812-13486 | IC-30378 | Feb. 5, 2013 | Exchange Traded Spreads Trust, et al. (Order) |
| 812-13895 | IC-30377 | Feb. 5, 2013 | First Trust Exchange-Traded Fund, et al. (Order) |
| 812-14015 | IC-30376 | Feb. 4, 2013 | Credit Suisse Opportunity Funds, et al. (Order) |
| 812-13984 | IC-30375 | Feb. 1, 2013 | Fidelity Commonwealth Trust, et al. (Order) |
| 813-374 | IC-30374 | Jan. 31, 2013 | WINCO Investment Partnership 2008 L.P. and Winstead PC (Notice) |
| 812-14036 | IC-30373 | Jan. 31, 2013 | AXA Equitable Life Insurance Company, et al. (Notice) |
| 812-14084 | IC-30371 | Jan. 29, 2013 | Allianz Variable Insurance Products Fund of Funds Trust, et al. (Notice) |
| 812-14091 | IC-30354 | Jan. 22, 2013 | Securian Funds Trust, et al. (Notice) |
| 812-14082 | IC-30353 | Jan. 22, 2013 | Symetra Life Insurance Company, et al. (Notice) |
| 812-13489-01 | IC-30352 | Jan. 16, 2013 | Pyxis Capital, L.P., et al. (Order) |
| 812-14042 | IC-30350 | Jan. 15, 2013 | Franklin Advisers, Inc., et al. (Order) |
| 812-13874 | IC-30349 | Jan. 14, 2013 | Yorkville ETF Trust and Yorkville ETF Advisers, LLC (Order) |
| 812-14094 | IC-30347 | Jan. 9, 2013 | J.P. Morgan Securities LLC, et al. (Notice and Temporary Order) |
| 812-13486 | IC-30346 | Jan. 9, 2013 | Exchange Traded Spreads Trust, et al. (Notice) |
| 812-13895 | IC-30345 | Jan. 8, 2013 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 812-14064 | IC-30344 | Jan. 8, 2013 | The Adams Express Company and Petroleum & Resources Corporation (Order) |
| 812-13797 | IC-30343 | Jan. 8, 2013 | AllianceBernstein Active ETFs, Inc., et al. (Order) |
| 812-14015 | IC-30342 | Jan. 7, 2013 | Credit Suisse Opportunity Funds, et al. (Notice) |
| 812-13984 | IC-30341 | Jan. 7, 2013 | Fidelity Commonwealth Trust, et al. (Notice) |
| 812-13959 | IC-30340 | Jan. 4, 2013 | Cambria Investment Management, L.P. and Cambria ETF Trust (Order) |
| 812-14040 | IC-30338 | Jan. 2, 2013 | Hatteras Variable Trust, et al. (Order) |
| 812-14013 | IC-30337 | Jan. 2, 2013 | ING Investments, LLC, et al. (Order) |
| 812-13726 | IC-30336 | Jan. 2, 2013 | T. Rowe Price Associates, Inc., T. Rowe Price Institutional Income Funds, Inc. and T. Rowe Price Investment Services, Inc. (Order) |
2012 | |||
| File No. | Release No. | Date | Investment Company |
| 812-14059 | IC-30335 | Dec. 31, 2012 | Mutual of America Life Insurance Company, et al. (Order) |
| 812-14047 | IC-30334 | Dec. 28, 2012 | Lord, Abbett & Co. LLC, et al. (Order) |
| 812-14055 | IC-30333 | Dec. 28, 2012 | PNC Capital Advisors, LLC, et al. (Order) |
| 812-14023 | IC-30318 | Dec. 27, 2012 | Foreside Advisor Services, LLC, et al. (Order) |
| 812-14026 | IC-30317 | Dec. 26, 2012 | Blackstone Alternative Alpha Fund, et al. (Order) |
| 812-13489-01 | IC-30316 | Dec. 21, 2012 | Pyxis Capital, L.P., et al. (Notice) |
| 812-13871 | IC-30314 | Dec. 21, 2012 | William Blair & Company, L.L.C. and William Blair Funds (Order) |
| 812-14042 | IC-30312 | Dec. 19, 2012 | Franklin Advisers, Inc., et al. (Notice) |
| 812-14105 | IC-30311 | Dec. 19, 2012 | UBS AG, et al. (Temporary Order) |
| 812-13874 | IC-30306 | Dec. 17, 2012 | Yorkville ETF Trust and Yorkville ETF Advisors, LLC (Notice) |
| 812-13797 | IC-30305 | Dec. 13, 2012 | AllianceBernstein Active ETFs, Inc., et al. (Notice) |
| 812-14064 | IC-30304 | Dec. 13, 2012 | The Adams Express Company and Petroleum & Resources Corporation (Notice) |
| 812-14074 | IC-30303 | Dec. 12, 2012 | Wells Fargo Bank, N.A., et al. (Order) |
| 812-13959 | IC-30302 | Dec. 12, 2012 | Cambria Investment Management, L.P. and Cambria ETF Trust (Notice)
See also IC-30286 |
| 812-14037 | IC-30301 | Dec. 11, 2012 | Columbia ETF Trust, et al. (Order) |
| 812-13726 | IC-30299 | Dec. 7, 2012 | T. Rowe Price Associates, Inc., et al. (Notice) |
| 812-14055 | IC-30298 | Dec. 6, 2012 | PNC Capital Advisors, LLC, et al. (Notice) |
| 812-14047 | IC-30297 | Dec. 6, 2012 | Lord, Abbett & Co. LLC, et al. (Notice) |
| 812-14040 | IC-30296 | Dec. 6, 2012 | Hatteras Variable Trust, et al. (Notice) |
| 812-14013 | IC-30295 | Dec. 6, 2012 | ING Investments, LLC, et al. (Notice) |
| 812-14059 | IC-30292 | Dec. 5, 2012 | Mutual of America Life Insurance Company, et al. (Notice) |
| 812-14006 | IC-30291 | Dec. 5, 2012 | Highland Associates, Inc. and Financial Investors Trust (Order) |
| 812-13731 | IC-30288 | Dec. 3, 2012 | Fidelity Aberdeen Street Trust, et al. (Order) |
| 812-13959 | IC-30286 | Nov. 30, 2012 | Cambria Investment Management, L.P. and Cambria ETF Trust (Notice)
See also IC-30302 |
| 812-13871 | IC-30285 | Nov. 29, 2012 | William Blair & Company, L.L.C. and William Blair Funds (Notice) |
| 812-14023 | IC-30284 | Nov. 29, 2012 | Foreside Advisor Services, LLC, et al. (Notice) |
| 812-14062 | IC-30283 | Nov. 28, 2012 | Arden Investment Series Trust and Arden Asset Management LLC (Order) |
| 812-13974 | IC-30281 | Nov. 27, 2012 | Salient Advisors, L.P. and MarketShares ETF Trust (Order) |
| 812-14026 | IC-30280 | Nov. 26, 2012 | Blackstone Alternative Alpha Fund, et al. (Notice) |
| 812-13740 | IC-30279 | Nov. 23, 2012 | Van Eck Funds, et al. (Order) |
| 812-14056 | IC-30271 | Nov. 20, 2012 | PNC Capital Advisors, LLC, et al. (Order) |
| 812-14050 | IC-30267 | Nov. 19, 2012 | Neuberger Berman Alternative Funds, et al. (Order) |
| 812-13757 | IC-30265 | Nov. 16, 2012 | Legg Mason ETF Trust, et al. (Order) |
| 812-14074 | IC-30266 | Nov. 16, 2012 | Wells Fargo Bank, N.A., et al. (Notice and Temporary Order) |
| 812-14012 | IC-30263 | Nov. 14, 2012 | Trust for Professional Managers , et al. (Order) |
| 812-14019 | IC-30262 | Nov. 14, 2012 | Medley Capital Corporation, et al. (Order) |
| 812-14037 | IC-30260 | Nov. 13, 2012 | Columbia ETF Trust, et al. (Notice) |
| 812-14006 | IC-30259 | Nov. 9, 2012 | Highland Associates, Inc. and Financial Investors Trust (Notice) |
| 812-13731 | IC-30258 | Nov. 6, 2012 | Fidelity Aberdeen Street Trust, et al. (Notice) |
| 812-14011 | IC-30257 | Nov. 5, 2012 | Permal Hedge Strategies Fund, et al. (Order) |
| 812-14062 | IC-30255 | Nov. 2, 2012 | Arden Investment Series Trust and Arden Asset Management LLC (Notice) |
| 812-13974 | IC-30254 | Oct. 31, 2012 | Salient Advisors, L.P. and MarketShares ETF Trust (Notice) |
| 812-13740 | IC-30252 | Oct. 25, 2012 | Van Eck Funds, et al. (Notice) |
| 812-14000 | IC-30241 | Oct. 23, 2012 | PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. (Order) |
| 812-13968 | IC-30240 | Oct. 23, 2012 | Northern Trust Investments, Inc., et al. (Order) |
| 812-14056 | IC-30239 | Oct. 23, 2012 | PNC Capital Advisors, LLC, et al. (Notice) |
| 812-13820 | IC-30238 | Oct. 23, 2012 | PowerShares Exchange-Traded Fund Trust, PowerShares Exchange-Traded Fund Trust II, PowerShares Actively Managed Exchange-Traded Fund Trust, and Invesco PowerShares Capital Management LLC (Order) |
| 812-13757 | IC-30237 | Oct. 22, 2012 | Legg Mason Partners Equity Trust, et al. (Notice) |
| 812-14050 | IC-30236 | Oct. 22, 2012 | Neuberger Berman Alternative Funds, et al. (Notice) |
| 812-14012 | IC-30235 | Oct. 18, 2012 | Trust for Professional Managers, et al. (Notice) |
| 812-14019 | IC-30234 | Oct. 16, 2012 | Medley Capital Corporation, et al. (Notice) |
| 812-13985 | IC-30233 | Oct. 16, 2012 | Financial Investors Trust, et al. (Order) |
| 812-13988-01 | IC-30232 | Oct. 15, 2012 | Neuberger Berman Alternative Funds, et al. (Order) |
| 812-13967 | IC-30231 | Oct. 10, 2012 | Wells Fargo Funds Trust, et al. (Order) |
| 812-13934 | IC-30230 | Oct. 10, 2012 | Factor Advisors, LLC, et al. (Order) |
| 812-13993 | IC-30229 | Oct. 9, 2012 | Prudential Investment Portfolios 3, et al. (Order) | 812-14011 | IC-30228 | Oct. 9, 2012 | Permal Hedge Strategies Fund, et al.. (Notice) |
| 812-13998 | IC-30226 | Oct. 2, 2012 | Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC (Order) |
| 812-14000 | IC-30224 | Sep. 27, 2012 | PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. (Notice) |
| 812-13820 | IC-30222 | Sep. 26, 2012 | PowerShares Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13933 | IC-30215 | Sep. 25, 2012 | Cash Account Trust, et al. (Order) |
| 813-379 | IC-30214 | Sep. 25, 2012 | Alvarez & Marsal, Inc., et al. (Order) |
| 812-13954 | IC-30212 | Sep. 25, 2010 | Emerging Global Advisors, LLC, et al. (Order) |
| 812-13968 | IC-30211 | Sep. 24, 2012 | Northern Trust Investments, Inc., et al. (Notice) |
| 812-14074 | IC-30210 | Sep. 21, 2012 | Wells Fargo Bank, N.A., et al. (Temporary Order) |
| 812-13990 | IC-30209 | Sep. 20, 2012 | Pruco Life Insurance Company, et.al (Order) |
| 812-13988-01 | IC-30206 | Sep. 18, 2012 | Neuberger Berman Alternative Funds, et al. (Notice) |
| 812-14068 | IC-30203 | Sep. 17, 2012 | ReconTrust Company, N.A., et al. (Order) |
| 812-13985 | IC-30205 | Sep. 18, 2012 | Financial Investors Trust, et al. (Notice) |
| 812-13934 | IC-30204 | Sep. 17, 2012 | Factor Advisors, LLC, et al. (Notice) |
| 812-13967 | IC-30201 | Sep. 12, 2012 | Wells Fargo Funds Trust, et al. (Notice) |
| 812-13993 | IC-30200 | Sep. 11, 2012 | Prudential Investment Portfolios 3, et al. (Notice) |
| 812-13913 | IC-30199 | Sep. 11, 2012 | LoCorr Fund Management, LLC and LoCorr Investment Trust (Order) |
| 812-13956 | IC-30198 | Sep. 10, 2012 | IndexIQ Advisors LLC, et al. (Order) |
| 812-13998 | IC-30195 | Sep. 5, 2012 | Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC (Notice) |
| 812-14024 | IC-30194 | Sep. 5, 2012 | The Hartford Mutual Funds, Inc., et al. (Order) |
| 812-13933 | IC-30188 | Aug. 31, 2012 | Cash Account Trust, et al. (Notice) |
| 812-13990 | IC-30186 | Aug. 29, 2012 | Pruco Life Insurance Company, et al. (Notice) |
| 812-13954 | IC-30184 | Aug. 28, 2010 | Emerging Global Advisors, LLC, et al. (Notice) |
| 813-379 | IC-30183 | Aug. 28, 2012 | Alvarez & Marsal, Inc., et al. (Notice) |
| 812-13964 | IC-30182 | Aug. 28, 2012 | BlackRock Preferred Partners LLC, et al. (Order) |
| 812-14068 | IC-30174 | Aug. 20, 2012 | ReconTrust Company, N.A., et al. (Notice) |
| 812-13616-09 | IC-30173 | Aug. 20, 2012 | Capital Research and Management Company, et al. (Order) |
| 812-13512 | IC-30172 | Aug. 20, 2012 | Cash Account Trust, et al. (Order) |
| 812-14022 | IC-30171 | Aug. 20, 2012 | Saratoga Investment Corp., et al. (Order) |
| 813-248 | IC-30170 | Aug. 16, 2012 | P.E. Partners III, LLC, et al. (Order) |
| 812-13966 | IC-30169 | Aug. 15, 2012 | Credit Suisse Asset Management, LLC et al. (Order) |
| 812-13913 | IC-30168 | Aug. 14, 2012 | LoCorr Fund Management, LLC and LoCorr Investment Trust (Notice) |
| 812-13956 | IC-30166 | Aug. 13, 2012 | IndexIQ Advisors LLC, et al. (Notice) |
| 812-14024 | IC-30164 | Aug. 8, 2012 | The Hartford Mutual Funds, Inc., et al. (Notice) |
| 812-13906 | IC-30163 | Aug. 7, 2012 | The Dreyfus Corporation, et al. (Order) |
| 812-14005 | IC-30162 | Aug. 6, 2012 | AmericaFirst Quantitative Trust, and AmericaFirst Securities, Inc. (Order) |
| 812-13957 | IC-30161 | Aug. 3, 2012 | IndexIQ Advisors LLC, et al. (Order) |
| 812-13964 | IC-30160 | Aug. 2, 2012 | BlackRock Preferred Partners LLC, et al. (Notice) |
| 812-13878 | IC-30154 | Jul. 26, 2012 | Gladstone Capital Corporation, et al. (Order) |
| 812-13833 | IC-30153 | Jul. 26, 2012 | AQR Capital Management, LLC (Order) |
| 812-13512 | IC-30151 | Jul. 25, 2012 | Cash Account Trust, et al. (Notice) |
| 812-13616-09 | IC-30150 | Jul. 25, 2012 | Capital Research and Management Company, et al. (Notice) |
| 812-14022 | IC-30145 | Jul. 23, 2012 | Saratoga Investment Corp., et al. (Notice) |
| 812-13966 | IC-30144 | Jul. 20, 2012 | Credit Suisse Asset Management, LLC, et al. (Notice) |
| 813-248 | IC-30143 | Jul. 20, 2012 | P.E. Partners III, LLC, et al. (Notice) |
| 812-13666 | IC-30139 | Jul. 17, 2012 | Medallion Financial Corp. (Order) |
| 812-13900 | IC-30138 | Jul. 17, 2012 | Franklin Advisers, Inc., and Franklin Templeton International Trust (Order) |
| 812-13906 | IC-30137 | Jul. 12, 2012 | The Dreyfus Corporation, et al. (Notice) |
| 812-14005 | IC-30134 | Jul. 10, 2012 | AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. (Notice) |
| 812-14008 | IC-30133 | Jul. 10, 2012 | Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC (Order) |
| 812-13859-01 | IC-30132 | Jul. 10, 2012 | Hirtle Callaghan & Co., LLC and HC Capital Trust (Order) |
| 812-13957 | IC-30130 | Jul. 9, 2012 | IndexIQ Advisors LLC, et al. (Notice) |
| 812-13981 | IC-30129 | Jul. 5, 2012 | Precidian ETFs Trust, et al. (Order) |
| 812-13937 | IC-30127 | Jul. 3, 2012 | Arrow Investment Advisers, LLC, et al. (Order) |
| 812-13833 | IC-30128 | Jul. 3, 2012 | AQR Capital Management, LLC, et al. (Notice) |
| 812-13878 | IC-30125 | Jun. 29, 2012 | Gladstone Capital Corporation, et al. (Notice) |
| 812-13946 | IC-30123 | Jun. 26, 2012 | Federated Investment Management Company and Federated ETF Trust (Order) |
| 812-14001 | IC-30122 | Jun. 26, 2012 | Hennion & Walsh, Inc. and Smart Trust (Order) |
| 812-13666 | IC-30121 | Jun. 21, 2012 | Medallion Financial Corp. (Notice) |
| 812-13900 | IC-30105 | Jun. 18, 2012 | Franklin Advisers, Inc. and Franklin Templeton International Trust (Notice) |
| 812-14029 | IC-30104 | Jun. 15, 2012 | Harris & Harris Group, Inc. (Certification) |
| 812-14008 | IC-30103 | Jun. 14, 2012 | Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC (Notice) |
| 812-13859-01 | IC-30102 | Jun. 11, 2012 | Hirtle Callaghan & Co., LLC and HC Capital Trust (Notice) |
| 812-13981 | IC-30101 | Jun. 8, 2012 | Precidian ETFs Trust, et al. (Notice) |
| 812-13937 | IC-30100 | Jun. 6, 2012 | Arrow Investment Advisers, LLC, et al. (Notice) |
| 812-13846 | IC-30096 | Jun. 5, 2012 | Van Eck VIP Trust, et al. (Order) |
| 812-13946 | IC-30093 | Jun. 1, 2012 | Federated Investment Management Company and Federated ETF Trust (Notice) |
| 812-14001 | IC-30092 | May 31, 2012 | Hennion & Walsh, Inc. and Smart Trust (Notice) |
| 813-194 | IC-30091 | May 31, 2012 | SK Private Investment Fund 1998 LLC et al. (Order) |
| 812-13574-01 | IC-30087 | May 30, 2012 | Destra Capital Investments LLC and Destra Unit Investment Trust (Order) |
| 812-13793 | IC-30070 | May 23, 2012 | Steel Partners Holdings L.P. (Order) |
| 812-13927 | IC-30069 | May 22, 2012 | Invesco Total Property Market Income Fund, et al. (Order) |
| 812-13868 | IC-30068 | May 22, 2012 | Northern Trust Investments, Inc., et al. (Order) |
| 812-13986 | IC-30067 | May 22, 2012 | GPS Funds I, et al. (Order) |
| 812-13627 | IC-30066 | May 21, 2012 | Praxis Mutual Funds, et al. (Order) |
| 812-13889 | IC-30065 | May 21, 2012 | Advisors Series Trust and Orinda Asset Management, LLC (Order) |
| 812-13767 | IC-30064 | May 15, 2012 | Beverly Hills Bancorp Inc. (Order) |
| 812-13846 | IC-30063 | May 10, 2012 | Van Eck VIP Trust, et al. (Notice) |
| 812-13785 | IC-30061 | May 8, 2012 | Huntington Asset Advisors, Inc., et al. (Order) |
| 813-194 | IC-30060 | May 4, 2012 | SK Private Investment Fund 1998 LLC, et al. (Notice) |
| 812-13574-01 | IC-30059 | May 3, 2012 | Destra Capital Investments LLC and Destra Unit Investment Trust (Notice) |
| 812-13793 | IC-30056 | Apr. 27, 2012 | Steel Partners Holdings L.P. (Notice) |
| 812-13927 | IC-30055 | Apr. 26, 2012 | Invesco Total Property Market Income Fund, et al. (Notice) |
| 812-13778 | IC-30046 | Apr. 24, 2012 | Sunwest Rollover Member LLC (Order) |
| 812-13868 | IC-30045 | Apr. 24, 2012 | Northern Trust Investments, Inc., et al. (Notice) |
| 812-13986 | IC-30044 | Apr. 24, 2012 | GPS Funds I, et al. (Notice) |
| 812-13889 | IC-30043 | Apr. 23, 2012 | Advisors Series Trust and Orinda Asset Management, LLC (Notice) |
| 812-13627 | IC-30042 | Apr. 23, 2012 | Praxis Mutual Funds, et al. (Notice) |
| 813-228 | IC-30037 | Apr. 18, 2012 | Jefferies Employees Special Opportunities Partners, LLC, et al. (Order) |
| 812-13767 | IC-30036 | Apr. 18, 2012 | Beverly Hills Bancorp Inc. (Notice) |
| 812-13971 | IC-30035 | Apr. 17, 2012 | Domini Social Investment Trust and Domini Social Investments LLC (Order) |
| 812-14007 | IC-30033 | Apr. 10, 2012 | Capital Research and Management Company, et al. (Order) |
| 812-13785 | IC-30032 | Apr. 10, 2012 | Huntington Asset Advisors, Inc., et al. (Notice) |
| 812-13996 | IC-30031 | Apr. 10, 2012 | Forward Funds, et al. (Order) |
| 812-13955 | IC-30030 | Apr. 10, 2012 | Columbia Funds Master Investment Trust, LLC, et al. (Order) |
| 812-13795 | IC-30029 | Apr. 10, 2012 | First Trust Exchange-Traded Fund, et al. (Order) |
| 812-13313 | IC-30027 | Apr. 3, 2012 | Harris & Harris Group, Inc. (Order) |
| 812-13847 | IC-30024 | Mar. 30, 2012 | Ares Capital Corporation, Ares Capital Management LLC, and Ivy Hill Asset Management, L.P. (Order) |
| 812-13778 | IC-30014 | Mar. 29, 2012 | Sunwest Rollover Member LLC (Notice) |
| 812-13879 | IC-30012 | Mar. 27, 2012 | Fidus Investment Corporation, et al. (Order) |
| 812-13882 | IC-30011 | Mar. 27, 2012 | Kohlberg Capital Corporation (Order) |
| 812-13493 | IC-30010 | Mar. 27, 2012 | American Capital, Ltd., et al. (Order) |
| 812-13787 | IC-30009 | Mar. 26, 2012 | Medley Capital Corporation, et al. (Order) |
| 813-228 | IC-30007 | Mar. 23, 2012 | Jefferies Employees Special Opportunities Partners, LLC, et al. (Notice) |
| 812-13971 | IC-29984 | Mar. 21, 2012 | Domini Social Investment Trust and Domini Social Investments LLC (Notice) |
| 812-13795 | IC-29983 | Mar. 15, 2012 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 812-13996 | IC-29982 | Mar. 15, 2012 | Forward Funds, et al. (Notice) |
| 812-14007 | IC-29981 | Mar. 14, 2012 | Capital Research and Management Company, et al. (Notice) |
| 812-13955 | IC-29980 | Mar. 13, 2012 | Columbia Funds Master Investment Trust, LLC, et al. (Notice) |
| 812-13962 | IC-29979 | Mar. 12, 2012 | Pacific Life Insurance Company, et al. (Order) |
| 812-13847 | IC-29977 | Mar. 9, 2012 | Ares Capital Corporation et al. (Notice) |
| 812-13313 | IC-29976 | Mar. 7, 2012 | Harris & Harris Group, Inc. (Notice) |
| 812-13882 | IC-29975 | Mar. 5, 2012 | Kohlberg Capital Corporation (Notice) |
| 812-13879 | IC-29974 | Mar. 1, 2012 | Fidus Investment Corporation, et al. (Notice) |
| 812-13493 | IC-29973 | Mar. 1, 2012 | American Capital, Ltd., et al. (Notice) |
| 812-13634 | IC-29972 | Feb. 28, 2012 | Rand Capital Corporation, et al. (Order) |
| 812-13983 | IC-29971 | Feb. 28, 2012 | DoubleLine Funds Trust, et al. (Order) |
| 812-13950 | IC-29970 | Feb. 28, 2012 | Henderson Global Funds et al. (Order) |
| 812-13787 | IC-29968 | Feb. 27, 2012 | Medley Capital Corporation, et al. (Notice) |
| 812-13982 | IC-29967 | Feb. 27, 2012 | Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Order) |
| 812-13965 | IC-29951 | Feb. 22, 2012 | Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Order) |
| 812-13994 | IC-29952 | Feb. 22, 2012 | GE Asset Management Incorporated, et al.(Order) |
| 812-13921 | IC-29949 | Feb. 21, 2012 | Incapital LLC and Incapital Unit Trust (Order) |
| 812-13903 | IC-29947 | Feb. 14, 2012 | New York Life Insurance and Annuity Corporation, et al. (Corrected Order) |
| 812-13804 | IC-29946 | Feb. 14, 2012 | Main Street Capital Corporation, et al. (Order) |
| 812-13962 | IC-29944 | Feb. 13, 2012 | Pacific Life Insurance Company, et al. (Notice) |
| 812-13983 | IC-29943 | Feb. 2, 2012 | DoubleLine Capital LP and DoubleLine Funds Trust (Notice) |
| 812-13950 | IC-29942 | Feb. 1, 2012 | Henderson Global Funds, et al. (Notice) |
| 812-13634 | IC-29941 | Feb. 1, 2012 | Rand Capital Corporation, et al. (Notice) |
| 812-13857 | IC-29940 | Feb. 1, 2012 | Central Securities Corporation (Order) |
| 812-13982 | IC-29939 | Jan. 30, 2012 | Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Notice) |
| 812-13965 | IC-29937 | Jan. 26, 2012 | Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Notice) |
| 812-13994 | IC-29926 | Jan. 24, 2012 | GE Asset Management Incorporated, et al. (Notice) |
| 812-13781 | IC-29925 | Jan. 24, 2012 | Cantilever Capital, LLC and Cantilever Group, LLC (Order) |
| 812-13921 | IC-29924 | Jan. 24, 2012 | Incapital LLC and Incapital Unit Trust (Notice) |
| 812-13903 | IC-29923 | Jan. 19, 2012 | New York Life Insurance and Annuity Corporation, et al. (Corrected Notice) |
| 812-13804 | IC-29922 | Jan. 17, 2012 | Main Street Capital Corporation, et al. (Notice) |
| 812-13777 | IC-29921 | Jan. 17, 2012 | Rio Tinto plc et al. (Order) |
| 812-13478 | IC-29918 | Jan. 17, 2012 | Highland Capital Management, L.P. et al. (Order) |
| 812-13930 | IC-29916 | Jan. 10, 2012 | American Century Strategic Asset Allocations, Inc. (Order) |
| 812-13857 | IC-29915 | Jan. 6, 2012 | Central Securities Corporation (Notice) |
| 812-13952 | IC-29914 | Jan. 4, 2012 | Seasons Series Trust, et al. (Order) |
2011 | |||
| File No. | Release No. | Date | Investment Company |
| 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) |
| 813-377 | 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) |
| 813-377 | 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) |
| 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) |
| 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) |
| 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) |
| 813-361 | IC-29597 | Mar. 8, 2011 | Riverside Casualty, Inc. (Order) |
| 813-353 | IC-29596 | Mar. 8, 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) |
| 813-361 | 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) |
2010 | |||
| File No. | Release No. | Date | Investment Company |
| 812-13839 | IC-29546 | Dec. 30, 2010 | Nuveen Asset Management, et al. (Order) |
| 812-13780 | IC-29545 | Dec. 29, 2010 | American United Life Insurance Company, et al. (Order) |
| 812-13816 | IC-29544 | Dec. 28, 2010 | MetLife Insurance Company of Connecticut, et al. (Notice) |
| 812-13601 | IC-29543 | Dec. 27, 2010 | iShares Trust et al. (Notice) |
| 812-13698 | IC-29526 | Dec. 14, 2010 | Fifth Street Finance Corp., et al. (Order) |
| 812-13774 | IC-29525 | Dec. 14, 2010 | ETSpreads, LLC, et al. (Order) |
| 812-13487 | IC-29524 | Dec. 13, 2010 | SSgA Funds Management, Inc., et al. (Order) |
| 812-13839 | IC-29522 | Dec. 8, 2010 | Nuveen Asset Management, et al. (Notice) |
| 812-13780 | IC-29521 | Nov. 30, 2010 | American United Life Insurance Company, et al. (Notice) |
| 812-13648 | IC-29505 | Nov. 22, 2010 | Nationwide Life Insurance Company, et al. (Order) |
| 812-13774 | IC-29501 | Nov. 18, 2010 | ETSpreads, LLC, et al. (Notice) |
| 812-13698 | IC-29500 | Nov. 18, 2010 | Fifth Street Finance Corp., et al. (Notice) |
| 812-13487 | IC-29499 | Nov. 17, 2010 | SSgA Funds Management, Inc., et al. (Notice) |
| 812-13808 | IC-29498 | Nov. 15, 2010 | Citigroup Global Markets Inc., et al. (Order) |
| 812-13605 | IC-29496 | Nov. 3, 2010 | Van Eck Associates Corporation, et al. (Order) |
| 812-13657 | IC-29494 | Nov. 2, 2010 | Claymore Exchange-Traded Fund Trust, et al. (Order) |
| 812-13582 | IC-29492 | Oct. 27, 2010 | Dolby Laboratories, Inc. (Order) |
| 812-13769 | IC-29491 | Oct. 26, 2010 | Capital Southwest Corporation (Order) |
| 812-13624 | IC-29490 | Oct. 26, 2010 | Van Eck Associates Corporation, et al. (Order) |
| 813-358 | IC-29489 | Oct. 26, 2010 | RIEF RMP LLC and Renaissance Technologies LLC (Order) |
| 812-13770 | IC-29488 | Oct. 26, 2010 | Highland Capital Management, L.P. and Highland Funds I (Order) |
| 812-13786 | IC-29487 | Oct. 26, 2010 | Northern Lights Fund Trust, et al. (Order) |
| 812-13648 | IC-29486 | Oct. 25, 2010 | Nationwide Life Insurance Company, et al. (Notice) |
| 813-373 | IC-29485 | Oct. 25, 2010 | Elfun Trusts, et al. (Order) |
| 812-13765 | IC-29484 | Oct. 25, 2010 | Jackson National Life Insurance Company, et al. (Order) |
| 812-13708 | IC-29483 | Oct. 25, 2010 | American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company (Order) |
| 812-13771 | IC-29482 | Oct. 22, 2010 | Triangle Capital Corporation, et al. (Order) |
| 812-13808 | IC-29464 | Oct. 19, 2010 | Citigroup Global Markets Inc., et al. (Notice) |
| 812-13714 | IC-29460 | Oct. 8, 2010 | American Capital, Ltd. (Order) |
| 812-13605 | IC-29459 | Oct. 7, 2010 | Van Eck Associates Corporation, et al. (Notice) |
| 812-13657 | IC-29458 | Oct. 7, 2010 | Claymore Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13465 | IC-29457 | Oct. 5, 2010 | Tri-Continental Corporation, et al. (Order) |
| 812-13624 | IC-29455 | Oct. 1, 2010 | Van Eck Associates Corporation, et al. (Notice) |
| 812-13582 | IC-29454 | Oct. 1, 2010 | Dolby Laboratories, Inc. (Notice) |
| 812-13771 | IC-29453 | Sep. 30, 2010 | Triangle Capital Corporation, et al. (Notice) |
| 812-13786 | IC-29452 | Sep. 30, 2010 | Northern Lights Fund Trust, et al. (Notice) |
| 812-13769 | IC-29450 | Sep. 29, 2010 | Capital Southwest Corporation (Notice) |
| 813-359 | IC-29449 | Sep. 29, 2010 | Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Order) |
| 812-13661 | IC-29447 | Sep. 28, 2010 | Transamerica Asset Management, Inc., et al. (Order) |
| 813-358 | IC-29446 | Sep. 28, 2010 | RIEF RMP LLC and Renaissance Technologies LLC (Notice) |
| 812-13770 | IC-29445 | Sep. 27, 2010 | Highland Capital Management, L.P. and Highland Funds I (Notice) |
| 812-13708 | IC-29444 | Sep. 27, 2010 | American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company (Notice) |
| 812-13775 | IC-29443 | Sep. 27, 2010 | Aston Funds, et al. (Order) |
| 812-13765 | IC-29442 | Sep. 27, 2010 | Jackson National Life Insurance Company, et al. (Notice) |
| 813-373 | IC-29441 | Sep. 27, 2010 | Elfun Trusts, et al. (Notice) |
| 812-13763 | IC-29418 | Sep. 21, 2010 | The Integrity Funds, et al. (Order) |
| 812-13714 | IC-29416 | Sep. 14, 2010 | American Capital, Ltd. (Notice) |
| 812-13465 | IC-29415 | Sep. 10, 2010 | Tri-Continental Corporation, et al. (Notice) |
| 812-13733 | IC-29412 | Sep. 8, 2010 | WisdomTree Asset Management Inc., et al. (Order) |
| 812-13661 | IC-29410 | Sep. 3, 2010 | Transamerica Asset Management, Inc., et al. (Notice) |
| 813-359 | IC-29409 | Sep. 3, 2010 | Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Notice) |
| 812-13623 | IC-29407 | Aug. 31, 2010 | Kohlberg Capital Corporation (Order) |
| 813-375 | IC-29406 | Aug. 31, 2010 | Blackstone Group, L.P. (Order) |
| 812-13775 | IC-29400 | Aug. 26, 2010 | Aston Funds, et al. (Notice) |
| 812-13763 | IC-29399 | Aug. 25, 2010 | The Integrity Funds, et al. (Notice) |
| 812-13709-01 | IC-29386 | Aug. 25, 2010 | Millington Securities, Inc., et al. (Order) |
| 812-13807 | IC-29385 | Aug. 25, 2010 | GE Asset Management Incorporated, et al. (Order) |
| 812-13751 | IC-29383 | Aug. 23, 2010 | Virtus Opportunities Trust, et al. (Order) |
| 812-13796 | IC-29382 | Aug. 18, 2010 | Goldman, Sachs & Co., et al. (Order) |
| 812-13707 | IC-29381 | Aug. 18, 2010 | Northern Funds, et al. (Order) |
| 812-13733 | IC-29380 | Aug. 13, 2010 | WisdomTree Asset Management Inc, et al. (Notice) |
| 812-13743 | IC-29379 | Aug. 10, 2010 | Federated Enhanced Treasury Income Fund, et al. (Order) |
| 813-375 | IC-29378 | Aug. 5, 2010 | The Blackstone Group, L.P. (Notice) |
| 812-13623 | IC-29376 | Aug. 3, 2010 | Kohlberg Capital Corporation (Notice) |
| 812-13709-01 | IC-29375 | Jul. 30, 2010 | Millington Securities, Inc., et al. (Notice) |
| 812-13807 | IC-29374 | Jul. 30, 2010 | GE Asset Management Incorporated and GE Investment Distributors, Inc. (Notice and Temporary Order) |
| 812-13686 | IC-29372 | Jul. 29, 2010 | AXA Equitable Life Insurance Company, et al. (Order) |
| 812-13751 | IC-29370 | Jul. 27, 2010 | Virtus Opportunities Trust, et al. (Notice) |
| 812-13756 | IC-29369 | Jul. 27, 2010 | Nationwide Life Insurance Company, et. al. (Order) |
| 812-13707 | IC-29368 | Jul. 23, 2010 | Northern Funds, et al. (Notice) |
| 812-13796 | IC-29366 | Jul. 21, 2010 | Goldman, Sachs & Co., et al. (Notice and Temporary Order) |
| 812-13218 | IC-29344 | Jul. 21, 2010 | Lazard Global Total Return and Income Fund, Inc., et al. (Order) |
| 812-13752 | IC-29343 | Jul. 20, 2010 | Korea Finance Corporation (Order) |
| 812-13713 | IC-29342 | Jul. 15, 2010 | Pruco Life Insurance Company, et. al. (Order) |
| 812-13743 | IC-29341 | Jul. 14, 2010 | Federated Enhanced Treasury Income Fund, et al. (Notice) |
| 812-13539 | IC-29339 | Jul. 7, 2010 | DWS Advisor Funds, et al. (Order) |
| 812-13686 | IC-29338 | Jul. 7, 2010 | AXA Equitable Life Insurance Company, et al. (Notice) |
| 812-13756 | IC-29337 | Jul. 2, 2010 | Nationwide Life Insurance Company, et. al. (Notice) |
| 812-13706 | IC-29336 | Jun. 30, 2010 | EQ Advisors Trust, et al. (Order) |
| 812-13748 | IC-29335 | Jun. 29, 2010 | FFCM, LLC and FQF Trust (Order) |
| 812-13752 | IC-29332 | Jun. 25, 2010 | Korea Finance Corporation (Notice) |
| 812-13218 | IC-29331 | Jun. 24, 2010 | Lazard Global Total Return and Income Fund, Inc., et al. (Notice) |
| 812-13716 | IC-29303 | Jun. 22, 2010 | Hercules Technology Growth Capital, Inc. (Order) |
| 812-13713 | IC-29302 | Jun. 18, 2010 | Pruco Life Insurance Company, et. al. (Notice) |
| 812-13745 | IC-29297 | Jun. 14, 2010 | Kinetics Mutual Funds, Inc., et al. (Order) |
| 812-13539 | IC-29295 | Jun. 9, 2010 | DWS Advisor Funds, et al. (Notice) |
| 812-13706 | IC-29294 | Jun. 4, 2010 | EQ Advisors Trust, et al. (Notice) |
| 812-13710 | IC-29293 | Jun. 3, 2010 | Jackson National Life Insurance Company of New York, et al. (Order) |
| 812-13748 | IC-29292 | Jun. 2, 2010 | FFCM, LLC and FQF Trust (Notice) |
| 812-13677 | IC-29291 | May 28, 2010 | AdvisorShares Investments, LLC and AdvisorShares Trust (Order) |
| 812-13768 | IC-29289 | May 28, 2010 | Harris & Harris Group, Inc. (Certification) |
| 812-13716 | IC-29287 | May 26, 2010 | Hercules Technology Growth Capital, Inc. (Notice) |
| 812-13534 | IC-29271 | May 18, 2010 | Claymore Exchange-Traded Fund Trust 3 et al. (Order) |
| 812-13745 | IC-29270 | May 17, 2010 | Kinetics Mutual Funds, Inc., et al. (Notice) |
| 812-13702 | IC-29269 | May 17, 2010 | Pax World Funds Trust II, et al. (Order) |
| 812-13718 | IC-29268 | May 17, 2010 | Calvert Social Investment Fund, et al. (Order) |
| 812-13651 | IC-29267 | May 12, 2010 | Northern Lights Fund Trust, et al. (Order) |
| 812-13710 | IC-29265 | May 10, 2010 | Jackson National Life Insurance Company of New York, et al. (Notice) |
| 812-13677 | IC-29264 | May 6, 2010 | AdvisorShares Investments, LLC and AdvisorShares Trust (Notice) |
| 812-13703 | IC-29262 | Apr. 30, 2010 | Jackson National Life Insurance Company, et al. (Order) |
| 812-13687 | IC-29260 | Apr. 27, 2010 | WNC Tax Credits 38, LLC, et al. (Order) |
| 812-13727 | IC-29259 | Apr. 27, 2010 | Pioneer Bond Fund, et al. (Order) |
| 812-13667 | IC-29258 | Apr. 26, 2010 | Medallion Financial Corp. (Order) |
| 812-13702 | IC-29257 | Apr. 26, 2010 | Pax World Funds Trust II, et al. (Notice) |
| 812-13534 | IC-29256 | Apr. 23, 2010 | Claymore Exchange-Traded Fund Trust 3 et al. (Notice) |
| 812-13681 | IC-29255 | Apr. 21, 2010 | Legg Mason Partners Equity Trust, et al. (Order) |
| 812-13058-06 | IC-29213 | Apr. 20, 2010 | RMR Real Estate Income Fund, et al. (Order) |
| 812-13685 | IC-29212 | Apr. 20, 2010 | Rydex Series Funds, et al. (Order) |
| 812-13700 | IC-29211 | Apr. 20, 2010 | MetLife Insurance Company of Connecticut, et al. (Order) |
| 812-13694 | IC-29210 | Apr. 20, 2010 | MCG Capital Corporation (Order) |
| 812-13718 | IC-29209 | Apr. 19, 2010 | Calvert Social Investment Fund, et al. (Notice) |
| 812-13651 | IC-29208 | Apr. 16, 2010 | Northern Lights Fund Trust, et al. (Notice) |
| 812-13753 | IC-29206 | Apr. 9, 2010 | SeaCo Ltd. (Order) |
| 812-13703 | IC-29205 | Apr. 7, 2010 | Jackson National Life Insurance Company, et al. (Notice) |
| 812-13690 | IC-29204 | Apr. 7, 2010 | Integrity Life Insurance Company, et al (Order) |
| 812-13687 | IC-29202 | Apr. 2, 2010 | WNC Tax Credits 38, LLC, et al. (Notice) |
| 812-13667 | IC-29201 | Apr. 1, 2010 | Medallion Financial Corp. (Notice) |
| 812-13727 | IC-29198 | Mar. 31, 2010 | Pioneer Bond Fund, et al. (Notice) |
| 812-13732 | IC-29197 | Mar. 31, 2010 | Lincoln Investment Advisors Corporation, et al. (Order) |
| 812-13660 | IC-29196 | Mar. 31, 2010 | Lincoln Variable Insurance Products Trust, et al. (Order) |
| 812-13676 | IC-29195 | Mar. 30, 2010 | The Chile Fund, et al. (Order) |
| 812-13749 | IC-29194 | Mar. 30, 2010 | The Chile Fund, Inc. (Order) |
| 812-13681 | IC-29192 | Mar. 26, 2010 | Legg Mason Partners Equity Trust, et al. (Notice) |
| 812-13694 | IC-29191 | Mar. 25, 2010 | MCG Capital Corporation (Notice) |
| 812-13700 | IC-29190 | Mar. 25, 2010 | MetLife Insurance Company of Connecticut, et al. (Notice) |
| 812-13161-01 | IC-29189 | Mar. 24, 2010 | First Trust/Aberdeen Global Opportunity Income Fund, et al. (Order) |
| 812-13685 | IC-29179 | Mar. 23, 2010 | Rydex Series Funds, et al. (Notice) |
| 812-13058-06 | IC-29178 | Mar. 23, 2010 | RMR Real Estate Income Fund, et al. (Notice) |
| 812-13595 | IC-29177 | Mar. 22, 2010 | Millington Securities, Inc., et al. (Order) |
| 812-13753 | IC-29176 | Mar. 17, 2010 | SeaCo Ltd. (Notice) |
| 812-13570 | IC-29172 | Mar. 10, 2010 | iShares Trust et al. (Order) |
| 812-13690 | IC-29171 | Mar. 10, 2010 | Integrity Life Insurance Company, et al (Notice) |
| 812-13732 | IC-29170 | Mar. 9, 2010 | Lincoln Investment Advisors Corporation, et al. (Notice) |
| 812-13749 | IC-29169 | Mar. 8, 2010 | The Chile Fund, Inc. (Notice) |
| 812-13660 | IC-29168 | Mar. 5, 2010 | Lincoln Variable Insurance Products Trust, et al. (Notice) |
| 812-13676 | IC-29167 | Mar. 2, 2010 | The Chile Fund, et al. (Notice) |
| 812-13658-01 | IC-29164 | Mar. 1, 2010 | U.S. One, Inc. and U.S. One Trust (Order) |
| 812-13161-01 | IC-29163 | Feb. 26, 2010 | First Trust/Aberdeen Global Opportunity Income Fund, et al. (Notice) |
| 812-13595 | IC-29160 | Feb. 25, 2010 | Millington Securities, Inc., et al. (Notice) |
| 812-13746 | IC-29133 | Feb. 23, 2010 | Assurant, Inc., et al. (Order) |
| 812-13559 | IC-29130 | Feb. 22, 2010 | ShariahShares Exchange-Traded Fund Trust, et al. (Order) |
| 812-13570 | IC-29129 | Feb. 16, 2010 | iShares Trust et al. (Notice) |
| 812-13658-01 | IC-29128 | Feb. 2, 2010 | U.S. One, Inc. and U.S. One Trust (Notice) |
| 812-13559 | IC-29127 | Jan. 29, 2010 | ShariahShares Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13746 | IC-29125 | Jan. 26, 2010 | Assurant, Inc., et al. (Notice) |
| 812-13549 | IC-29124 | Jan. 26, 2010 | MetLife, Inc. et al. (Order) |
| 812-13728 | IC-29110 | Jan. 12, 2010 | Investools Inc., et al. (Order) |
| 812-13678 | IC-29109 | Jan. 12, 2010 | Cash Account Trust, et al. (Order) |
2009 | |||
| File No. | Release No. | Date | Investment Company |
| 812-13549 | IC-29101 | Dec. 30, 2009 | MetLife, Inc., et al. (Notice) |
| 812-13640 | IC-29100 | Dec. 29, 2009 | PNC Bank, National Association (Order) |
| 812-13653 | IC-29099 | Dec. 29, 2009 | Madison Asset Management, LLC, et al. (Order) |
| 812-13712 | IC-29097 | Dec. 23, 2009 | Strategic Funds, Inc., et al. (Order) |
| 812-13654-01 | IC-29096 | Dec. 22, 2009 | Members Mutual Funds, et al. (Order) |
| 812-13678 | IC-29094 | Dec. 16, 2009 | Cash Account Trust, et al. (Notice) |
| 812-13728 | IC-29093 | Dec. 16, 2009 | Investools Inc., et al. (Notice and Temporary Order) |
| 812-13636 | IC-29070 | Dec. 15, 2009 | Pioneer Floating Rate Trust and Pioneer High Income Trust (Order) |
| 812-13653 | IC-29068 | Dec. 7, 2009 | Madison Asset Management, LLC, et al. (Notice) |
| 812-13640 | IC-29066 | Dec. 3, 2009 | PNC Bank, National Association (Notice) |
| 812-13638 | IC-29065 | Dec. 1, 2009 | FaithShares Trust, et al. (Order) |
| 812-13712 | IC-29064 | Nov. 30, 2009 | Strategic Funds, Inc., et al. (Notice) |
| 812-13482 | IC-29063 | Nov. 24, 2009 | MFS Government Markets Income Trust, et al. (Order) |
| 812-13654 | IC-29062 | Nov. 23, 2009 | Members Mutual Funds, et al. (Notice) |
| 812-13636 | IC-28998 | Nov. 20, 2009 | Pioneer Floating Rate Trust and Pioneer High Income Trust (Notice) |
| 812-13432-02 | IC-28995 | Nov. 10, 2009 | Pioneer Diversified High Income Trust, et al. (Order) |
| 812-13086-05 | IC-28994 | Nov. 10, 2009 | Neuberger Berman Management LLC, et al. (Order) |
| 812-13571 | IC-28993 | Nov. 10, 2009 | Pacific Investment Management Company LLC (Order) |
| 812-13638 | IC-28991 | Nov. 5, 2009 | FaithShares Trust, et al. (Notice) |
| 812-13482 | IC-28987 | Oct. 29, 2009 | MFS Government Markets Income Trust, et al. (Notice) |
| 812-13656 | IC-28986 | Oct. 29, 2009 | Morgan Stanley Investment Management Inc. et al. (Order) |
| 812-13030 | IC-28985 | Oct. 27, 2009 | Evergreen Income Advantage Fund, et al. (Order) |
| 812-13628 | IC-28983 | Oct. 23, 2009 | Charles Schwab Investment Management, Inc., et al. (Order) |
| 812-13569 | IC-28982 | Oct. 21, 2009 | Ridgewood Capital Energy Growth Fund, LLC, et al. (Order) |
| 812-13571 | IC-28949 | Oct. 20, 2009 | Pacific Investment Management Company LLC and PIMCO ETF Trust (Notice) |
| 812-13612 | IC-28948 | Oct. 20, 2009 | Annuity Investors Life Insurance Company, et al. (Order) |
| 812-13432-02 | IC-28947 | Oct. 16, 2009 | Pioneer Diversified High Income Trust, et al. (Notice) |
| 812-13086-05 | IC-28945 | Oct. 14, 2009 | Neuberger Berman Management LLC, et al. (Notice) |
| 812-13516-01 | IC-28944 | Oct. 8, 2009 | Grail Advisors, LLC and Grail Advisors ETF Trust (Order) |
| 812-13656 | IC-28941 | Oct. 6, 2009 | Morgan Stanley Investment Management Inc., et al. (Notice) |
| 812-13030 | IC-28938 | Sep. 30, 2009 | Evergreen Income Advantage Fund, et al. (Notice) |
| 812-13630 | IC-28937 | Sep. 30, 2009 | Alpine Global Dynamic Dividend Fund, et al. (Order) |
| 812-13631 | IC-28936 | Sep. 30, 2009 | Columbia Funds Series Trust, et al. (Order) |
| 812-13535 | IC-28935 | Sep. 30, 2009 | American Capital, Ltd. (Order) |
| 812-13628 | IC-28933 | Sep. 28, 2009 | Charles Schwab Investment Management, Inc., et al. (Notice) |
| 812-13643 | IC-28932 | Sep. 28, 2009 | AdvisorOne Funds and CLS Investments, LLC (Order) |
| 812-13569 | IC-28931 | Sep. 25, 2009 | Ridgewood Capital Energy Growth Fund, LLC, et al. (Notice) |
| 812-13405 | IC-28910 | Sep. 22, 2009 | Arrow Investment Advisers, LLC, et al. (Order) |
| 812-13612 | IC-28909 | Sep. 22, 2009 | Annuity Investors Life Insurance Company, et al. (Notice) |
| 812-13221 | IC-28908 | Sep. 22, 2009 | Highland Capital Management, L.P. (Order) |
| 812-13584 | IC-28907 | Sep. 22, 2009 | Jackson National Life Insurance Company, et al. (Order) |
| 812-13617 | IC-28906 | Sep. 22, 2009 | DNP Select Income Fund Inc., et al. (Order) |
| 812-13610 | IC-28905 | Sep. 22, 2009 | Rafferty Asset Management, LLC, et al. (Order) |
| 812-13105 | IC-28904 | Sep. 21, 2009 | Clough Global Allocation Fund, et al. (Order) |
| 812-13504 | IC-28902 | Sep. 17, 2009 | OOK, Inc., et al. (Order) |
| 812-13611 | IC-28901 | Sep. 15, 2009 | MML Series Investment Fund, et al. (Order) |
| 812-13516-01 | IC-28900 | Sep. 14, 2009 | Grail Advisors LLC and Grail Advisors ETF Trust (Notice) |
| 812-13680 | IC-28899 | Sep. 9, 2009 | GE Asset Management Incorporated and GE Investment Distributors, Inc. (Order) |
| 812-13614 | IC-28898 | Sep. 9, 2009 | Old Mutual Global Shares Trust, et al. (Order) |
| 812-13630 | IC-28897 | Sep. 4, 2009 | Alpine Global Dynamic Dividend Fund, et al. (Notice) |
| 812-13631 | IC-28896 | Sep. 4, 2009 | Columbia Funds Series Trust, et al. (Notice) |
| 812-13535 | IC-28895 | Sep. 3, 2009 | American Capital, Ltd. (Notice) |
| 812-13643 | IC-28894 | Aug. 31, 2009 | AdvisorOne Funds and CLS Investments, LLC (Notice) |
| 812-13619 | IC-28893 | Aug. 28, 2009 | Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Order) |
| 812-13617 | IC-28891 | Aug. 27, 2009 | DNP Select Income Fund Inc., et al. (Notice) |
| 812-13584 | IC-28890 | Aug. 27, 2009 | Jackson National Life Insurance Company, et al. (Notice) |
| 812-13610 | IC-28889 | Aug. 27, 2009 | Rafferty Asset Management, LLC, et al. (Notice) |
| 812-13221 | IC-28888 | Aug. 27, 2009 | Highland Capital Management L.P., et al. (Notice) |
| 812-13405 | IC-28852 | Aug. 25, 2009 | Arrow Investment Advisers, LLC, et al. (Notice) |
| 812-13504 | IC-28851 | Aug. 25, 2009 | OOK, Inc., et al. (Notice) |
| 812-13105 | IC-28850 | Aug. 24, 2009 | Clough Global Allocation Fund, et al. (Notice) |
| 812-13611 | IC-28849 | Aug. 20, 2009 | MML Series Investment Fund, et al. (Notice) |
| 812-13573 | IC-28848 | Aug. 13, 2009 | Compagnie de Financement Foncier (Order) |
| 812-13614 | IC-28847 | Aug. 13, 2009 | Old Mutual Global Shares Trust, et al. (Notice) |
| 812-13503 | IC-28846 | Aug. 13, 2009 | Pax World Funds Trust II, et al. (Order) |
| 812-13680 | IC-28845 | Aug. 11, 2009 | GE Asset Management Incorporated, et al. (Notice and Temporary Order) |
| 812-13578 | IC-28844 | Aug. 11, 2009 | The Alger Funds, et al. (Order) |
| 812-13200 | IC-28843 | Aug. 11, 2009 | Reaves Utility Income Fund, et al. (Order) |
| 812-13545 | IC-28839 | Jul. 28, 2009 | GE Funds, et al. (Order) |
| 812-13421 | IC-28837 | Jul. 27, 2009 | Federated Core Trust III and Federated Investment Management Company (Order) |
| 812-13642 | IC-28836 | Jul. 24, 2009 | WisdomTree Asset Management Inc. (Order) |
| 812-13573 | IC-28835 | Jul. 22, 2009 | Compagnie de Financement Foncier (Notice) |
| 812-13503 | IC-28834 | Jul. 22, 2009 | Pax World Funds Trust II, et al. (Notice) |
| 812-13488 | IC-28822 | Jul. 20, 2009 | AdvisorShares Investments, LLC, et al. (Order) |
| 812-13633 | IC-28820 | Jul. 20, 2009 | Embarcadero Funds, Inc., et al. (Order) |
| 812-13578 | IC-28819 | Jul. 16, 2009 | The Alger Funds, et al. (Notice) |
| 812-13200 | IC-28818 | Jul. 14, 2009 | Reaves Utility Income Fund, et al. (Notice) |
| 812-13495 | IC-28815 | Jul. 8, 2009 | Nationwide Life Insurance Company, et al. (Order) |
| 812-13449 | IC-28814 | Jul. 7, 2009 | X Exchange-Traded Funds, Inc., et al. (Order) |
| 812-13604 | IC-28813 | Jul. 7, 2009 | PowerShares Exchange-Traded Fund Trust, et al. (Order) |
| 812-13663 | IC-28812 | Jul. 7, 2009 | RBC Capital Markets Corporation, et al. (Order) |
| 812-13664 | IC-28811 | Jul. 7, 2009 | Deutsche Bank Securities Inc., et al. (Order) |
| 812-13662 | IC-28810 | Jul. 7, 2009 | Banc of America Securities LLC, et al. (Order) |
| 812-13545 | IC-28808 | Jul. 2, 2009 | GE Funds, et al. (Notice) |
| 812-13421 | IC-28806 | Jun. 30, 2009 | Federated Core Trust III, et al. (Notice) |
| 812-13650 | IC-28805 | Jun. 29, 2009 | WisdomTree Investments, Inc., et al. (Order) |
| 812-13642 | IC-28804 | Jun. 29, 2009 | WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice) |
| 812-13551 | IC-28770 | Jun. 23, 2009 | The Managers Funds, et al. (Order) |
| 812-13633 | IC-28769 | Jun. 22, 2009 | Embarcadero Funds, Inc., et al. (Notice) |
| 812-13649 | IC-28768 | Jun. 16, 2009 | Main Street Capital Corporation, et al. (Order) |
| 812-13495 | IC-28767 | Jun. 12, 2009 | Nationwide Life Insurance Company, et al. (Notice) |
| 812-13449 | IC-28766 | Jun. 11, 2009 | X Exchange-Traded Funds, Inc., et al. (Notice) |
| 812-13662 | IC-28764 | Jun. 9, 2009 | Banc of America Securities LLC, et al. (Notice and Temporary Order) |
| 812-13664 | IC-28763 | Jun. 9, 2009 | Deutsche Bank Securities Inc., et al. (Notice and Temporary Order) |
| 812-13663 | IC-28762 | Jun. 9, 2009 | RBC Capital Markets Corporation, et al. (Notice and Temporary Order) |
| 812-13655 | IC-28761 | Jun. 9, 2009 | Harris & Harris Group, Inc. (Certification) |
| 812-13604 | IC-28760 | Jun. 8, 2009 | PowerShares Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13619 | IC-28758 | Jun. 4, 2009 | Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Notice)
Comments received are available. |
| 812-13650 | IC-28755 | Jun. 1, 2009 | WisdomTree Investments, Inc., et al. (Notice) |
| 812-13598 | IC-28754 | Jun. 1, 2009 | Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Order) |
| 812-13594 | IC-28753 | Jun. 1, 2009 | Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order) |
| 812-13555 | IC-28752 | Jun. 1, 2009 | Pacific Investment Management Company LLC and PIMCO ETF Trust (Order) |
| 812-13551 | IC-28748 | May 28, 2009 | The Managers Funds, et al. (Notice) |
| 812-13618 | IC-28746 | May 26, 2009 | Citibank, N.A. (Order) |
| 813-274 | IC-28727 | May 20, 2009 | William Blair & Company, L.L.C., Wilblairco II, L.L.C. (Order) |
| 812-13649 | IC-28726 | May 19, 2009 | Main Street Capital Corporation, et al. (Notice) |
| 812-13400 | IC-28724 | May 12, 2009 | ProShares Trust, et al. (Order) |
| 812-13555 | IC-28723 | May 11, 2009 | Pacific Investment Management Company LLC and PIMCO ETF Trust (Notice) |
| 812-13598 | IC-28722 | May 8, 2009 | Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Notice) |
| 812-13594 | IC-28721 | May 8, 2009 | Cohen & Steers Advantage Income Realty Fund, et al. (Notice) |
| 812-13235 | IC-28719 | May 5, 2009 | BlackRock International Growth and Income Trust et al. (Order) |
| 812-13647 | IC-28718 | May 5, 2009 | Triangle Capital Corporation (Order) |
| 812-13618 | IC-28717 | Apr. 29, 2009 | Citibank, N.A. (Notice) |
| 812-13525 | IC-28716 | Apr. 28, 2009 | Bridgeway Capital Management, Inc. (Order) |
| 812-13602 | IC-28715 | Apr. 28, 2009 | First American Strategy Funds, Inc., et al. (Order) |
| 812-13564 | IC-28714 | Apr. 28, 2009 | Phoenix Life Insurance Company, et al. (Order) |
| 813-274 | IC-28700 | Apr. 22, 2009 | William Blair & Company, L.L.C. and Wilblairco II, L.L.C. (Notice) |
| 812-13588 | IC-28699 | Apr. 20, 2009 | MetLife Insurance Company of Connecticut, et al. (Order) |
| 812-13400 | IC-28696 | Apr. 14, 2009 | ProShares Trust, et al. (Notice) |
| 812-13645 | IC-28695 | Apr. 14, 2009 | UBS AG, et al. (Order) |
| 812-13519 | IC-28694 | Apr. 14, 2009 | Massachusetts Financial Services Company, et al. (Order) |
| 812-13538 | IC-28693 | Apr. 14, 2009 | ING Investments, LLC (Order) |
| 812-13647 | IC-28692 | Apr. 13, 2009 | Triangle Capital Corporation (Notice) |
| 812-13235 | IC-28690 | Apr. 7, 2009 | Blackrock International Growth and Income Trust, et al. (Notice) |
| 812-13639 | IC-28689 | Apr. 7, 2009 | E*TRADE Capital Markets LLC, et al. (Order) |
| 812-13641 | IC-28688 | Apr. 7, 2009 | Automated Trading Desk Specialists, LLC, et al. (Order) |
| 812-13600 | IC-28687 | Apr. 3, 2009 | ING USA Annuity and Life Insurance Company, et al. (Order) |
| 812-13564 | IC-28686 | Apr. 3, 2009 | Phoenix Life Insurance Company, et al. (Notice) |
| 812-13525 | IC-28685 | Apr. 1, 2009 | Bridgeway Capital Management, Inc. (Notice) |
| 812-13602 | IC-28683 | Mar. 31, 2009 | First American Strategy Funds, Inc. (Notice) |
| 812-13543 | IC-28682 | Mar. 30, 2009 | Forward Funds, et al. (Order) |
| 812-13588 | IC-28678 | Mar. 25, 2009 | MetLife Insurance Company of Connecticut, et al. (Notice) |
| 812-13541 | IC-28654 | Mar. 24, 2009 | DFA Investment Dimensions Group Inc., et al. (Order) |
| 812-13441 | IC-28653 | Mar. 20, 2009 | IndexIQ ETF Trust, et al. (Order) |
| 812-13645 | IC-28652 | Mar. 19, 2009 | UBS AG, et al. (Notice and Temporary Order) |
| 812-13515 | IC-28651 | Mar. 18, 2009 | Mainstay VP Series Fund, et al. (Order) |
| 812-13538 | IC-28650 | Mar. 17, 2009 | ING Investments, LLC, et al. (Corrected Notice) |
| 812-13519 | IC-28649 | Mar. 17, 2009 | Massachusetts Financial Services Company, et al. (Notice) |
| 812-13632 | IC-28648 | Mar. 17, 2009 | Wachovia Securities, LLC, et al. (Order) |
| 812-13600 | IC-28646 | Mar. 13, 2009 | ING USA Annuity and Life Insurance Company, et al. (Notice) |
| 812-13641 | IC-28647 | Mar. 12, 2009 | Automated Trading Desk Specialists, LLC, et al. (Notice) |
| 812-13639 | IC-28645 | Mar. 12, 2009 | E*TRADE Capital Markets LLC, et al. (Notice) |
| 812-13586 | IC-28643 | Mar. 10, 2009 | Eaton Vance Enhanced Equity Income Fund, et al. (Order) |
| 812-13536 | IC-28641 | Mar. 4, 2009 | Advisors Asset Management, Inc. and Advisors Disciplined Trust (Order) |
| 812-13543 | IC-28640 | Mar. 3, 2009 | Forward Funds, et al. (Notice) |
| 812-13441 | IC-28638 | Feb. 27, 2009 | IndexIQ ETF Trust, et al. (Notice) |
| 812-13541 | IC-28637 | Feb. 26, 2009 | DFA Investment Dimensions Group Inc., et al. (Notice) |
| 812-13515 | IC-28619 | Feb. 20, 2009 | Mainstay VP Series Fund, Inc. (Notice) |
| 812-13632 | IC-28618 | Feb. 18, 2009 | Wachovia Securities, LLC, et al. (Notice and Temporary Order) |
| 812-13586 | IC-28616 | Feb. 10, 2009 | Eaton Vance Enhanced Equity Income Fund, et al. (Notice) |
| 812-13552 | IC-28615 | Feb. 10, 2009 | Calamos Convertible Opportunities and Income Fund, et al. (Order) |
| 812-13523 | IC-28614 | Feb. 9, 2009 | Allstate Financial Investment Trust, et al. (Order) |
| 812-13536 | IC-28613 | Feb. 6, 2009 | Advisors Asset Management, Inc. and Advisors Disciplined Trust (Notice) |
| 812-13239 | IC-28612 | Feb. 3, 2009 | SunAmerica Focused Alpha Growth Fund, Inc., et al. (Order) |
| 812-13397 | IC-28611 | Feb. 3, 2009 | Macquarie Global Infrastructure Total Return Fund Inc., et al. (Order) |
| 812-13499 | IC-28608 | Jan. 26, 2009 | Franklin Templeton Fund Allocator Series, et al. (Order) |
| 812-13402 | IC-28607 | Jan. 22, 2009 | Sun Life Assurance Company of Canada (U.S.), et al. (Order) |
| 812-13609 | IC-28606 | Jan. 16, 2009 | UBS Securities LLC, et al. (Order) |
| 812-13615 | IC-28605 | Jan. 16, 2009 | Citigroup Global Markets Inc., et al. (Order) |
| 812-13440 | IC-28604 | Jan. 16, 2009 | Grail Advisors, LLC and Grail Advisors ETF Trust (formerly known as Grail Advisors' Alpha ETF Trust) (Order) |
| 812-13552 | IC-28603 | Jan. 14, 2009 | Calamos Convertible Opportunities and Income Fund, et al.(Notice) |
| 812-13523 | IC-28581 | Jan. 12, 2009 | Allstate Financial Investment Trust, et al. (Notice) |
| 812-13397 | IC-28579 | Jan. 6, 2009 | Macquarie Global Infrastructure Total Return Fund, Inc., et al. (Notice) |
| 812-13239 | IC-28578 | Jan. 6, 2009 | SunAmerica Focused Alpha Growth Fund, Inc., et al. (Notice) |
| 812-13563 | IC-28577 | Jan. 6, 2009 | TIAA-CREF Life Funds, et al. (Order) |
| 813-332 | IC-28576 | Jan. 6, 2009 | TWB Investment Partnership, L.P., et al. (Order) |
2008 | |||
| File No. | Release No. | Date | Investment Company |
| 812-13492 | IC-28575 | Dec. 30, 2008 | RiverSource Life Insurance Company, et al. (Order) |
| 812-13499 | IC-28574 | Dec. 29, 2008 | Franklin Templeton Fund Allocator Series, et al. (Notice) |
| 812-12903 | IC-28573 | Dec. 29, 2008 | Banc of America Funds Trust, et al. (Order) |
| 812-13615 | IC-28572 | Dec. 23, 2008 | Citigroup Global Markets Inc., et al. (Notice and Temporary Order) |
| 812-13440 | IC-28571 | Dec. 23, 2008 | Grail Advisors, LLC and Grail Advisors' Alpha ETF Trust (Notice) |
| 812-13402 | IC-28570 | Dec. 23, 2008 | Sun Life Assurance Company of Canada (U.S.), et al. (Notice) |
| 812-13609 | IC-28569 | Dec. 23, 2008 | UBS Securities LLC, et al. (Notice and Temporary Order) |
| 812-13488 | IC-28568 | Dec. 23, 2008 | AdvisorShares Investments, LLC and AdvisorShares Trust (Notice)
Comments received are available. |
| 812-13563 | IC-28530 | Dec. 10, 2008 | TIAA-CREF Life Funds, et al. (Notice) |
| 813-365 | IC-28529 | Dec. 9, 2008 | Wortham Finance, L.P., et al. (Order) |
| 813-332 | IC-28528 | Dec. 9, 2008 | TWB Investment Partnership, L.P., et al. (Notice) |
| 812-13492 | IC-28527 | Dec. 4, 2008 | RiverSource Life Insurance Company, et al. (Notice) |
| 812-12903 | IC-28526 | Dec. 1, 2008 | Banc of America Funds Trust, et al. (Notice) |
| 812-13548 | IC-28524 | Nov. 26, 2008 | Wells Fargo Funds Trust, et al. (Order) |
| 812-13474 | IC-28521 | Nov. 25, 2008 | Allianz Life Insurance Company of North America, et al. (Order) |
| 812-13077 | IC-28486 | Nov. 17, 2008 | Boulder Total Return Fund, Inc., et al. (Order) |
| 812-13497 | IC-28485 | Nov. 17, 2008 | The Zweig Total Return Fund, Inc., et al. (Order) |
| 813-365 | IC-28484 | Nov. 10, 2008 | Wortham Finance, L.P. et al. (Notice) |
| 812-13063 | IC-28483 | Nov. 4, 2008 | Calamos Convertible Opportunities and Income Fund, et al. (Order) |
| 812-13548 | IC-28482 | Oct. 31, 2008 | Wells Fargo Funds Trust, et al. (Notice) |
| 812-13474 | IC-28480 | Oct. 30, 2008 | Allianz Life Insurance Company of North America, et al. (Notice) |
| 812-13530 | IC-28475 | Oct. 28, 2008 | Aberdeen Asset Management Inc. and Aberdeen Funds (Order) |
| 812-13428 | IC-28474 | Oct. 28, 2008 | MCG Capital Corporation, et al. (Order) |
| 813-355 | IC-28473 | Oct. 28, 2008 | HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Order) |
| 812-13392 | IC-28472 | Oct. 28, 2008 | H&Q Healthcare Investors, et al. (Order) |
| 812-13458 | IC-28471 | Oct. 27, 2008 | WisdomTree Asset Management, Inc. and WisdomTree Trust (Order) |
| 812-13480 | IC-28470 | Oct. 27, 2008 | Dodge & Cox Funds and Dodge & Cox Incorporated (Order) |
| 812-13533 | IC-28469 | Oct. 27, 2008 | Forward Funds and Forward Management, LLC (Order) |
| 812-13477 | IC-28468 | Oct. 27, 2008 | First Trust Advisors L.P., et al. (Order) |
| 812-13491 | IC-28467 | Oct. 27, 2008 | Invesco PowerShares Capital Management LLC, et al. (Order) |
| 812-13585 | IC-28466 | Oct. 24, 2008 | Reserve Municipal Money-Market Trust, et al. (Notice of Application and Temporary Order)
Comments received are available. |
| 812-13576 | IC-28465 | Oct. 24, 2008 | The Reserve Fund (Notice) |
| 812-13540 | IC-28464 | Oct. 23, 2008 | Eaton Vance Floating-Rate Income Trust, et al. (Order) |
| 812-13521 | IC-28445 | Oct. 21, 2008 | Delaware Management Business Trust, et al. (Order) |
| 812-13529 | IC-28444 | Oct. 21, 2008 | Morgan Stanley Series Funds, et al. (Order) |
| 812-13531 | IC-28443 | Oct. 21, 2008 | Aberdeen Asset Management Inc., et al. (Order) |
| 812-13077 | IC-28442 | Oct. 20, 2008 | Boulder Total Return Fund, Inc., et al. (Notice) |
| 812-13497 | IC-28441 | Oct. 20, 2008 | The Zweig Total Return Fund, Inc., et al. (Notice) |
| 812-13506 | IC-28440 | Oct. 17, 2008 | Van Kampen Retirement Strategy Trust, et al. (Order) |
| 812-13514 | IC-28439 | Oct. 15, 2008 | Trust for Professional Managers, et al. (Order) |
| 812-13355 | IC-28437 | Oct. 14, 2008 | Triangle Capital Corporation, et al. (Order) |
| 812-13063 | IC-28435 | Oct. 7, 2008 | Calamos Convertible Opportunities and Income Fund, et al. (Notice) |
| 812-13483 | IC-28434 | Oct. 6, 2008 | Rafferty Asset Management, LLC, et al. (Order) |
| 812-13517 | IC-28433 | Oct. 3, 2008 | Global X Funds and Global X Management Company LLC (Order) |
| 812-13540 | IC-28431 | Oct. 2, 2008 | Eaton Vance Floating-Rate Income Trust, et al. (Notice) |
| 812-13572 | IC-28430 | Oct. 1, 2008 | Prudential Financial, Inc., et al. (Order) |
| 812-13530 | IC-28429 | Sep. 30, 2008 | Aberdeen Asset Management Inc. and Aberdeen Funds (Notice) |
| 813-355 | IC-28428 | Sep. 30, 2008 | HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Notice) |
| 812-13428 | IC-28427 | Sep. 30, 2008 | MCG Capital Corporation, et al. (Notice) |
| 812-13392 | IC-28426 | Sep. 30, 2008 | H&Q Healthcare Investors, et al. (Notice) |
| 812-13505 | IC-28425 | Sep. 30, 2008 | Fidelity Aberdeen Street Trust, et al. (Order) |
| 812-13477 | IC-28421 | Sep. 29, 2008 | First Trust Advisors L.P. (Notice) |
| 812-13533 | IC-28420 | Sep. 29, 2008 | Forward Funds and Forward Management, LLC (Notice) |
| 812-13458 | IC-28419 | Sep. 29, 2008 | WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice) |
| 812-13381 | IC-28412 | Sep. 29, 2008 | PIMCO Municipal Income Fund, et al. (Order) |
| 812-13491 | IC-28411 | Sep. 29, 2008 | Invesco PowerShares Capital Management LLC, et al. (Notice) |
| 812-13526 | IC-28410 | Sep. 29, 2008 | Phoenix Equity Trust, et al. (Order) |
| 812-13480 | IC-28409 | Sep. 29, 2008 | Dodge & Cox Funds and Dodge & Cox Incorporated (Notice) |
| 812-13531 | IC-28407 | Sep. 25, 2008 | Aberdeen Asset Management Inc., et al. (Notice) |
| 812-13506 | IC-28406 | Sep. 25, 2008 | Van Kampen Retirement Strategy Trust, et al. (Notice) |
| 812-13521 | IC-28405 | Sep. 24, 2008 | Delaware Management Business Trust, et al. (Notice) |
| 812-13357-01 | IC-28389 | Sep. 24, 2008 | John Hancock Income Securities Trust, John Hancock Investors Trust, John Hancock Patriot Premium Dividend Fund II, John Hancock Preferred Income Fund, John Hancock Preferred Income Fund II, John Hancock Preferred Income Fund III, John Hancock Tax-Advantaged Dividend Income Fund, John Hancock Tax-Advantaged Global Shareholder Yield Fund, and John Hancock Advisers, LLC (Order) |
| 812-13529 | IC-28388 | Sep. 23, 2008 | Morgan Stanley Series Funds, et al. (Notice) |
| 812-13576 | IC-28386 | Sep. 22, 2008 | The Reserve Fund, on behalf of two of its series, the Primary Fund and the U.S. Government Fund (Order)
See also: Responses to Frequently Asked Questions about The Reserve Fund and Money Market Funds Comments received are available. |
| 812-13528 | IC-28385 | Sep. 22, 2008 | Aberdeen Asset Management Inc., et al. (Order) |
| 812-13451 | IC-28384 | Sep. 19, 2008 | Allianz Life Insurance Company of North America, et al. (Order) |
| 812-13355 | IC-28383 | Sep. 19, 2008 | Triangle Capital Corporation, et al. (Notice) |
| 812-13514 | IC-28382 | Sep. 19, 2008 | Trust for Professional Managers, et al. (Notice) |
| 812-13483 | IC-28379 | Sep. 12, 2008 | Rafferty Asset Management, LLC, et al. (Notice) |
| 812-13517 | IC-28378 | Sep. 10, 2008 | Global X Funds and Global X Management Company LLC (Notice) |
| 812-13572 | IC-28377 | Sep. 5, 2008 | Prudential Financial, Inc., et al. (Notice and Temporary Order) |
| 812-13505 | IC-28376 | Sep. 5, 2008 | Fidelity Aberdeen Street Trust, et al. (Notice) |
| 812-13526 | IC-28375 | Sep. 3, 2008 | Phoenix Equity Trust, et al. (Notice) |
| 812-13537 | IC-28374 | Sep. 3, 2008 | Advanced Series Trust, et al. (Order) |
| 812-13532 | IC-28373 | Sep. 3, 2008 | Prudential Annuities Life Assurance Corp., et. al. (Order) |
| 812-13357-01 | IC-28372 | Aug. 29, 2008 | John Hancock Income Securities Trust, et al. (Notice) |
| 812-13381 | IC-28370 | Aug. 29, 2008 | PIMCO Municipal Income Fund, et al. (Notice) |
| 812-13451 | IC-28369 | Aug. 28, 2008 | Allianz Life Insurance Company of North America, et al. (Notice) |
| 812-13377 | IC-28368 | Aug. 26, 2008 | DNP Select Income Fund Inc. and Duff & Phelps Investment Management Co. (Order) |
| 812-13425 | IC-28367 | Aug. 26, 2008 | Javelin Exchange-Traded Trust, et al. (Order) |
| 812-13456 | IC-28366 | Aug. 26, 2008 | Goldman Sachs Trust, et al. (Order) |
| 812-13507 | IC-28365 | Aug. 25, 2008 | Van Eck Associates Corporation, et al. (Order) |
| 812-13528 | IC-28364 | Aug. 25, 2008 | Aberdeen Asset Management Inc. and Aberdeen Funds (Notice) |
| 812-13152 | IC-28358 | Aug. 19, 2008 | Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order) |
| 812-13454 | IC-28357 | Aug. 12, 2008 | The Mexico Fund, et al. (Order) |
| 812-13513 | IC-28356 | Aug. 12, 2008 | PIMCO Funds, et al. (Order) |
| 812-13537 | IC-28355 | Aug. 8, 2008 | Advanced Series Trust, et al. (Notice) |
| 812-13532 | IC-28354 | Aug. 8, 2008 | Prudential Annuities Life Assurance Corporation, et. al. (Notice) |
| 812-13074 | IC-28352 | Aug. 5, 2008 | ING Clarion Real Estate Income Fund, et al. (Order) |
| 812-13425 | IC-28350 | Jul. 31, 2008 | Javelin Exchange-Traded Trust, et al. (Notice) |
| 812-13507 | IC-28349 | Jul. 31, 2008 | Van Eck Associates Corporation, et al. (Notice) |
| 812-13377 | IC-28348 | Jul. 31, 2008 | DNP Select Income Fund Inc., et al. (Notice) |
| 812-13456 | IC-28347 | Jul. 31, 2008 | Goldman Sachs Trust, et al. (Notice) |
| 812-13401 | IC-28342 | Jul. 25, 2008 | The Penn Mutual Life Insurance Company, et al. (Order) |
| 812-13152 | IC-28341 | Jul. 24, 2008 | Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Notice) |
| 812-13457 | IC-28334 | Jul. 22, 2008 | Minnesota Life Insurance Company, et al. (Order) |
| 812-13454 | IC-28332 | Jul. 17, 2008 | The Mexico Fund, et al. (Notice) |
| 812-13513 | IC-28331 | Jul. 17, 2008 | PIMCO Funds, et al. (Notice) |
| 812-13074 | IC-28329 | Jul. 8, 2008 | ING Clarion Real Estate Income Fund, et al. (Notice) |
| 812-13401 | IC-28328 | Jul. 2, 2008 | The Penn Mutual Life Insurance Company, et al. (Notice) |
| 812-13457 | IC-28321 | Jun. 26, 2008 | Minnesota Life Insurance Company, et al. (Notice) |
| 813-369 | IC-28301 | Jun. 18, 2008 | American International Group, Inc., et al. (Order) |
| 812-13475 | IC-28300 | Jun. 17, 2008 | Matrix Capital Group, Inc., et al. (Order) |
| 812-13455 | IC-28297 | Jun. 6, 2008 | Prudential Retirement Insurance and Annuity Company, et al. (Order) |
| 812-13438 | IC-28295 | Jun. 3, 2008 | Main Street Capital Corporation, et al. (Order) |
| 812-13520 | IC-28294 | May 30, 2008 | Harris & Harris Group, Inc. (Order) |
| 813-362 | IC-28289 | May 28, 2008 | The Bessemer Group, Inc., et al. (Order) |
| 812-13496 | IC-28288 | May 28, 2008 | The RBB Fund, Inc. and Abundance Technologies, Inc. (Order) |
| 812-13476 | IC-28287 | May 28, 2008 | Fidelity Rutland Square Trust, et al. (Order) |
| 813-369 | IC-28286 | May 23, 2008 | American International Group, Inc., et al (Notice) |
| 812-13466 | IC-28285 | May 23, 2008 | ING USA Annuity and Life Insurance Company, et al. (Order) |
| 812-13475 | IC-28284 | May 22, 2008 | Matrix Capital Group, Inc., et al. (Notice) |
| 812-13508 | IC-28267 | May 20, 2008 | Thrivent Mutual Funds, et al. (Order) |
| 812-13438 | IC-28265 | May 8, 2008 | Main Street Capital Corporation, et al. (Notice) |
| 812-13246 | IC-28264 | May 7, 2008 | U.S. Bank National Association FAF Advisors, Inc. (Order) |
| 812-13455 | IC-28263 | May 7, 2008 | Prudential Retirement Insurance and Annuity Company, et al. (Notice) |
| 812-13430 | IC-28262 | May 1, 2008 | ALPS Advisers Inc., et al. (Order) |
| 812-13496 | IC-28260 | Apr. 30, 2008 | The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice) |
| 812-13476 | IC-28259 | Apr. 30, 2008 | Fidelity Rutland Square Trust, et al. (Notice) |
| 813-362 | IC-28258 | Apr. 29, 2008 | The Bessemer Group, Incorporated, et al. (Notice) |
| 812-13500 | IC-28257 | Apr. 28, 2008 | Franklin California Tax-Free Income Trust, et al. (Order) |
| 812-13466 | IC-28256 | Apr. 28, 2008 | ING USA Annuity and Life Insurance Company, et al. (Notice) |
| 812-13508 | IC-28252 | Apr. 24, 2008 | Thrivent Mutual Funds, et al. (Notice) |
| 812-13368 | IC-28239 | Apr. 23, 2008 | Kohlberg Capital Corporation (Order) |
| 812-13246 | IC-28238 | Apr. 16, 2008 | U.S. Bank National Association, et al. (Notice) |
| 812-13445 | IC-28237 | Apr. 16, 2008 | American Family Life Insurance Company, et al. (Order) |
| 812-13439 | IC-28236 | Apr. 16, 2008 | MetLife Insurance Company of Connecticut, et al. (Order) |
| 812-13430 | IC-28235 | Apr. 9, 2008 | ALPS Advisers, Inc. (Notice) |
| 812–13452 | IC-28234 | Apr. 3, 2008 | Jefferson National Life Insurance Company, et al. (Order) |
| 812-13446 | IC-28233 | Apr. 1, 2008 | Prudential Annuities Life Assurance Corporation, et al. (Order) |
| 812-13423 | IC-28232 | Apr. 1, 2008 | CUNA Mutual Insurance Society, et al. (Order) |
| 812-13437 | IC-28231 | Apr. 1, 2008 | Pruco Life Insurance Company, et al. (Order) |
| 812-13418 | IC-28230 | Apr. 1, 2008 | JPMorgan Trust I, et al. (Order) |
| 812-13500 | IC-28229 | Mar. 31, 2008 | Franklin California Tax-Free Income Fund, et al. (Notice) |
| 812-13368 | IC-28228 | Mar. 28, 2008 | Kohlberg Capital Corporation (Notice) |
| 812-13481 | IC-28202 | Mar. 25, 2008 | Eaton Vance Mutual Funds Trust, et al. (Order) |
| 812-13473 | IC-28201 | Mar. 25, 2008 | Advisors Series Trust, et al. (Order) |
| 812-13348 | IC-28200 | Mar. 25, 2008 | Patriot Capital Funding, Inc. (Order) |
| 812-13367 | IC-28199 | Mar. 24, 2008 | Kohlberg Capital Corporation (Order) |
| 812-13445 | IC-28197 | Mar. 19, 2008 | American Family Life Insurance Company, et al. (Notice) |
| 812-13447 | IC-28196 | Mar. 18, 2008 | Triangle Capital Corporation (Order) |
| 812-13444 | IC-28195 | Mar. 17, 2008 | NETS Trust (Order) |
| 812-13452 | IC-28191 | Mar. 10, 2008 | Jefferson National Life Insurance Company, et al. (Notice) |
| 812-13439 | IC-28190 | Mar. 10, 2008 | MetLife Insurance Company of Connecticut, et al. (Notice) |
| 812-13418 | IC-28183 | Mar. 4, 2008 | JPMorgan Trust I, et al. (Notice) |
| 812-13427 | IC-28182 | Mar. 4, 2008 | Pioneer Bond Fund, et al. (Order) |
| 812-13423 | IC-28181 | Mar. 4, 2008 | CUNA Mutual Insurance Society, et al. (Notice) |
| 812-13437 | IC-28180 | Mar. 4, 2008 | Pruco Life Insurance Company, et al. (Notice) |
| 812-13446 | IC-28179 | Mar. 4, 2008 | Prudential Annuities Life Assurance Corporation, et al. (Notice) |
| 812-13348 | IC-28176 | Feb. 28, 2008 | Patriot Capital Funding, Inc. (Notice) |
| 812-13473 | IC-28175 | Feb. 27, 2008 | Advisors Series Trust, et al. (Notice) |
| 812-13470 | IC-28174 | Feb. 27, 2008 | WisdomTree Trust, et al. (Order) |
| 812-13485 | IC-28173 | Feb. 27, 2008 | Barclays Global Fund Advisors, et al. (Order) |
| 812-13352 | IC-28172 | Feb. 27, 2008 | Bear Stearns Asset Management, Inc., et al. (Order) |
| 812-13386 | IC-28171 | Feb. 27, 2008 | PowerShares Capital Management LLC, et al. (Order) |
| 812-13481 | IC-28170 | Feb. 26, 2008 | Eaton Vance Mutual Funds Trust, et al. (Notice) |
| 812-13436 | IC-28169 | Feb. 26, 2008 | MLIG Variable Insurance Trust (Order) |
| 812-13367 | IC-28168 | Feb. 25, 2008 | Kohlberg Capital Corporation (Notice) |
| 812-13467 | IC-28167 | Feb. 25, 2008 | Schroder Series Trust, et al. (Order) |
| 812-13444 | IC-28166 | Feb. 25, 2008 | NETS Trust, et al. (Notice) |
| 812-13447 | IC-28165 | Feb. 20, 2008 | Triangle Capital Corporation (Notice) |
| 812-13363 | IC-28151 | Feb. 13, 2008 | The TIGERS Revenue Trust and VTL Associates, LLC (Order) |
| 812-13213 | IC-28150 | Feb. 13, 2008 | Morgan Stanley Investment Management Inc., et al. (Order) |
| 812-13424 | IC-28149 | Feb. 12, 2008 | Northern Institutional Funds, Northern Funds, Northern Trust Investments, N.A. (Order) |
| 812-13470 | IC-28147 | Feb. 6, 2008 | Wisdom Tree Trust, et al. (Notice) |
| 812-13485 | IC-28146 | Feb. 6, 2008 | Barclays Global Fund Advisors, et al. (Notice) |
| 812-13427 | IC-28144 | Feb. 5, 2008 | Pioneer Bond Fund, et al. (Notice) |
| 812-13352 | IC-28143 | Feb. 5, 2008 | Bear Stearns Asset Management, Inc., et al. (Notice) |
| 812-13386 | IC-28140 | Feb. 1, 2008 | PowerShares Capital Management LLC, et al. (Notice) |
| 812-13436 | IC-28139 | Jan. 31, 2008 | MLIG Variable Insurance Trust and Roszel Advisors, LLC (Notice) |
| 812-13467 | IC-28133 | Jan. 24, 2008 | Schroder Series Trust, et al. (Notice) |
| 812-13213 | IC-28125 | Jan. 18, 2008 | Morgan Stanley Investment Management Inc., et al. (Notice) |
| 812-13363 | IC-28123 | Jan. 18, 2008 | The TIGERS Revenue Trust and VTL Associates, LLC (Notice) |
| 812-13453 | IC-28122 | Jan. 16, 2008 | The UBS Funds, et al. (Order) |
| 812-13464 | IC-28121 | Jan. 16, 2008 | Millennium India Acquisition Company, Inc. (Order) |
| 812-13411 | IC-28120 | Jan. 16, 2008 | Main Street Capital Corporation, et al. (Order) |
| 812-13424 | IC-28119 | Jan. 16, 2008 | Northern Institutional Funds (Notice) |
2007 | |||
| File No. | Release No. | Date | Investment Company |
| 812-13450 | IC-28117 | Dec. 27, 2007 | Unified Series Trust, et al. (Order) |
| 812-13464 | IC-28083 | Dec. 21, 2007 | Millennium India Acquisition Company Inc. (Notice) |
| 812-13411 | IC-28082 | Dec. 21, 2007 | Main Street Capital Corporation, et al. (Notice) |
| 812-13414 | IC-28081 | Dec. 21, 2007 | John Hancock Life Insurance Company (U.S.A.), et al. (Order) |
| 812-13453 | IC-28080 | Dec. 19, 2007 | The UBS Funds, et al. (Notice) |
| 813-367 | IC-28076 | Dec. 11, 2007 | Kiewit Investment Fund LLLP (Order) |
| 812-12984 | IC-28074 | Dec. 4, 2007 | BTOP50 Managed Futures Fund and Asset Alliance Advisors, Inc. (Order) |
| 813-350 | IC-28072 | Dec. 4, 2007 | Tower 21st Century Fund, LLC, et al. (Order) |
| 812-13450 | IC-28071 | Nov. 30, 2007 | Unified Series Trust and Envestnet Asset Management, Inc. (Notice) |
| 812-13416 | IC-28067 | Nov. 27, 2007 | Rafferty Asset Management, LLC, et al. (Order) |
| 812-13376 | IC-28066 | Nov. 27, 2007 | FocusShares Trust F/N/A MyShares Trust, et al. (Order) |
| 812-13414 | IC-28065 | Nov. 26, 2007 | John Hancock Life Insurance Company (U.S.A.), et al. (Notice) |
| 813-367 | IC-28047 | Nov. 15, 2007 | Kiewit Investment Fund LLLP (Notice) |
| 813-350 | IC-28046 | Nov. 8, 2007 | Tower 21st Century Fund LLC, et al. (Notice) |
| 812-12984 | IC-28045 | Nov. 8, 2007 | BTOP50 Managed Futures Fund and Asset Alliance Advisors, Inc. (Notice) |
| 812-13380 | IC-28044 | Nov. 7, 2007 | MetLife Insurance Company of Connecticut, et al. (Order) |
| 813-326 | IC-28043 | Nov. 6, 2007 | Raymond James Employee Investment Fund I, L.P., et al. (Order) |
| 812-13376 | IC-28040 | Oct. 31, 2007 | MyShares Trust, et al. (Notice) |
| 812-13416 | IC-28039 | Oct. 30, 2007 | Rafferty Asset Management, et al. (Notice) |
| 812-13419 | IC-28038 | Oct. 29, 2007 | JNF Advisors, Inc. and Northern Lights Variable Trust (Order) |
| 812-13412 | IC-28024 | Oct. 24, 2007 | Vanguard STAR Funds, et al. (Order) |
| 812-13232 | IC-28023 | Oct. 24, 2007 | Fidelity Rutland Square Trust, et al. (Order) |
| 812-13426 | IC-28021 | Oct. 24, 2007 | Van Eck Associates Corporation, et al. (Order) |
| 812-13398 | IC-28020 | Oct. 24, 2007 | American Capital Strategies, Ltd. (Order) |
| 812-13396 | IC-28019 | Oct. 23, 2007 | Claymore Exchange-Traded Fund Trust, et al. (Order) |
| 812-13390 | IC-28018 | Oct. 23, 2007 | Rydex ETF Trust, et al. (Order) |
| 812-13394 | IC-28017 | Oct. 22, 2007 | Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al. (Order) |
| 812-13413 | IC-28016 | Oct. 22, 2007 | MMA Praxis Mutual Funds et al. (Order) |
| 812-13417 | IC-28015 | Oct. 17, 2007 | WisdomTree Investments, Inc., et al. (Order) |
| 812-13382 | IC-28014 | Oct. 17, 2007 | ProShares Trust, et al. (Order) |
| 812-13380 | IC-28013 | Oct. 12, 2007 | MetLife Insurance Company of Connecticut, et al. (Notice) |
| 813-326 | IC-28012 | Oct. 11, 2007 | Raymond James Employee Investment Fund I, L.P., et al. (Notice) |
| 812-13388 | IC-28011 | Oct. 10, 2007 | Hercules Technology Growth Capital, Inc. (Order) |
| 812-13419 | IC-28010 | Oct. 2, 2007 | JNF Advisors, Inc. and Northern Lights Variable Trust (Notice) |
| 812-13412 | IC-28009 | Sep. 28, 2007 | Vanguard STAR Funds, et al. (Notice) |
| 812-13232 | IC-28008 | Sep. 28, 2007 | Fidelity Rutland Square Trust, et al. (Notice) |
| 812-13426 | IC-28007 | Sep. 28, 2007 | Van Eck Associates Corporation, et al. (Notice) |
| 812-13398 | IC-28001 | Sep. 27, 2007 | American Capital Strategies, Ltd. (Notice) |
| 812-13390 | IC-28000 | Sep. 27, 2007 | Rydex ETF Trust, et al. (Notice) |
| 812-13359 | IC-27999 | Sep. 27, 2007 | Financial Investors Variable Insurance Trust, et al. (Order) |
| 812-13408 | IC-27995 | Sep. 26, 2007 | Trust for Professional Managers, et al. (Order) |
| 812-13372 | IC-27983 | Sep. 26, 2007 | SPA ETF Trust and SPA ETF Inc. (Order) |
| 812-13396 | IC-27982 | Sep. 26, 2007 | Claymore Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13387 | IC-27981 | Sep. 25, 2007 | Rydex ETF Trust, et al. (Order) |
| 812-13365 | IC-27979 | Sep. 25, 2007 | Minnesota Life Insurance Company, et. al. (Order) |
| 812-13394 | IC-27978 | Sep. 24, 2007 | Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al. (Notice and Order) |
| 812-13413 | IC-27977 | Sep. 24, 2007 | MMA Praxis Mutual Funds, et al. (Notice) |
| 812-13417 | IC-27976 | Sep. 21, 2007 | WisdomTree Investments, Inc., et al. (Notice) |
| 812-13382 | IC-27975 | Sep. 21, 2007 | ProShares Trust, et al. (Notice) |
| 812-13267 | IC-27972 | Sep. 18, 2007 | Hartford Life Insurance Company, et al. (Order) |
| 812-13364 | IC-27971 | Sep. 18, 2007 | Allianz RCM Global EcoTrends Fund, et al. (Order) |
| 812-13259 | IC-27970 | Sep. 17, 2007 | American International Group, Inc., et al. (Order) |
| 812-13388 | IC-27968 | Sep. 12, 2007 | Hercules Technology Growth Capital, Inc. (Notice) |
| 812-13359 | IC-27965 | Sep. 4, 2007 | Financial Investors Variable Insurance Trust et al. (Notice) |
| 812-13408 | IC-27964 | Aug. 31, 2007 | Trust for Professional Managers, Inc., et al. (Notice) |
| 812-13372 | IC-27963 | Aug. 31, 2007 | SPA ETF Trust and SPA ETF Inc. (Notice) |
| 812-13365 | IC-27960 | Aug. 30, 2007 | Minnesota Life Insurance Company, et al. (Notice) |
| 812-13353 | IC-27959 | Aug. 29, 2007 | Sentinel Variable Products Trust, et al. (Order) |
| 812-13387 | IC-27958 | Aug. 28, 2007 | Rydex ETF Trust, et al. (Notice) |
| 812-12973 | IC-27957 | Aug. 28, 2007 | Lehman Brothers Asset Management LLC, et al. (Order) |
| 812-13251 | IC-27956 | Aug. 28, 2007 | AARP Funds, et al. (Order) |
| 812-13290 | IC-27955 | Aug. 28, 2007 | Medallion Financial Corp. (Order) |
| 812-13383 | IC-27954 | Aug. 27, 2007 | DWS Advisor Funds, et al. (Order) |
| 812-13364 | IC-27936 | Aug. 23, 2007 | Allianz RCM Global EcoTrends Fund, et al. (Notice) |
| 812-13267 | IC-27933 | Aug. 22, 2007 | Hartford Life Insurance Company, et al. (Notice) |
| 812-13259 | IC-27931 | Aug. 20, 2007 | American International Group, Inc., et al. (Notice) |
| 812-13358 | IC-27930 | Aug. 20, 2007 | HealthShares, Inc. et al. (Order) |
| 812-13346 | IC-27929 | Aug. 17, 2007 | MONY Life Insurance Company of America, et al. (Order) |
| 812-13333 | IC-27926 | Aug. 9, 2007 | Delaware VIP Trust, et al. (Order) |
| 812-13353 | IC-27921 | Aug. 3, 2007 | Sentinel Variable Products Trust and Sentinel Asset Management, Inc. (Notice) |
| 812-12973 | IC-27920 | Aug. 1, 2007 | Lehman Brothers Asset Management LLC, et al. (Notice) |
| 812-13383 | IC-27919 | Jul. 31, 2007 | DWS Advisor Funds, et al. (Notice) |
| 812-13251 | IC-27918 | Jul. 31, 2007 | AARP Funds, et al. (Notice) |
| 812-13290 | IC-27917 | Jul. 30, 2007 | Medallion Financial Corp. (Notice) |
| 812-13358 | IC-27916 | Jul. 27, 2007 | HealthShares, Inc. (Notice) |
| 812-13394 | IC-27915 | Jul. 27, 2007 | The BISYS Group Inc., et al. (Order) |
| 812-13375 | IC-27910 | Jul. 25, 2007 | Aston Funds and Aston Asset Management LLC (Order) |
| 812-13346 | IC-27909 | Jul. 24, 2007 | MONY Life Insurance Company of America, et al. (Notice) |
| 812-13399 | IC-27888 | Jul. 24, 2007 | RealNetworks, Inc. (Order) |
| 812-13338 | IC-27887 | Jul. 17, 2007 | Principal Variable Contracts Fund, Inc., et al. (Order) |
| 812-13333 | IC-27886 | Jul. 16, 2007 | Delaware VIP Trust et al. (Notice) |
| 812-13361 | IC-27885 | Jul. 16, 2007 | ING Life Insurance and Annuity Company, et al. (Order) |
| 812-13391 | IC-27882 | Jul. 5, 2007 | Barclays Global Fund Advisors (Order) |
| 812-13375 | IC-27879 | Jun. 29, 2007 | Aston Funds et al. (Notice) |
| 812-13399 | IC-27877 | Jun. 28, 2007 | RealNetworks, Inc. (Notice) |
| 813-306 | IC-27875 | Jun. 26, 2007 | Stephens, Inc., et al. (Order) |
| 812-13332 | IC-27874 | Jun. 26, 2007 | Ameristock ETF Trust, et al. (Order) |
| 812-13341 | IC-27873 | Jun. 26, 2007 | John Hancock Trust, el al. (Order) |
| 812-13288 | IC-27871 | Jun. 21, 2007 | HealthShares™, Inc. and XShares Advisors LLC (Order) |
| 812-13374 | IC-27870 | Jun. 20, 2007 | Harris & Harris Group, Inc. (Certification) |
| 812-13361 | IC-27869 | Jun. 20, 2007 | ING Life Insurance and Annuity Company, et al. (Notice) |
| 812-13350 | IC-27868 | Jun. 20, 2007 | First Investors Equity Funds (Order) |
| 812-13338 | IC-27852 | Jun. 18, 2007 | Principal Variable Contracts Fund, Inc., et al. (Notice) |
| 812-13391 | IC-27851 | Jun. 6, 2007 | Barclays Global Fund Advisors (Notice) |
| 812-13287 | IC-27850 | Jun. 4, 2007 | Lincoln Variable Insurance Products Trust, et al. (Order) |
| 812-13304 | IC-27849 | Jun. 1, 2007 | Van Eck Worldwide Insurance Trust, et al. (Order) |
| 812-13341 | IC-27848 | May 30, 2007 | John Hancock Trust, et al. (Notice) |
| 812-13332 | IC-27847 | May 30, 2007 | Ameristock ETF Trust, et al. (Notice) |
| 812-13268 | IC-27846 | May 30, 2007 | First American Investment Funds, Inc. et al. (Order) |
| 812-13340 | IC-27845 | May 30, 2007 | First Trust Exchange-Traded Fund, et al. (Order) |
| 812-13288 | IC-27844 | May 29, 2007 | HealthShares™, Inc. and XShares Advisors LLC (Notice) |
| 813-306 | IC-27843 | May 29, 2007 | Stephens Inc., et al. (Notice) |
| 812-13335 | IC-27841 | May 25, 2007 | PowerShares Exchange-Traded Fund Trust, et al. (Order) |
| 812-13356 | IC-27839 | May 25, 2007 | SSgA Funds Management, Inc., et al. (Order) |
| 812-13312 | IC-27838 | May 23, 2007 | Hercules Technology Growth Capital, Inc. (Order) |
| 812-13286 | IC-27837 | May 23, 2007 | Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Order) |
| 812-13350 | IC-27826 | May 23, 2007 | First Investors Equity Funds, et al. (Notice) |
| 812-13334 | IC-27825 | May 22, 2007 | XTF Advisors Trust, et al. (Order) |
| 812-13255 | IC-27824 | May 22, 2007 | Hill Physicians Medical Group, Inc. (Order) |
| 812-13373 | IC-27823 | May 22, 2007 | The Gabelli Equity Trust Inc., et al. (Order) |
| 812-13186 | IC-27822 | May 22, 2007 | HSBC Securities (USA) Inc. (Order) |
| 812-13287 | IC-27821 | May 11, 2007 | Lincoln Variable Insurance Products Trust, et al. (Notice) |
| 812-13304 | IC-27820 | May 9, 2007 | Van Eck Worldwide Insurance Trust, et al. (Notice) |
| 812-13268 | IC-27818 | May 4, 2007 | First American Investment Funds, Inc., et al. (Notice) |
| 812-13312 | IC-27815 | May 2, 2007 | Hercules Technology Growth Capital, Inc. (Notice) |
| 812-13249 | IC-27814 | May 1, 2007 | Forward Funds (Order) |
| 812-13342 | IC-27813 | Apr. 30, 2007 | Jefferson National Life Insurance Company, et al. (Order) |
| 812-13340 | IC-27812 | Apr. 30, 2007 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 812-13335 | IC-27811 | Apr. 30, 2007 | PowerShares Exchange-Traded Fund Trust (Notice) |
| 812-13347 | IC-27810 | Apr. 30, 2007 | MetLife Insurance Company of Connecticut, et al. (Order) |
| 812-13356 | IC-27809 | Apr. 30, 2007 | SSgA Funds Management, Inc., et al. (Notice) |
| 812-13373 | IC-27808 | Apr. 30, 2007 | The Gabelli Equity Trust Inc., et al. (Notice) |
| 812-13286 | IC-27807 | Apr. 27, 2007 | Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Notice) |
| 812-13186 | IC-27805 | Apr. 26, 2007 | HSBC Securities (USA) Inc. (Notice) |
| 812-13255 | IC-27804 | Apr. 26, 2007 | Hill Physicians Medical Group, Inc. (Notice) |
| 812-13262 | IC-27784 | Apr. 25, 2007 | First Trust Exchange-Traded Fund, et al. (Order) |
| 812-13334 | IC-27783 | Apr. 25, 2007 | XTF Advisors Trust, et al. (Notice) |
| 813-264 | IC-27782 | Apr. 24, 2007 | Silas Partners I, LLC, et al. (Order) |
| 812-13318 | IC-27781 | Apr. 16, 2007 | John Hancock Life Insurance Company (U.S.A.), John Hancock Life Insurance Company (U.S.A.) Separate Account H, John Hancock Life Insurance Company of New York, and John Hancock Life Insurance Company of New York Separate Account A (Order) |
| 812-13342 | IC-27779 | Apr. 6, 2007 | Jefferson National Life Insurance Company, et al. (Notice) |
| 812-13347 | IC-27778 | Apr. 6, 2007 | MetLife Insurance Company of Connecticut, et al. (Notice) |
| 812-13249 | IC-27777 | Apr. 5, 2007 | Forward Funds, et al. (Notice) |
| 812-13238 | IC-27776 | Apr. 5, 2007 | Hercules Technology Growth Capital, Inc. et al. (Order) |
| 812-13295 | IC-27775 | Apr. 3, 2007 | The RBB Fund, Inc., et al. (Order) |
| 813-284 | IC-27774 | Apr. 2, 2007 | SA Investment Partnership LLC, et al. (Order) |
| 812-13336 | IC-27773 | Apr. 2, 2007 | Vanguard Bond Index Funds, et al. (Order) |
| 812-13262 | IC-27772 | Mar. 30, 2007 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 813-264 | IC-27770 | Mar. 27, 2007 | Silas Partners I, LLC et al. (Notice) |
| 812-13327 | IC-27769 | Mar. 27, 2007 | Liberty All-Star Equity Fund, Liberty All-Star Growth Fund, Inc., and ALPS Advisers, Inc. (Order) |
| 812-13344 | IC-27768 | Mar. 21, 2007 | BLDRS Index Funds Trust, PowerShares Capital Management LLC, and ALPS Distributors, Inc. (Order) |
| 812-13337 | IC-27754 | Mar. 20, 2007 | Rydex ETF Trust, Rydex Distributors, Inc. and PADCO Advisors II, Inc. (Order) |
| 812-13345 | IC-27753 | Mar. 20, 2007 | Nasdaq-100 Trust, Series 1, PowerShares Capital Management LLC, and ALPS Distributors, Inc. (Order) |
| 812-13318 | IC-27752 | Mar. 19, 2007 | John Hancock Life Insurance Company, et al. (Notice) |
| 812-13272 | IC-27751 | Mar. 15, 2007 | Wilshire Variable Insurance Trust and Wilshire Associates Incorporated (Order) |
| 812-13336 | IC-27750 | Mar. 9, 2007 | Vanguard Bond Index Funds, et al. (Notice) |
| 812-13295 | IC-27749 | Mar. 8, 2007 | The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice) |
| 812-13238 | IC-27748 | Mar. 7, 2007 | Hercules Technology Growth Capital, Inc., et al. (Notice) |
| 813-284 | IC-27747 | Mar. 5, 2007 | SA Investment Partnership LLC, et al. (Notice) |
| 812-13344 | IC-27745 | Feb. 28, 2007 | BLDRS Index Funds Trust, et al. (Notice) |
| 812-13325 | IC-27744 | Feb. 28, 2007 | COUNTRY Investors Life Assurance Company, et al. (Order) |
| 812-13343 | IC-27743 | Feb. 27, 2007 | PowerShares Exchange-Traded Fund Trust, PowerShares Capital Management LLC, and AIM Distributors, Inc. (Order) |
| 812-13339 | IC-27742 | Feb. 27, 2007 | Van Eck Associates Corporation, Market Vectors ETF Trust, and Van Eck Securities Corporation (Order) |
| 812-13327 | IC-27741 | Feb. 27, 2007 | Liberty All-Star Equity Fund, et al. (Notice) |
| 812-13345 | IC-27740 | Feb. 27, 2007 | NASDAQ-100 Trust, Series 1, et al. (Notice) |
| 812-13321 | IC-27738 | Feb. 23, 2007 | Integrity Life Insurance Company, et al. (Order) |
| 812-13308 | IC-27702 | Feb. 22, 2007 | American Capital Strategies, Ltd. (Order) |
| 812-13337 | IC-27703 | Feb. 20, 2007 | Rydex ETF Trust, et al. (Notice) |
| 812-13272 | IC-27701 | Feb. 16, 2007 | Wilshire Variable Insurance Trust, et al. (Notice) |
| 812-13259 | IC-27700 | Feb. 16, 2007 | American International Group, Inc. et al. (Order) |
| 812-13201 | IC-27699 | Feb. 15, 2007 | Hercules Technology Growth Capital, Inc. (Order) |
| 812-13234 | IC-27698 | Feb. 13, 2007 | MFS Series Trust X, MFS Series Trust XII, MFS Series Trust I, MFS Series Trust III, MFS Series Trust IV, MFS Series Trust V, MFS Series Trust IX, MFS Series Trust XI, MFS Series Trust XIII, Massachusetts Financial Services Company, MFS Fund Distributors, Inc. (Order) |
| 812-13325 | IC-27695 | Feb. 2, 2007 | Country Investors Life Assurance Company, et al. (Notice) |
| 812-13339 | IC-27694 | Jan. 31, 2007 | Van Eck Associates Corporation, et al. (Notice) |
| 812-13343 | IC-27693 | Jan. 31, 2007 | PowerShares Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13279 | IC-27691 | Jan. 30, 2007 | Nexbank Securities, Inc. and Nexbank Series (Order) |
| 812-13319 | IC-27690 | Jan. 30, 2007 | New River Funds and New River Advisers LLC (Order) |
| 812-13282 | IC-27688 | Jan. 25, 2007 | Sun Life Assurance Company of Canada (U.S.), et al. (Order) |
| 812-13321 | IC-27677 | Jan. 24, 2007 | Integrity Life Insurance Company, et al. (Notice) |
| 812-13351 | IC-27676 | Jan. 24, 2007 | FBR Fund Advisers, Inc., FBR Investment Services, Inc., and FBR Investment Management, Inc. (Order) |
| 813-356 | IC-27675 | Jan. 23, 2007 | Opal Private Equity Fund, LP, and Schottenstein, Zox and Dunn Co., L.P.A. (Order) |
| 812-13212 | IC-27673 | Jan. 23, 2007 | Deutsche Bank Trust Company Americas (Order) |
| 812-13308 | IC-27669 | Jan. 19, 2007 | American Capital Strategies, Ltd. (Notice) |
| 812-13201 | IC-27668 | Jan. 19, 2007 | Hercules Technology Growth Capital, Inc. (Notice) |
| 812-13329 | IC-27666 | Jan. 18, 2007 | Proshares Trust, Proshare Advisors LLC, SEI Investments Distribution Company (Order) |
| 812-13265 | IC-27665 | Jan. 18, 2007 | Forum Funds and Absolute Investment Advisers (Order) |
| 812-13224 | IC-27664 | Jan. 18, 2007 | Ziegler Exchange Traded Trust, Ziegler Capital Management, LLC, B.C. Ziegler and Company (Order) |
| 812-13234 | IC-27662 | Jan. 17, 2007 | MFS Series Trust X, et al. (Notice) |
| 812-13208 | IC-27661 | Jan. 17, 2007 | Barclays Global Fund Advisors, iShares, Inc., iShares Trust, SEI Investments Distribution Co. (Order) |
| 812-13320 | IC-27660 | Jan. 16, 2007 | Jackson National Life Insurance Company, et al. (Order) |
| 812-13278 | IC-27659 | Jan. 16, 2007 | NexBank Securities, Inc., NexBank Series (Order) |
| 812-13029 | IC-27658 | Jan. 9, 2007 | Profunds, Access One Trust, Proshares Trust, Proshare Advisors LLC, Profund Advisors LLC (Order) |
| 812-13133 | IC-27657 | Jan. 9, 2007 | Members Mutual Funds, et al. LLC (Order) |
| 812-13257 | IC-27656 | Jan. 8, 2007 | The Mainstay Funds, Mainstay VP Series Fund, Inc., New York Life Investment Management LLC (Order) |
| 812-13279 | IC-27655 | Jan. 4, 2007 | NexBank Securities, Inc. and NexBank Series (Notice) |
| 812-13294 | IC-27654 | Jan. 3, 2007 | The Mexico Equity and Income Fund, Inc. (Order) |
| 812-13319 | IC-27653 | Jan. 3, 2007 | New River Funds and New River Advisers LLC (Notice) |
2006 | |||
| File No. | Release No. | Date | Investment Company |
| 812-13282 | IC-27651 | Dec. 29, 2006 | Sun Life Assurance Company of Canada (U.S.), et al. (Notice) |
| 812-13212 | IC-27644 | Dec. 28, 2006 | Deutsche Bank Trust Company Americas (Notice) |
| 813-356 | IC-27612 | Dec. 27, 2006 | Opal Private Equity Fund, L.P. et al. (Notice) |
| 812-13224 | IC-27610 | Dec. 22, 2006 | Ziegler Exchange Traded Trust, et al. (Notice) |
| 812-13329 | IC-27609 | Dec. 22, 2006 | ProShares Trust, et al. (Notice) |
| 812-13208 | IC-27608 | Dec. 21, 2006 | Barclays Global Fund Advisors, et al. (Notice) |
| 812-13265 | IC-27605 | Dec. 20, 2006 | Forum Funds, et al. (Notice) |
| 812-13320 | IC-27603 | Dec. 19, 2006 | Jackson National Life Insurance Company, et al. (Notice) |
| 812-13278 | IC-27602 | Dec. 18, 2006 | NexBank Securities, Inc. and NexBank Series (Notice) |
| 812-13029 | IC-27599 | Dec. 14, 2006 | ProFunds, et al. (Notice) |
| 812-13133 | IC-27598 | Dec. 13, 2006 | Members Mutual Funds, et al. (Notice) |
| 812-13257 | IC-27595 | Dec. 11, 2006 | The MainStay Funds, et al. (Notice) |
| 812-13294 | IC-27592 | Dec. 7, 2006 | The Mexico Equity and Income Fund, Inc. (Notice) |
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