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Investment Company Act Notices and Orders
Category Listing

This page lists notices and orders issued on or after January 1, 2007, relating to applications filed under the Investment Company Act. See Public Records and Information for instructions on obtaining paper copies of applications not filed electronically on EDGAR.

If you would like to use any of the applications listed below as a basis for an application for new exemptive relief, the most recently filed application under the relevant category or subcategory will, in most cases, be the most appropriate application to use. If you are unsure as to which application should serve as the basis for your application for exemptive relief, feel free to contact the staff at (202) 551-6821.

See also:


Categories

 

12(d)(3) - Other

Investment Company File No. Notice Order
American Capital, Ltd., et al. 812-14222 31148 (07/03/2014) 31191 (07/29/2014)
Ares Capital Corporation, et al. 812-13847 29977 (03/09/2012) 30024 (03/29/2012)
Kohlberg Capital Corporation 812-13882 29975 (03/05/2012) 30011 (03/27/2012)
American Capital, Ltd., et al. 812-13493 29973 (03/01/2012) 30010 (03/27/2012)
Cantilever Capital, LLC and Cantilever Group, LLC 812-13781 29896 (12/29/2011) 29925 (01/24/2012)
Millenium India Acquisition 812-13464 28083 (12/21/2007) 28121 (01/16/2008)

Affiliated Sales & Purchases - Adviser

Investment Company File No. Notice Order
The Gabelli Dividend & Income Trust, et al. 812-14211 30908 (02/06/2014) 30970 (02/28/2014)
BofA Funds Series Trust, et al. 812-14096 30590 (07/03/2013) 30638 (07/30/2013)
Royce Value Trust, Inc., et al. 812-13880 30448 (04/04/2013) 30500 (04/30/2013)
Cash Account Trust, et al. 812-13933 30188 (08/31/2012) 30215 (09/25/2012)
BofA Funds Series Trust, et al. 812-13916 29741 (08/01/2011) 29769 (08/24/2011)
HighMark Capital Management, Inc., et al. 812-13736 29660 (04/26/2011) 29675 (05/24/2011)
Morgan Stanley Investment Management Inc., et al. 812-13656 28941 (10/06/2009) 28986 (10/29/2009)
Bank of America Fund Trust, et al. (fka Nations Fund Trust) 812-12903 28526 (12/01/2008) 28573 (12/29/2008)
Morgan Stanley Investment Management, et al. 812-13213 28125 (01/18/2008) 28150 (02/13/2008)
Lehman Brothers Asset Management LLC 812-12973 27920 (08/01/2007) 27957 (08/28/2007)
The Gabelli Equity Trust Inc., et al. 812-13373 27808 (04/30/2007) 27823 (05/22/2007)

Affiliated Sales & Purchases - In-Kind

Investment Company File No. Notice Order
The Northwestern Mutual Life Insurance Company, et al. 812-14128 30671 (08/22/2013) 30690 (09/18/2013)
Mutual of America Life Insurance Company, et al. 812-14059 30292 (12/05/2012) 30335 (12/31/2012)
Pruco Life Insurance Company, et al. 812-13990 30186 (08/29/2012) 30209 (09/20/2012)
The Singapore Fund, Inc. 812-13944 29817 (09/22/2011) 29880 (12/08/2011)
The Chile Fund, Inc. 812-13749 29169 (03/08/2010) 29194 (03/30/2010)
The Mexico Equity and Income Fund, Inc. 812-13294 27592 (12/07/2006) 27654 (01/03/2007)

Affiliated Sales & Purchases - Other

Investment Company File No. Notice Order
William Blair & Company, L.L.C. and William Blair Funds 812-13871 30285 (11/29/2012) 30314 (12/21/2012)
Columbia ETF Trust, et al. 812-14037 30260 (11/13/2012) 30301 (12/11/2012)
Praxis Mutual Funds, et al. 812-13627 30042 (04/23/2012) 30066 (05/21/2012)

Business Development Companies - Capital Structure

Investment Company File No. Notice Order
Garrison Capital, Inc., et al. 812-14320 31240 (09/03/2014)
Monroe Capital Corporation, et al. 812-14242 31235 (08/28/2014)
Stellus Capital Investment Corporation, et al. 812-14249 31160 (07/17/2014) 31206 (08/12/2014)
Fidus Investment Corporation, et al. 812-14156 31067 (06/02/2014) 31137 (06/30/2014)
Capitala Finance Corp., et al. 812-14239 31050 (05/19/2014) 31074 (06/10/2014)
OFS Capital Corporation, et al. 812-14185 30771 (10/30/2013) 30812 (11/26/2013)
Medley Capital Corporation, et al. 812-14019 30234 (10/16/2012) 30262 (11/14/2012)
Saratoga Investment Corp., et al. 812-14022 30145 (07/23/2012) 30171 (08/20/2012)
Fidus Investment Corporation, et al. 812-13879 29974 (03/01/2012) 30012 (03/27/2012)
Rand Capital Corporation, et al. 812-13634 29941 (02/01/2012) 29972 (02/28/2012)
Horizon Technology Finance Corp. 812-13876 29777 (08/31/2011) 29821 (09/27/2011)
Golub Capital BDC, Inc. 812-13794 29756 (08/16/2011) 29786 (09/13/2011)
PennantPark Investment Corporation, et al. 812-13772 29665 (05/06/2011) 29686 (06/01/2011)
Fifth Street Finance Corp., et al. 812-13698 29500 (11/18/2010) 29526 (12/14/2010)
Triangle Capital Corporation, et al. 812-13771 29453 (09/30/2010) 29482 (10/22/2010)
MGC Capital Corporation, et al. 812-13428 28427 (09/30/2008) 28474 (10/28/2008)
Triangle Capital Corporation, et al. 812-13355 28383 (09/19/2008) 28437 (10/14/2008)
Main Street Capital Corp. 812-13411 28082 (12/21/2007) 28120 (01/16/2008)
Hercules Technology Growth Capital, Inc., et al. 812-13238 27748 (03/07/2007) 27776 (04/05/2007)

Business Development Companies - Compensation

Investment Company File No. Notice Order
Triangle Capital Corporation 812-14077 30410 (02/28/2013) 30432 (03/21/2013)
Medallion Financial Corp. 812-13666 30121 (06/21/2012) 30139 (07/17/2012)
Harris & Harris Group, Inc. 812-13313 29976 (03/07/2012) 30027 (04/03/2012)
American Capital, Ltd. 812-13853 29744 (08/29/2011) 29774 (08/30/2011)
Capital Southwest Corporation 812-13769 29450 (09/29/2010) 29491 (10/26/2010)
American Capital, Ltd. 812-13714 29416 (09/14/2010) 29460 (10/08/2010)
Kohlberg Capital Corp 812-13623 29376 (08/03/2010) 29407 (08/31/2010)
Hercules Technology Group 812-13716 29287 (05/26/2010) 29303 (06/22/2010)
Medallion Financial Corp. 812-13667 29201 (04/01/2010) 29258 (04/26/2010)
MCG Capital Corp. 812-13694 29191 (03/25/2010) 29210 (04/20/2010)
American Capital, Ltd. 812-13535 28895 (09/03/2009) 28935 (09/30/2009)
Main Street Capital Corporation, et al. 812-13649 28726 (05/19/2009) 28768 (06/16/2009)
Triangle Capital Corp. 812-13647 28692 (04/13/2009) 28718 (05/05/2009)
Kohlberg Capital Corporation 812-13368 28228 (03/28/2008) 28239 (03/23/2008)
Patriot Capital Funding, Inc. 812-13348 28176 (02/28/2008) 28200 (03/25/2008)
Kohlberg Capital Corporation 812-13367 28165 (02/20/2008) 28196 (03/18/2008)
Triangle Capital Corporation 812-13447 28165 (02/20/2008) 28169 (03/18/2008)
Main Street Capital Corp. 812-13411 28082 (12/21/2007) 28120 (01/16/2008)
American Capital Strategies 812-13398 28001 (09/27/2007) 28020 (10/24/2007)
Hercules Technology Growth Capital, Inc. 812-13388 27968 (08/28/2007) 28011 (10/10/2007)
Medallion Financial Corp. 812-13290 27917 (07/30/2007) 27955 (08/28/2007)
Hercules Technology Growth Capital, Inc. 812-13312 27815 (05/02/2007) 27838 (05/23/2007)
American Capital Strategies, Ltd. 812-13308 27669 (01/19/2007) 27702 (02/16/2007)
Hercules Technology Growth Capital, Inc. 812-13201 27668 (01/09/2007) 27699 (02/15/2007)

Co-Investment

Investment Company File No. Notice Order
Fifth Street Finance Corp., et al. 812-14132 31212 (08/14/2014) 31247 (09/09/2014)
Solar Capital Ltd., et al. 812-14195 31143 (07/01/2014) 31187 (07/28/2014)
WhiteHorse Finance, Inc., et al. 812-14120 31080 (06/12/2014) 31152 (07/08/2014)
PennantPark Investment Corp., et al. 812-14134 30985 (03/19/2014) 31015 (04/15/2014)
HMS Income Fund, Inc., et al. 812-14016 30984 (03/18/2014) 31016 (04/15/2014)
NF Investment Corp., et al. 812-14161 30900 (01/31/2014) 30968 (02/26/2014)
Prospect Capital Corporation, et al. 812-14199 30855 (01/13/2014) 30909 (02/10/2014)
Medley Capital Corporation, et al. 812-14020 30769 (10/28/2013) 30807 (11/25/2013)
Stellus Capital Investment Corporation, et al. 812-14061 30739 (09/30/2013) 30754 (10/23/2013)
FS Investment Corporation, et al. 812-13665 30511 (05/09/2013) 30548 (06/04/2013)
Corporate Capital Trust, Inc., et al. 812-13844 30494 (04/25/2013) 30526 (05/21/2013)
Van Eck Funds, et al. 812-13740 30252 (10/25/2012) 30279 (11/23/2012)
Gladstone Capital Corporation, et al. 812-13878 30125 (06/29/2012) 30154 (07/26/2012)
Medley Capital Corporation, et al. 812-13787 29968 (02/27/2012) 30009 (03/26/2012)
NGP Capital Resources Company, et al. 812-13695 29831 (10/07/2011) 29860 (11/10/2011)
Ridgewood Capital Energy Growth, LLC, et al. 812-13569 28931 (09/25/2009) 28982 (10/21/2009)
H&Q Healthcare Investors, et al. 812-13392 28426 (09/30/2008) 28472 (10/28/2008)
Main Street Capital Corporation, et al. 812-13438 28265 (05/08/2008) 28295 (06/03/2008)

Distributions

Investment Company File No. Notice Order
H&Q Healthcare Investors, et al. 812-14306 31197 (08/05/2014) 31224 (08/27/2014)
The New Ireland Fund, Inc. and Kleinwort Benson Investors International Ltd. 812-14290 31185 (07/23/2014) 31216 (08/19/2014)
Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC 812-14215 30883 (01/16/2014) 30913 (02/11/2014)
Guggenheim Equal Weight Enhanced Equity Income Fund and Guggenheim Funds Investment Advisers, LLC 812-14151-04 30780 (11/12/2013) 30822 (12/09/2013)
Royce Focus Trust, Inc., et al. 812-14034 30447 (04/04/2013) 30499 (04/30/2013)
The Adams Express Company and Petroleum & Resources Corporation 812-14064 30304 (12/13/2012) 30344 (01/08/2013)
Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC 812-13998 30195 (09/05/2012) 30226 (10/02/2012)
Invesco Total Property Market Income Fund, et al. 812-13927 30055 (04/26/2012) 30069 (05/22/2012)
Stone Harbor Investment Partners LP 812-13867 29791 (09/16/2011) 29834 (10/12/2011)
Tortoise Power & Energy Infrastructure Fund Inc. 812-13862 29755 (08/16/2011) 29785 (09/12/2011)
ING Asia Pacific High 812-13909 29735 (07/21/2011) 29754 (08/16/2011)
Tri-Continental Corporation, et al. 812-13465 29415 (09/10/2010) 29457 (10/05/2010)
Federated Enhanced Treasury Income Fund, et al. 812-13743 29341 (07/14/2010) 29379 (08/10/2010)
Lazard Global Total Return and Income Fund 812-13218 29331 (06/24/2010) 29344 (07/21/2010)
RMR Real Estate Fund 812-13058 29178 (03/23/2010) 29213 (04/20/2010)
The Chile Fund, Inc. 812-13676 29167 (03/02/2010) 29195 (03/30/2010)
First Trust/Aberdeen Global Opportunity Income Fund, et al. 812-13161 29163 (02/26/2010) 29189 (03/24/2010)
MFS Government Markets Income Trust, et al. 812-13482 28987 (10/29/2009) 29063 (11/24/2009)
Pioneer Diversified High Income Trust, et al. 812-13432 28947 (10/16/2009) 28995 (11/10/2009)
Neuberger Berman Management LLC, et al. 812-13086 28945 (10/14/2009) 28994 (11/10/2009)
Evergreen Income Advantage Fund, et al., 812-13030 28938 (09/30/2009) 28985 (10/27/2009)
Alpine Global Dynamic Dividend Fund, et al. 812-13630 28897 (09/04/2009) 28937 (09/30/2009)
Clough Global Allocation Fund, et al. 812-13105 28850 (08/24/2009) 28904 (09/21/2009)
Reaves Utility Income Fund, et al. 812-13200 28818 (07/14/2009) 28843 (08/11/2009)
The Blackrock Investment Quality Municipal Trust Inc. 812-13235 28690 (04/07/2009) 28719 (05/05/2009)
Eaton Vance Enhanced Equity Income Fund, et al. 812-13586 28616 (02/10/2009) 28643 (03/10/2009)
MacQuarie Global Infrastructure Total, et al. 812-13397 28579 (01/06/2009) 28611 (02/03/2009)
SunAmerica Focused Alpha Growth Fund, Inc., et al. 812-13239 28578 (01/06/2009) 28612 (02/03/2009)
Boulder Total Return Fund, Inc., et al. 812-13077 28442 (10/20/2008) 28486 (11/17/2008)
The Zweig Total Return Fund, Inc., et al. 812-13497 28441 (10/20/2008) 28485 (11/17/2008)
Calamos Convertible Opportunities and Income Fund, et al. 812-13063 28435 (10/07/2008) 28483 (11/04/2008)
John Hancock Income Securities Trust 812-13357 28372 (08/29/2008) 28389 (09/24/2008)
PIMCO Municipal Income Fund, et al. 812-13381 28370 (08/29/2008) 28412 (09/26/2008)
DNP Select Income Fund Inc., et al. 812-13377 28348 (07/31/2008) 28368 (08/26/2008)
Cohen & Steers Advantage Income Realty Fund, Inc 812-13152 28341 (07/24/2008) 28358 (08/19/2008)
The Mexico Fund, Inc., et al. 812-13454 28332 (07/17/2008) 28357 (08/12/2008)
ING Clarion Real Estate Income Fund 812-13074 28329 (07/08/2008) 28352 (08/05/2008)

Employees Securities Company

Investment Company File No. Notice Order
Kohlberg Kravis Roberts & Co. L.P., et al. 813-382 31070 (06/03/2014) 31141 (07/01/2014)
UBS AG, et al. 813-336 31019 (04/17/2014) 31042 (05/13/2014)
Citadel LLC, et al. 813-383 30589 (07/03/2013) 30637 (07/30/2013)
Invesco Advisers, Inc., et al. 813-180-09 30581 (06/26/2013) 30609 (07/23/2013)
JPMorgan Chase & Co., et al. 813-370 30465 (04/16/2013) 30520 (05/14/2013)
Stetson Capital Fund LP and Davis Polk & Wardwell LLP 813-310 30438 (03/27/2013) 30475 (04/23/2013)
WINCO Investment Partnership 2008 L.P. and Winstead PC 813-374 30374 (01/31/2013) 30407 (02/26/2013)
Alvarez & Marsal, Inc., et al. 813-379 30183 (08/28/2012) 30214 (09/25/2012)
P.E. Partners III, LLC, et al. 813-248 30143 (07/20/2012) 30170 (08/16/2012)
SK Private Investment Fund 1998 LLC, et al. 813-194 30060 (05/04/2012) 30091 (05/31/2012)
Jefferies Employees Special Opportunities Partners, LLC, et al. 813-228 30007 (03/23/2012) 30037 (04/18/2012)
Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC 813-377 29851 (10/27/2011) 29869 (11/22/2011)
Capital International, Inc., et al. 813-353 29577 (02/10/2011) 29596 (03/08/2011)
Riverside Casualty, Inc. 813-361 29576 (02/08/2011) 29597 (03/08/2011)
RIEF RMP LLC and Renaissance Technologies LLC 813-358 29446 (09/28/2010) 29489 (10/26/2010)
Elfun Trusts, et al. 813-373 29441 (09/27/2010) 29485 (10/25/2010)
Tudor Employee Investment Fund LLC and Tudor Investment Corporation 813-359 29409 (09/03/2010) 29449 (09/29/2010)
The Blackstone Group, L.P. 813-375 29378 (08/05/2010) 29406 (08/31/2010)
William Blair & Company, L.L.C. 813-274 28700 (04/22/2009) 28727 (05/20/2009)
TWB Investment Partnership L.P. 813-332 28528 (12/09/2008) 28576 (01/06/2009)
Wortham Finance L.P. 813-365 28484 (11/10/2008) 28529 (12/09/2008)
HLHZ Investments LLC 813-355 28428 (09/30/2008) 28473 (10/28/2008)
American International Group, Inc., et al. 813-369 28286 (05/23/2008) 28301 (06/18/2008)
Bessemer Group, Inc., et al. 813-362 28258 (04/29/2008) 28289 (05/28/2008)
Kiewit Investment Fund 813-367 28047 (11/05/2007) 28076 (12/11/2007)
Tower 21st Century Fund 813-350 28046 (11/08/2007) 28072 (12/04/2007)
Raymond James Employee 813-326 28012 (10/11/2007) 28043 (11/06/2007)
Stephens, Inc. 813-306 27843 (05/29/2007) 27875 (06/26/2007)
Silas Partners I, LLC, et al. 813-264 27770 (03/27/2007) 27782 (04/24/2007)
SA Investment Partnership LLC, et al. 813-284 27747 (03/05/2007) 27774 (04/02/2007)
Opal Private Equity Fund, LP and Schottenstein, Zox & Dunn Co., L.P.A. 813-356 27612 (12/27/2006) 27675 (01/23/2007)

Exchange Traded Funds - Active

Investment Company File No. Notice Order
Validea Capital Management, LLC, et al. 812-14322 31246 (09/09/2014)
Innovator Management LLC and Academy Funds Trust 812-14308 31209 (08/13/2014) 31248 (09/09/2014)
Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust 812-14323 31156 (07/15/2014) 31205 (08/12/2014)
Elkhorn Investments, LLC and Elkhorn ETF Trust 812-14262 31089 (06/19/2014) 31158 (07/15/2014)
Global X Funds, Global X Management Company LLC, and Sei Investments Distribution Company 812-14241 31084 (06/17/2014) 31153 (07/14/2014)
Prudential Investments LLC, et al. 812-14267 31063 (05/29/2014) 31095 (06/24/2014)
ARK ETF Trust, et al. 812-14172 31009 (04/07/2014) 31034 (04/29/2014)
Direxion Shares ETF Trust, et al 812-14269 31002 (04/03/2014) 31032 (04/29/2014)
Empowered Funds, LLC and Empowered Funds ETF Trust 812-14245 30988 (03/21/2014) 31018 (04/16/2014)
Cohen & Steers Capital Management, Inc., et al. 812-14229 30924 (02/24/2014) 30987 (03/21/2014)
Acacia Asset Management LLC and Acacia Trust 812-14237 30915 (02/11/2014) 30978 (03/11/2014)
USAA Asset Management Company, et al. 812-14140 30891 (01/23/2014) 30921 (02/19/2014)
DBX ETF Trust, et al. 812-14004 30770 (10/29/2013) 30811 (11/26/2013)
VTL Associates, LLC, et al. 812-14200 30763 (10/24/2013) 30789 (11/19/2013)
Syntax Analytics, LLC and Syntax ETF Trust 812-14175 30747 (10/18/2013) 30782 (11/13/2013)
Principal Management Corporation, et al. 812-14136 30692 (09/20/2013) 30742 (10/16/2013)
Horizons ETFs Management (USA) LLC and Horizons ETF Trust 812-14178 30680 (08/27/2013) 30695 (09/24/2013)
Ranger Alternative Management, L.P. and Ranger Funds Investment Trust 812-14071 30639 (08/01/2013) 30677 (08/27/2013)
GENCAP Strategies LLC, et al. 812-14048 30635 (07/30/2013) 30676 (08/27/2013)
Calamos Advisors LLC, et al. 812-14169 30628 (07/24/2013) 30653 (08/20/2013)
NGAM Advisors, L.P., et al. 812-13941 30594 (07/09/2013) 30643 (08/06/2013)
FlexShares Trust, et al. 812-14150 30593 (07/09/2013) 30645 (08/06/2013)
Charles Schwab Investment Management, Inc., et al. 812-14009 30584 (06/27/2013) 30606 (07/23/2013)
ETF Issuer Solutions Inc., et al. 812-14080 30568 (06/26/2013) 30607 (07/23/2013)
ProShares Advisors LLC, et al. 812-14041 30527 (05/21/2013) 30562 (06/18/2013)
ALPS ETF Trust, et al. 812-13884 30519 (05/14/2013) 30553 (06/11/2013)
ERNY Financial ETF Trust and ERNY Financial Advisors, LLC 812-14146 30514 (05/13/2013) 30552 (06/10/2013)
Forum Investment Advisors, LLC, et al. 812-13915 30507 (05/06/2013) 30549 (06/04/2013)
Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc. 812-13886 30503 (05/02/2013) 30543 (05/29/2013)
John Hancock Exchange-Traded Fund Trust, et al. 812-13734 30469 (04/18/2013) 30518 (05/14/2013)
Fidelity Merrimack Street Trust, et al. 812-14104 30464 (04/16/2013) 30513 (05/10/2013)
Neuberger Berman ETF Trust and Neuberger Berman Management LLC 812-13848 30436 (03/25/2013) 30473 (04/22/2013)
Exchange Traded Concepts Trust, et al. 812-13969 30415 (03/07/2013) 30445 (04/02/2013)
Emerging Global Advisors, LLC, et al. 812-14117 30382 (02/13/2013) 30423 (03/12/2013)
Exchange Traded Spreads Trust, et al. 812-13486 30346 (01/09/2013) 30378 (02/05/2013)
Pyxis Capital, L.P., et al. 812-13489-01 30316 (12/21/2012) 30352 (01/16/2013)
Franklin Advisers, Inc., et al. 812-14042 30312 (12/19/2012) 30350 (01/15/2013)
AllianceBernstein Active ETFs, Inc., et al. 812-13797 30305 (12/13/2012) 30343 (01/08/2013)
Cambria Investment Management, L.P. and Cambria ETF Trust 812-13959 30302 (12/12/2012)
See also IC-30286
30340 (01/04/2013)
T. Rowe Price Associates, Inc., et al. 812-13726 30299 (12/07/2012) 30336 (01/02/2013)
Cambria Investment Management, L.P. and Cambria ETF Trust 812-13959 30286 (11/30/2012)
See also IC-30302
30340 (01/04/2013)
Salient Advisors, L.P. and MarketShares ETF Trust 812-13974 30254 (10/31/2012) 30281 (11/27/2012)
Legg Mason ETF Trust, et al. 812-13757 30237 (10/22/2012) 30265 (11/16/2012) 
IndexIQ Advisors LLC, et al. 812-13956 30166 (08/13/2012) 30198 (09/10/2012) 
Arrow Investment Advisers, LLC, et al. 812-13937 30100 (06/07/2012) 30127 (07/03/2012) 
Federated Investment Management Company and Federated ETF Trust 812-13946 30093 (06/01/2012) 30123 (06/26/2012)
Northern Trust Investments, Inc., et al. 812-13868 30045 (04/24/2012) 30068 (05/22/2012)
Huntington Asset Advisors, Inc., et al. 812-13785 30032 (04/10/2012) 30061 (05/08/2012)
First Trust Exchange-Traded Fund, et al. 812-13795 29983 (03/15/2012) 30029 (04/10/2012)
RiverPark Advisors, LLC, et al. 812-13755 29840 (10/19/2011) 29863 (11/17/2011)
Russell Exchange Traded Funds Trust, et al. 812-13815 29706 (06/22/2011) 29727 (07/19/2011)
Eaton Vance Management, et al. 812-13759 29591 (03/01/2011) 29620 (03/30/2011)
iShares Trust, et al. 812-13601 29543 (12/27/2010) 29571 (01/24/2011)
SSgA Funds Management, Inc., et al. 812-13487 29499 (11/17/2010) 29524 (12/13/2010)
Van Eck Associates Corporation, et al. 812-13605 29459 (10/07/2010) 29496 (11/03/2010)
AdvisorShares Investment 812-13677 29264 (05/06/2010) 29291 (05/28/2010)
Claymore Exchange-Traded Fund Trust 3 812-13534 29256 (04/23/2010) 29271 (05/18/2010)
U.S. One, Inc. 812-13658 29128 (02/02/2010) 29164 (03/01/2010)
Pacific Investment Management Company LLC and PIMCO ETF Trust 812-13571 28948 (10/20/2009) 28993 (11/10/2009)
Grail Partners LLC, et al. 812-13440 28571 (12/23/2008) 28604 (01/16/2009)
AdvisorShares Investments, LLC and AdvisorShares Trust 812-13488 28568 (12/23/2008) 28822 (07/20/2009)
First Trust Exchange-Traded Fund III, et al. 812-13477 28421 (09/29/2008) 28468 (10/27/2008)
WisdomTree Investments, Inc., et al. 812-13458 28419 (09/28/2008) 28471 (10/27/2008)
PowerShares Capital Management LLC 812-13491 28411 (09/29/2008) 28467 (10/27/2008)
WisdomTree Trust, et al. 812-13470 28147 (02/06/2008) 28174 (02/27/2008)
Barclays Global Fund Advisors, et al. 812-13485 28146 (02/06/2008) 28173 (02/27/2008)
Bear Stearns Asset Management, Inc., et al. 812-13352 28143 (02/06/2008) 28172 (02/27/2008)
PowerShares Capital Management LLC, et al. 812-13386 28140 (02/01/2008) 28171 (02/27/2008)

Exchange Traded Funds - Index

Investment Company File No. Notice Order
TrimTabs Asset Management, LLC, et al. 812-14298 31165 (07/22/2014) 31214 (08/19/2014)
USCF Equity Trust, et al. 812-14277 31133 (06/25/2014) 31163 (07/22/2014)
Cohen & Steers ETF Trust, et al., 812-14230 31090 (06/20/2014) 31157 (07/15/2014)
Elkhorn Investments, LLC and Elkhorn ETF Trust 812-14263 31085 (06/17/2014) 31155 (07/15/2014)
Marketshares ETF Trust, et al. 812-14209 31069 (06/02/2014) 31135 (06/26/2014)
ALPS ETF Trust, ALPS Advisors, Inc., ALPS Distributors, Inc., and ALPS Portfolio Solutions Distributor, Inc. 812-14225 31011 (04/08/2014) 31039 (05/06/2014)
Emerging Global Advisors, LLC, et al. 812-14205 30910 (02/10/2014) 30975 (03/07/2014)
J.P. Morgan Exchange-Traded Fund Trust, et al. 812-13760 30898 (01/30/2014) 30927 (02/24/2014)
IndexIQ ETF Trust, et al. 812-14053 30843 (12/23/2013) 30888 (01/22/2014)
Compass Efficient Model Portfolios, LLC 812-14154 30817 (12/04/2013) 30852 (12/31/2013)
VTL Associates, LLC, et al. 812-14201 30815 (12/02/2013) 30849 (12/30/2013)
Arrow Investment Advisors, LLC and Arrow Investments Trust 812-14157 30813 (11/26/2013) 30846 (12/24/2013)
Horizons ETFs Management (USA) LLC and Horizons ETF Trust 812-14179 30803 (11/21/2013) 30833 (12/17/2013)
WisdomTree Trust, et al. 812-14238 30790 (11/20/2013) 30826 (12/11/2013)
ETFis Series Trust I, et al. 812-14212 30786 (11/15/2013) 30825 (12/11/2013)
Ranger Alternative Management, L.P. and Ranger Funds Investment Trust 812-14131 30778 (11/12/2013) 30824 (12/11/2013)
Cambria ETF Trust, et al. 812-14202 30768 (10/28/2013) 30806 (11/25/2013)
Guinness Atkinson Asset Management, Inc., et al. 812-14137 30735 (09/26/2013) 30751 (10/22/2013)
U.S. Global Investors, Inc., et al. 812-14188 30723 (09/25/2013) 30755 (10/23/2013)
ERNY Financial ETF Trust, et al. 812-14145 30636 (07/30/2013) 30678 (08/27/2013)
Exchange Traded Concepts, LLC, et al. 812-13963 30634 (07/29/2013) 30674 (08/26/2013)
NGAM Advisors, L.P., et al. 812-13942 30630 (07/25/2013) 30654 (08/20/2013)
ProShare Advisors LLC, et al. 812-14087 30583 (06/27/2013) 30605 (07/23/2013)
First Trust Exchange-Traded Fund, et al. 812-14088 30582 (06/26/2013) 30610 (07/23/2013)
Guggenheim Funds Investment Advisors, LLC, et al. 812-13991 30560 (06/14/2013) 30598 (07/10/2013)
Sigma Investment Advisors, LLC, et al. 812-14046 30559 (06/14/2013) 30597 (07/10/2013)
Transparent Value Trust, et al. 812-14121 30558 (06/14/2013) 30596 (07/10/2013)
LocalShares Investment Trust, et al. 812-14085 30523 (05/15/2013) 30555 (06/11/2013)
Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC 812-13887 30459 (04/10/2013) 30506 (05/06/2013)
Sage Quant Management LLC, et al. 812-14035 30439 (03/28/2013) 30476 (04/23/2013)
Krane Funds Advisors LLC., et al. 812-13989 30425 (03/14/2013) 30452 (04/08/2013)
Renaissance Capital Greenwich Funds, et al. 812-13976 30422 (03/11/2013) 30451 (04/08/2013)
Market Vectors ETF Trust, et al. 812-14125 30409 (02/27/2013) 30433 (03/21/2013)
Fidelity Commonwealth Trust, et al. 812-13984 30341 (01/07/2013) 30375 (02/01/2013)
Yorkville ETF Trust and Yorkville ETF Advisors, LLC 812-13874 30306 (12/17/2012) 30349 (01/14/2013)
Foreside Advisor Services, LLC, et al. 812-14023 30284 (11/29/2012) 30318 (12/27/2012)
Northern Trust Investments, Inc., et al. 812-13968 30211 (09/24/2012) 30240 (10/23/2012)
Factor Advisors, LLC, et al. 812-13934 30204 (09/17/2012) 30230 (10/10/2012)
Emerging Global Advisors, LLC, et al. 812-13954 30184 (08/28/2012) 30212 (09/25/2012)
Precidian ETFs Trust, et al. 812-13981 30101 (06/08/2012) 30129 (07/05/2012)
Highland Capital Management, L.P., et al. 812-13478 29890 (12/19/2011) 29918 (01/17/2012)
Global X Funds, et al. 812-13830 29829 (09/30/2011) 29852 (10/28/2011)
NT ETF Trust 812-13773 29752 (08/10/2011) 29782 (09/06/2011)
FQF Trust 812-13741 29720 (07/11/2011) 29747 (08/05/2011)
Precidian ETFs Trust, et al. 812-13818 29692 (06/09/2011) 29712 (07/01/2011)
Russell Investment Management Company, et al. 812-13669 29655 (04/20/2011) 29671 (05/16/2011)
ETSpreads, LLC, et al. 812-13774 29501 (11/18/2010) 29525 (12/14/2010)
Claymore Exchange-Traded Fund Trust, et al. 812-13657 29458 (10/07/2010) 29494 (11/02/2010)
Van Eck Associates Corporation, et al. 812-13624 29455 (10/01/2010) 29490 (10/26/2010)
Pax World Funds Trust II 812-13702 29257 (04/26/2010) 29268 (05/17/2010)
ShariahShares Exchange-Traded Fund Trust, et al. 812-13559 29127 (01/29/2010) 29130 (02/22/2010)
FaithShares Trust, et al. 812-13638 28991 (11/05/2009) 29065 (12/01/2009)
Charles Schwab Investment Management, Inc., et al. 812-13628 28933 (09/28/2009) 28983 (10/23/2009)
Arrow Investment Advisers, LLC, and Arrow Funds Trust 812-13405 28852 (08/25/2009) 28910 (09/22/2009)
OOK, Inc., et al. 812-13504 28851 (08/25/2009) 28902 (09/17/2009)
Old Mutual Global Shares Trust, et al. 812-13614 28847 (08/13/2009) 28898 (09/09/2009)
Pax World Funds Trust II, et al. 812-13503 28834 (07/22/2009) 28846 (08/13/2009)
X Exchange-Traded Funds, Inc., et al. 812-13449 28766 (06/11/2009) 28814 (07/07/2009)
WisdomTree Investments, Inc., et al. 812-13650 28755 (06/01/2009) 28805 (06/29/2009)
Pacific Investment Management Company LLC 812-13555 28723 (05/11/2009) 28752 (06/01/2009)
INDEXIQ ETF Trust 812-13441 28638 (02/27/2009) 28653 (03/20/2009)
Global X Funds, et al. 812-13517 28378 (09/10/2008) 28443 (10/03/2008)
Javelin Exchange-Traded Trust 812-13425 28350 (07/31/2008) 28367 (08/26/2008)
Van Eck Associates Corporation, et al. 812-13507 28349 (07/31/2008) 28365 (08/25/2008)
ALPS Advisers, Inc., et al., 812-13430 28235 (04/09/2008) 28262 (05/02/2008)
NETS Trust, et al. 812-13444 28166 (02/25/2008) 28195 (03/17/2008)
The TIGERS Revenue Trust and VTL Associates LLC 812-13363 28123 (01/18/2008) 28151 (02/13/2008)
FocusShares f/n/a MyShares 812-13376 28040 (10/31/2007) 28066 (11/27/2007)
Van Eck Associates Corp. 812-13426 28007 (09/28/2007) 28021 (10/24/2007)
Claymore Exchange-Traded Fund 812-13396 27982 (09/26/2007) 28019 (10/23/2007)
Wisdom Tree Investments, Inc., et al. 812-13417 27976 (09/21/2007) 28015 (10/17/2007)
SPA ETF Trust, et al. 812-13372 27963 (08/31/2007) 27983 (09/26/2007)
Rydex ETF Trust, et al. 812-13387 27958 (08/28/2007) 27981 (09/25/2007)
HealthShares, Inc. 812-13558 27916 (07/27/2007) 27930 (08/20/2007)
HealthShares, Inc., et al. 812-13358 27916 (07/27/2007) 27930 (08/20/2007)
Ameristock ETF Trust 812-13332 27847 (05/30/2007) 27874 (06/26/2007)
PowerShares Exchange-Traded Fund Trust 812-13335 27811 (04/30/2007) 27841 (05/25/2007)
Ssga Funds Management, Inc. 812-13356 27809 (04/30/2007) 27839 (05/25/2007)
First Trust Exchange-Traded Fund, et al. 812-13262 27772 (03/30/2007) 27784 (04/25/2007)
Vanguard Bond Index Funds, et al. 812-13336 27750 (03/09/2007) 27773 (04/02/2007)
BLDRS Index Funds Trust, et al. 812-13344 27745 (02/28/2007) 27768 (03/21/2007)
NASDAQ-100 Trust, Series 1, et al. 812-13345 27740 (02/27/2007) 27753 (03/20/2007)
Van Eck Associates Corporation, et al. 812-13339 27694 (01/31/2007) 27742 (02/27/2007)
PowerShares Exchange-Traded Fund Trust, et al. 812-13343 27693 (01/31/2007) 27743 (02/27/2007)
Ziegler Exchange Traded Trust, et al. 812-13224 27610 (12/22/2006) 27664 (01/18/2007)
Barclays Global Fund Advisors, et al. 812-13208 27608 (12/21/2006) 27661 (01/17/2007)

Exchange Traded Funds - Leveraged

Investment Company File No. Notice Order
Rafferty Asset Management, LLC, et al. 812-13610 28889 (08/27/2009) 28905 (09/22/2009)
ProShares Trust, et al. 812-13400 28696 (04/14/2009) 28724 (05/12/2009)
Rafferty Asset Management, LLC, et al. 812-13483 28379 (09/12/2008) 28434 (10/06/2008)
Rydex ETF Trust, et al. 812-13390 28000 (09/27/2007) 28018 (10/23/2007)
ProShares Trust, et al. 812-13382 27975 (09/21/2007) 28014 (10/17/2007)
Rydex ETF Trust, et al. 812-13337 27703 (02/20/2007) 27754 (03/20/2007)
ProShares Trust, et al. 812-13329 27609 (12/22/2006) 27666 (01/18/2007)

Finance Subsidiaries

Investment Company File No. Notice Order
Metlife, Inc., et al. 812-13549 29101 (12/30/2009) 29124 (01/26/2010)

Fund of Funds - Direct Investment

Investment Company File No. Notice Order
SSgA Mastertrust and SSgA Funds Management, Inc. 812-14291 31249 (09/11/2014)
BNY Mellon Funds Trust, et al. 812-14240 31245 (09/09/2014)
Northern Lights Fund Trust, et al. 812-14297 31087 (06/18/2014) 31154 (07/15/2014)
Goldman Sachs Trust, et al. 812-14075 30471 (04/19/2013) 30522 (05/15/2013)
Ivy Funds Variable Insurance Portfolios, et al. 812-14114 30427 (03/15/2013) 30458 (04/10/2013)
Allianz Variable Insurance Products Fund of Funds Trust, et al. 812-14084 30371 (01/29/2013) 30406 (02/26/2013)
Securian Funds Trust, et al. 812-14091 30354 (01/22/2013) 30387 (02/19/2013)
Credit Suisse Opportunity Funds, et al. 812-14015 30342 (01/07/2013) 30376 (02/04/2013)
PNC Capital Advisors, LLC, et al. 812-14055 30298 (12/06/2012) 30333 (12/28/2012)
Lord, Abbett & Co. LLC, et al. 812-14047 30297 (12/06/2012) 30334 (12/28/2012)
The Hartford Mutual Funds, Inc., et al. 812-14024 30164 (08/08/2012) 30194 (09/05/2012)
Forward Funds, et al. 812-13996 29982 (03/15/2012) 30031 (04/10/2012)
Capital Research and Management Company, et al. 812-14007 29981 (03/01/2012) 30033 (03/23/2012)
Columbia Funds Master Investment Trust, LLC, et al. 812-13955 29980 (03/13/2012) 30030 (04/10/2012)
DoubleLine Capital LP and DoubleLine Funds Trust 812-13983 29943 (02/02/2012) 29971 (02/28/2012)
Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC 812-13982 29939 (01/30/2012) 29967 (02/27/2012)
American Century Strategic Asset Allocations, Inc., et al. 812-13930 29883 (12/13/2011) 29916 (01/10/2012)
Seasons Series Trust, et al. 812-13952 29879 (12/08/2011) 29914 (01/04/2012)
AllianceBernstein Cap Fund, Inc., et al. 812-13939 29876 (11/29/2011) 29892 (12/21/2011)
SEI Investments Management Corporation, et al. 812-13929 29866 (11/18/2011) 29884 (12/14/2011)
DFA Investment Dimensions Group, Inc., et al. 812-13943 29820 (09/22/2011) 29838 (10/18/2011)
Highland Capital Management, L.P. 812-13890 29790 (09/15/2011) 29832 (10/12/2011)
Legg Mason Partners Equity Trust, et al. 812-13892 29789 (09/15/2011) 29835 (10/12/2011)
Stone Harbor Investment 812-13931 29784 (09/07/2011) 29830 (10/04/2011)
HighMark Funds, et al. 812-13843 29694 (06/16/2011) 29721 (07/12/2011)
Russell Investment Company, et al. 812-13870 29623 (04/06/2011) 29664 (05/03/2011)
Nuveen Asset Management, et al. 812-13839 29522 (12/08/2010) 29546 (12/30/2010)
Northern Lights Fund Trust, et al. 812-13786 29452 (09/30/2010) 29487 (10/26/2010)
FFCM, LLC and FQF Trust 812-13748 29292 (06/02/2010) 29335 (06/29/2010)
Kinetics Mutual Funds, Inc., et al. 812-13745 29270 (05/17/2010) 29297 (06/14/2010)
Calvert Social Investment 812-13718 29209 (04/19/2010) 29268 (05/17/2010)
Pioneer Bond Fund 812-13727 29198 (03/31/2010) 29259 (04/27/2010)
Rydex Series Funds 812-13685 29179 (03/23/2010) 29212 (04/20/2010)
Columbia Funds Series Trust, et al. 812-13631 28896 (09/04/2009) 28936 (09/20/2009)
WisdomTree Asset Management, Inc. and WisdomTree Trust 812-13642 28804 (06/29/2009) 28836 (07/24/2009)
PowerShares Exchange-Traded Fund Trust, et al. 812-13604 28760 (06/08/2009) 28813 (07/07/2009)
First American Strategy Funds, Inc. 812-13602 28683 (03/31/2009) 28715 (04/28/2009)
ING Investments, LLC 812-13538 28650 (03/17/2009) 28693 (04/14/2009)
Wells Fargo Funds Trust, et al. 812-13548 28482 (10/31/2008) 28524 (11/26/2008)
Aberdeen Asset Management 812-13531 28407 (09/25/2008) 28443 (10/21/2008)
Delaware Management Business Trust, et al. 812-13521 28405 (09/24/2008) 28445 (10/20/2008)
Morgan Stanley Series Funds, et al. 812-13529 28388 (09/23/2008) 28444 (10/21/2008)
Fidelity Aberdeen Street Trust, et al. 812-13505 28376 (09/05/2008) 28425 (09/30/2008)
Advanced Series Trust, et al. 812-13537 28355 (08/08/2008) 28374 (09/03/2008)
PIMCO Funds, et al. 812-13513 28331 (07/17/2008) 28356 (08/12/2008)
Thrivent Mutual Funds, et al., 812-13508 28252 (04/28/2008) 28267 (05/20/2008)
Franklin California Tax-Free Income Fund, et al. 812-13500 28229 (03/31/2008) 28257 (04/24/2008)
J.P. Morgan Trust I, et al. 812-13418 28183 (03/04/2008) 28230 (04/01/2008)
Eaton Vance Mutual Fund, et al. 812-13481 28170 (02/26/2008) 28202 (03/25/2008)
Schroder Series Trust, et al. 812-13457 28133 (01/24/2008) 28167 (02/25/2008)
Schroder Series Trust, et al. 812-13467 28133 (01/24/2008) 28167 (02/25/2008)
Vanguard STAR Funds 812-13412 28009 (09/28/2007) 28024 (10/24/2007)
DWS Advisor Funds, et al. 812-13383 27919 (07/31/2007) 27954 (08/27/2007)

Fund of Funds - Multi-Group

Investment Company File No. Notice Order
FundVantage Trust, et al. 812-14253 31161 (07/17/2014) 31207 (08/12/2014)
Absolute Shares Trust, et al. 812-14274 31079 (06/12/2014) 31150 (07/08/2014)
BMO Funds, Inc., et al. 812-14273 31064 (05/30/2014) 31132 (06/25/2014)
Elkhorn Securities, LLC and Elkhorn Unit Trust 812-14261 31022 (04/17/2014) 31043 (05/13/2014)
FundVantage Trust, et al 812-14197 31003 (04/03/2014) 31033 (04/29/2014)
RiverNorth Funds, et al. 812-14160 30919 (02/18/2014) 30983 (03/18/2014)
The Ohio National Life Insurance Company, et al. 812-14182 30895 (01/28/2014) 30925 (02/24/2014)
American Pension Investors Trust, et al. 812-14181 30885 (01/16/2014) 30914 (02/11/2014)
ALPS Series Trust, Brinker Capital, Inc. and ALPS Distributors, Inc. 812-14218 30858 (01/15/2014) 30917 (02/11/2014)
IndexIQ ETF Trust, et al. 812-14153 30844 (12/23/2013) 30889 (01/22/2014)
Forethought Variable Insurance Trust, et al. 812-14198 30840 (12/19/2013) 30857 (01/14/2014)
Altegris Advisors, L.L.C., et al. 812-14130 30779 (11/12/2013) 30823 (12/09/2013)
KP Funds, et al. 812-14142 30545 (06/03/2013) 30586 (07/01/2013)
Financial Investors Trust and Hanson McClain Strategic Advisors, Inc. 812-14098 30521 (05/15/2013) 30554 (06/11/2013)
Global X Funds, et al. 812-14079 30426 (03/14/2013) 30454 (04/09/2013)
AIP Series Trust and Morgan Stanley AIP GP LP 812-14092 30420 (03/11/2013) 30450 (04/08/2013)
The Advisorsí Inner Circle Fund, et al. 812-14065 30412 (03/04/2013) 30443 (04/01/2013)
Forward Funds, et al. 812-14043 30411 (02/28/2013) 30437 (03/26/2013)
Symetra Life Insurance Company, et al. 812-14082 30353 (01/22/2013) 30386 (02/19/2013)
First Trust Exchange-Traded Fund, et al. (Notice) 812-13895 30345 (01/08/2013) 30377 (02/05/2013)
PNC Capital Advisors, LLC, et al. 812-14056 30239 (10/23/2012) 30271 (11/20/2012)
Neuberger Berman Alternative Funds, et al. 812-14050 30236 (10/22/2012) 30267 (11/19/2012)
PowerShares Exchange-Traded Fund Trust, et al. 812-13820 30222 (09/26/2012) 30238 (10/23/2012)
Financial Investors Trust, et al. 812-13985 30205 (09/18/2012) 30233 (10/16/2012)
Wells Fargo Funds Trust, et al. 812-13967 30201 (09/12/2012) 30231 (10/10/2012)
Prudential Investment Portfolios 3, et al. 812-13993 30200 (09/11/2012) 30229 (10/09/2012)
Credit Suisse Asset Management, LLC, et al. 812-13966 30144 (07/20/2012) 30169 (08/15/2012)
The Dreyfus Corporation, et al. 812-13906 30137 (07/12/2012) 30163 (08/07/2012)
AQR Capital Management, LLC, et al. 812-13833 30128 (07/03/2012) 30153 (07/26/2012)
Federated Investment Management Company and Federated ETF Trust 812-13946 30093 (06/01/2012) 30123 (06/26/2012)
Hennion & Walsh, Inc. and Smart Trust 812-14001 30092 (06/04/2012) 30122 (06/26/2012)
Van Eck VIP Trust, et al. 812-13846 30063 (05/10/2012) 30096 (06/05/2012)
GPS Funds I, et al. 812-13986 30044 (04/24/2012) 30067 (05/22/2012)
Huntington Asset Advisors, Inc., et al. 812-13785 30032 (04/10/2012) 30061 (05/08/2012)
Pacific Life Insurance Company, et al. 812-13962 29944 (02/13/2012) 29979 (03/12/2012)
Henderson Global Funds, et al. 812-13950 29942 (02/01/2012) 29970 (02/28/2012)
Highland Capital Management, L.P., et al. 812-13478 29890 (12/19/2011) 29918 (01/17/2012)
RiverPark Advisors, LLC, et al. 812-13755 29840 (10/19/2011) 29863 (11/17/2011)
Global X Funds, et al. 812-13830 29829 (09/30/2011) 29852 (10/28/2011)
Incapital LLC, et al. 812-13922 29828 (09/30/2011) 29850 (10/26/2011)
Destracom Investments LLC 812-13575 29825 (09/29/2011) 29842 (10/25/2011)
Fifth Third Funds and Fifth 812-13893 29819 (09/22/2011) 29839 (10/18/2011)
NT ETF Trust 812-13773 29752 (08/10/2011) 29782 (09/06/2011)
FQF Trust 812-13741 29720 (07/11/2011) 29747 (08/05/2011)
Russell Exchange Traded Funds Trust, et al. 812-13815 29706 (06/22/2011) 29727 (07/19/2011)
Precidian ETFs Trust, et al. 812-13818 29692 (06/09/2011) 29712 (07/01/2011)
Russell Investment Management Company, et al. 812-13669 29655 (04/20/2011) 29671 (05/16/2011)
Eaton Vance Management, et al. 812-13759 29591 (03/01/2011) 29620 (03/30/2011)
ETSpreads, LLC, et al. 812-13774 29501 (11/18/2010) 29525 (12/14/2010)
SSgA Funds Management, Inc., et al. 812-13487 29499 (11/17/2010) 29524 (12/13/2010)
Van Eck Associates Corporation, et al. 812-13605 29459 (10/07/2010) 29496 (11/03/2010)
Claymore Exchange-Traded Fund Trust, et al. 812-13657 29458 (10/07/2010) 29494 (11/02/2010)
Jackson National Life Insurance Company, et al. 812-13765 29442 (09/27/2010) 29484 (10/25/2010)
Transamerica Asset Management, Inc., et al. 812-13661 29410 (09/03/2010) 29447 (09/28/2010)
Aston Funds, et al. 812-13775 29400 (08/26/2010) 29443 (09/27/2010)
Millington Securities, Inc., et al. 812-13709 29375 (07/30/2010) 29386 (08/25/2010)
Virtus Opportunities Trust 812-13751 29370 (07/27/2010) 29383 (08/23/2010)
DWS Advisor Funds, et al. 812-13539 29295 (06/09/2010) 29339 (07/07/2010)
EQ Advisors Trust, et al. 812-13706 29294 (06/04/2010) 29336 (06/20/2010)
AdvisorShares Investment 812-13677 29264 (05/06/2010) 29291 (05/28/2010)
Claymore Exchange-Traded Fund Trust 3 812-13534 29256 (04/23/2010) 29271 (05/18/2010)
Legg Mason Partners 812-13681 29192 (03/26/2010) 29255 (04/21/2010)
Lincoln Variable Insurance 812-13660 29168 (03/05/2010) 29196 (03/31/2010)
iShares Trust, et al. 812-13570 29129 (02/16/2010) 29172 (03/10/2010)
ShariahShares Exchange-Traded Fund Trust, et al. 812-13559 29127 (01/29/2010) 29130 (02/22/2010)
Madison Asset Management, LLC 812-13653 29068 (12/07/2009) 29099 (12/29/2009)
FaithShares Trust, et al. 812-13638 28991 (11/05/2009) 29065 (12/01/2009)
Pacific Investment Management Company LLC and PIMCO ETF Trust 812-13571 28948 (10/20/2009) 28993 (11/10/2009)
Charles Schwab Investment Management, Inc., et al. 812-13628 28933 (09/28/2009) 28983 (10/23/2009)
Arrow Investment Advisers, LLC, and Arrow Funds Trust 812-13405 28852 (08/25/2009) 28910 (09/22/2009)
OOK, Inc., et al. 812-13504 28851 (08/25/2009) 28902 (09/17/2009)
Old Mutual Global Shares Trust, et al. 812-13614 28847 (08/13/2009) 28898 (09/09/2009)
Pax World Funds Trust II, et al. 812-13503 28834 (07/22/2009) 28846 (08/13/2009)
WisdomTree Investments, Inc., et al. 812-13650 28755 (06/01/2009) 28805 (06/29/2009)
Phoenix Life Insurance Company, et al. 812-13564 28686 (04/03/2009) 28714 (04/28/2009)
Massachusetts Financial Services Company, et al. 812-13519 28649 (03/17/2009) 28694 (04/14/2009)
INDEXIQ ETF Trust 812-13441 28638 (02/27/2009) 28653 (03/20/2009)
DFA Investment Dimensions Group Inc. 812-13541 28637 (02/26/2009) 28654 (03/24/2009)
Allstate Financial Investment Trust, et al. 812-13523 28581 (01/12/2009) 28614 (02/09/2009)
Aberdeen Asset Management, Inc. 812-13530 28429 (09/30/2008) 28475 (10/28/2008)
WisdomTree Investments, Inc. et al. 812-13458 28419 (09/28/2008) 28471 (10/27/2008)
Van Kampen Retirement Strategy Trust, et al. 812-13506 28406 (09/25/2008) 28440 (10/17/2008)
Javelin Exchange-Traded Trust 812-13425 28350 (07/31/2008) 28367 (08/26/2008)
Goldman Sachs Trust, et al. 812-13456 28347 (07/31/2008) 28366 (08/26/2008)
The RBB Fund, et al. 812-13496 28260 (04/30/2008) 28288 (05/28/2008)
Fidelity Rutland Square Trust, et al. 812-13476 28259 (04/30/2008) 28287 (05/28/2008)
MLIG Variable Insurance Trust and Rozel Advisors LLC 812-13436 28139 (01/31/2008) 28169 (02/26/2008)
Northern Institutional Funds, et al. 812-13424 28119 (01/06/2008) 28149 (02/12/2008)
The UBS Funds, et al. 812-13453 28080 (12/19/2007) 28122 (01/16/2008)
Rafferty Asset Management 812-13416 28039 (10/30/2007) 28067 (11/27/2007)
Fidelity Rutland Square 812-13232 28008 (09/28/2007) 28023 (10/24/2007)
Wisdom Tree Investments, Inc., et al. 812-13417 27976 (09/21/2007) 28015 (10/17/2007)
DWS Advisor Funds 812-13364 27919 (07/31/2007) 27954 (08/27/2007)
John Hancock Trust 812-13341 27848 (05/30/2007) 27873 (06/26/2007)
HealthShares, Inc. 812-13288 27844 (05/29/2007) 27871 (06/21/2007)
Van Eck Worldwide Insurance Trust 812-13304 27820 (05/09/2007) 27849 (06/01/2007)
First Trust Exchange-Traded Fund, et al. 812-13340 27812 (04/30/2007) 27845 (05/30/2007)
The RBB Fund, Inc. and Abundance Technologies, Inc. 812-13295 27749 (03/08/2007) 27775 (04/03/2007)
Van Eck Associates Corporation, et al. 812-13339 27694 (01/31/2007) 27742 (02/27/2007)
PowerShares Exchange-Traded Fund Trust, et al. 812-13343 27693 (01/31/2007) 27743 (02/27/2007)
ProFunds, et al. 812-13029 27599 (12/14/2006) 27658 (01/09/2007)
NexBank Securities, Inc. and NexBank Series 812-13278 27602 (12/18/2006) 27659 (01/16/2007)
Members Mutual Funds, et al. 812-13133 27598 (12/13/2006) 27657 (01/09/2007)

Inadvertent Investment Companies - 3(b)(2)

Investment Company File No. Notice Order
ACS Wireless, Inc 812-14066 30567 (06/25/2013) 30602 (07/19/2013)
Rio Tinto plc and Rio Tinto Limited 812-13777 29889 (12/19/2011) 29921 (01/17/2012)
Dolby Laboratories, Inc. 812-13582 29454 (10/01/2010) 29492 (10/27/2010)
SeaCo. Ltd. 812-13753 29176 (03/17/2010) 29206 (04/09/2010)
RealNetworks, Inc. 812-13399 27877 (06/28/2007) 27888 (07/24/2007)
Hill Physicians Medical Group, Inc. 812-13255 27804 (04/26/2007) 27824 (05/02/2007)

Inadvertent Investment Companies - 6(c)

Investment Company File No. Notice Order
Beverly Hills Bancorp Inc. 812-14280 31054 (05/21/2014) 31083 (06/16/2014)
Beverly Hills Bancorp Inc. 812-14135 30497 (04/30/2013) 30541 (05/24/2013)
Steel Partners Holdings L.P. 812-13793 30056 (04/27/2012) 30070 (05/23/2012)
Beverly Hills Bancorp Inc. 812-13767 30036 (04/18/2012) 30064 (05/15/2012)
Korea Finance Corp. 812-13752 29332 (06/25/2010) 29343 (07/20/2010)
Hill Physicians Medical Group, Inc. 812-13255 27804 (04/26/2007) 27824 (05/02/2007)

Inadvertent Investment Companies - Foreign Banks/Insurance

Investment Company File No. Notice Order
Korea Finance Corp. 812-13752 29332 (06/25/2010) 29343 (07/20/2010)
Compagnie de Financement Foncier 812-13573 28835 (07/22/2009) 28848 (08/13/2009)

Inadvertent Investment Companies - Other

Investment Company File No. Notice Order
Sunwest Rollover Member LLC 812-13778 30014 (03/29/2012) 30046 (04/24/2012)

Ineligible - Disqualified Firm

Investment Company File No. Notice Order
Citigroup Global Markets Inc., et al. 812-13970 31199 (08/06/2014) 31238 (09/03/2014)
BNP Paribas S.A., et al. 812-14327 31140 (06/30/2014) 31188 (07/28/2014)
Credit Suisse Asset Management, LLC, et al. 812-14313 31051 (05/19/2014) 31082 (06/16/2014)
RBS Securities Inc. and Citizens Investment Advisors 812-14232 30808 (11/25/2013) 30842 (12/23/2013)
Wells Fargo Bank, N.A., et al. 812-14176 30644 (08/06/2013) 30685 (09/04/2013)
The Royal Bank of Scotland plc, et al. 812-14148 30462 (04/12/2013) 30509 (05/08/2013)
UBS AG, et al. 812-14105 30383 (02/15/2013) 30424 (03/13/2013)
See also: 30311
J.P. Morgan Securities LLC, et al. 812-14094 30347 (01/09/2013) 30380 (02/06/2013)
UBS AG, et al. 812-14105 30311 (12/19/2012)
Wells Fargo Bank, N.A., et al. 812-14074 30266 (11/16/2012) 30303 (12/12/2012)
See also: 30210
ReconTrust Company, N.A., et al. 812-14068 30174 (08/20/2012) 30203 (09/17/2012)
GE Asset Management Incorporated, et al. 812-13994 29926 (01/24/2012) 29952 (02/22/2012)
Wells Fargo Bank, N.A., et al. 812-13987 29881 (12/09/2011) 29914 (01/04/2012)
BAC Home Loan Servicing, LP 812-13910 29726 (07/18/2011) 29753 (08/15/2011)
J.P. Morgan Securities LLC, et al. 812-13919 29719 (07/11/2011) 29749 (08/05/2011)
J.P. Morgan Securities LLC, et al. 812-13914 29711 (06/29/2011) 29737 (07/26/2011)
UBS AG, et al. 812-13902 29666 (05/09/2011) 29690 (06/06/2011)
Citigroup Global Markets Inc., et al. 812-13808 29464 (10/19/2010) 29498 (11/15/2010)
GE Asset Management Incorporated, et al. 812-13807 29374 (07/30/2010) 29385 (08/25/2010)
Goldman Sachs & Co., et al. 812-13796 29366 (07/21/2010) 29382 (08/18/2010)
Assurant, Inc. 812-13746 29125 (01/26/2010) 29133 (02/23/2010)
Investools 812-13728 29093 (12/16/2009) 29110 (01/12/2010)
GE Asset Management Incorporated and GE Investment Distributors, Inc. 812-13680 28845 (08/11/2009) 28899 (09/09/2009)
Banc of America Securities LLC, et al. 812-13662 28764 (06/09/2009) 28810 (07/07/2009)
Deutsche Bank Securities Inc., et al. 812-13664 28763 (06/09/2009) 28811 (07/07/2009)
RBC Capital Markets Corporation, et al. 812-13663 28762 (06/09/2009) 28812 (07/07/2009)
UBS AG 812-13645 28652 (03/19/2009) 28695 (04/14/2009)
Citigroup, Inc. 812-13641 28647 (03/12/2009) 28688 (04/07/2009)
E*Trade Financial Corporation 812-13639 28645 (03/12/2009) 28689 (04/07/2009)
Wachovia Securities, LLC, et al. 812-13632 28618 (02/18/2009) 28648 (03/17/2009)
Citigroup Global 812-13615 28572 (12/23/2008) 28605 (01/16/2009)
UBS Securities LLC 812-13609 28569 (12/23/2008) 28606 (01/16/2009)
Prudential Financial, Inc., et al. 812-13572 28377 (09/05/2008) 28430 (10/01/2008)
The BISYS Group, Inc. 812-13394 27978 (09/24/2007) 28017 (10/22/2007)
American International Group, Inc. 812-13259 27931 (08/20/2007) 27970 (09/17/2007)
Barclays Global Fund Advisors 812-13391 27851 (06/06/2007) 27882 (07/05/2007)

Insurance Products - Bonus Recapture

Investment Company File No. Notice Order
Minnesota Life Insurance Company, et al. 812-14158 30821 (12/06/2013) 30850 (12/30/2013)
Transamerica Life Insurance Company, et al. 812-14133 30776 (11/06/2013) 30816 (12/03/2013)
American General Life Insurance Company, et al. 812-13973 30681 (08/29/2013) 30699 (09/24/2013)
Jackson National Life Insurance Company, et al. 812-13841 29621 (03/31/2011) 29658 (04/25/2011)
Nationwide Life Insurance Company, et al. 812-13756 29337 (07/02/2010) 29369 (07/27/2010)
Pruco Life Insurance Company, et al. 812-13713 29302 (06/18/2010) 29342 (07/15/2010)
Jackson National Life Insurance Company of New York, et al. 812-13710 29265 (05/10/2010) 29293 (06/03/2010)
Jackson National Life Insurance Company, et al. 812-13703 29205 (04/07/2010) 29262 (04/30/2010)
Annuity Investors Life, et al. 812-13612 28909 (09/22/2009) 28948 (10/20/2009)
Jackson Nat’l Life Ins. Company, et al. 812-13584 28890 (08/27/2009) 28907 (09/22/2009)
ING USA Annuity & Life Ins. Co., et al. 812-13600 28646 (03/13/2009) 28687 (04/03/2009)
Prudential Annuities Life Assurance Co., et al. 812-13532 28354 (08/08/2008) 28373 (09/03/2008)
Minnesota Life Insurance Co., et al. 812-13457 28321 (06/26/2008) 28334 (07/22/2008)
CUNA Mutual Insurance Society, et al. 812-13423 28181 (03/04/2008) 28232 (04/01/2008)
Pruco Life Insurance Company, et al. 812-13437 28180 (03/04/2008) 28231 (04/01/2008)
Prudential Annuities Life Assurance Corp., et al. 812-13446 28179 (03/04/2008) 28233 (04/01/2008)
Minnesota Life Insurance Company, et al. 812-13365 27960 (08/30/2007) 27979 (09/25/2007)
Jackson National Life Insurance Co., et al. 812-13320 27603 (12/19/2006) 27660 (01/16/2007)

Insurance Products - Exchange Offer

Investment Company File No. Notice Order
Prudential Retirement Insurance and Annuity Co., et al. 812-13455 28263 (05/07/2008) 28297 (06/06/2008)
Hartford Life Insurance Co., et al. 812-13267 27933 (08/22/2007) 27972 (09/18/2007)

Insurance Products - Fund Substitution

Investment Company File No. Notice Order
American Fidelity Assurance Company, et al. 812-14288 31217 (08/19/2014) 31251 (09/16/2014)
MetLife Insurance Company of Connecticut, et al. 812-14221 31000 (03/31/2014) 31023 (04/22/2014)
Minnesota Life Insurance Company, et al. 812-14203 30999 (03/28/2014) 31028 (04/24/2014)
Ameritas Life Insurance Corp., et al. 812-14189 30764 (10/25/2013) 30787 (11/15/2013)
Pacific Life Insurance Company, et al 812-14141 30744 (10/17/2013) 30777 (11/08/2013)
The Northwestern Mutual Life Insurance Company, et al. 812-14128 30671 (08/22/2013) 30690 (09/18/2013)
American Family Life Insurance Company, et al. 812-14109 30564 (06/20/2013) 30601 (07/16/2013)
Lincoln National Life Insurance Company, et al 812-14063 30468 (04/18/2013) 30517 (05/14/2013)
ING Life Insurance and Annuity Company, et al. 812-14033 30431 (03/21/2013) 30461 (04/12/2013)
AXA Equitable Life Insurance Company, et al. 812-14036 30373 (01/31/2013) 30405 (02/26/2013)
Mutual of America Life Insurance Company, et al. 812-14059 30292 (12/05/2012) 30335 (12/31/2012)
Pruco Life Insurance Company, et al. 812-13990 30186 (08/29/2012) 30209 (09/20/2012)
New York Life Insurance & Annuity Company, et al. 812-13903 29923 (01/19/2012) 29947 (02/14/2012)
TIAA-CREF Life Insurance Company, et al. 812-13791 29709 (06/28/2011) 29687 (06/01/2011)
Allianz Life Insurance Company of North America, et al. 812-13821 29693 (06/10/2011) 29716 (07/06/2011)
Country Investors Life Assurance Co., et al. 812-13865 29691 (06/09/2011) 29717 (07/07/2011)
National Life Insurance Company, et al. 812-13806 29662 (04/29/2011) 29627 (04/07/2011)
American Family Life Insurance Company, et al. 812-13842 29617 (03/24/2011) 29656 (04/21/2011)
Met Life Insurance Company of CT, et al. 812-13816 29544 (12/28/2010) 29570 (01/24/2011)
American Life Insurance Company, et al. 812-13780 29521 (11/30/2010) 29545 (12/29/2010)
Nationwide Life Insurance Company, et al. 812-13648 29486 (10/25/2010) 29505 (11/22/2010)
AXA Equitable Life Insurance Company, et al. 812-13686 29338 (07/07/2010) 29372 (07/29/2010)
MetLife Insurance Company of Connecticut, et al. 812-13700 29190 (03/25/2010) 29211 (04/20/2010)
Integrity Life Insurance Company, et al. 812-13690 29171 (03/10/2010) 29204 (04/07/2010)
Nationwide Life Ins. Co., et al. 812-13495 28767 (06/12/2009) 28815 (07/08/2009)
MetLife Ins. Co. of Connecticut, et al. 812-13588 28678 (03/25/2009) 28699 (04/20/2009)
Sun Life Assurance Company of Canada (U.S.), et al. 812-13402 28570 (12/23/2008) 28607 (01/22/2009)
Riversource Life Insurance Co., et al. 812-13492 28527 (12/04/2008) 28575 (12/30/2008)
Allianz Life Insurance Co. of North America, et al. 812-13474 28480 (10/30/2008) 28521 (11/25/2008)
Allianz Life Insurance Co. of North America, et al. 812-13451 28369 (08/28/2008) 28384 (09/19/2008)
The Penn Mutual Life Insurance Company, et al. 812-13401 28328 (07/02/2008) 28342 (07/25/2008)
ING USA Annuity & Life Insurance Co., et al. 812-13466 28256 (04/28/2008) 28285 (05/23/2008)
American Family Life Insurance Co., et al. 812-13445 28197 (03/19/2008) 28237 (04/16/2008)
Jefferson National Life Insurance Co., et al. 812-13452 28191 (03/10/2008) 28234 (04/03/2008)
MetLife Insurance Co. of Connecticut, et al. 812-13439 28190 (03/10/2008) 28236 (04/16/2008)
MetLife Insurance Company of Connecticut, et al. 812-13380 28013 (10/12/2007) 28044 (11/07/2007)
MONY Life Insurance Co. of America, et al. 812-13346 27909 (07/24/2007) 27929 (08/17/2007)
ING Life Insurance and Annuity Company, et al. 812-13361 27869 (06/20/2007) 27885 (07/16/2007)
Lincoln Variable Insurance Products Trust, et al. 812-13287 27821 (05/11/2007) 27850 (06/04/2007)
Jefferson National Life Insurance Co., et al. 812-13342 27779 (04/06/2007) 27813 (04/30/2007)
MetLife Insurance Co. of Connecticut, et al. 812-13347 27778 (04/06/2007) 27810 (04/30/2007)
John Hancock Life Insurance Co., et al. 812-13318 27752 (03/19/2007) 27781 (04/16/2007)
Country Investors Life Assurance Co., et al. 812-13325 27695 (02/02/2007) 27744 (02/28/2007)
Integrity Life Insurance Co., et al. 812-13321 27677 (01/24/2007) 27738 (02/23/2007)
Sun Life Assurance Co. of Canada (U.S.), et al. 812-13282 27651 (12/29/2006) 27688 (01/25/2007)

Insurance Products - Substitution Related Affiliated Securities Transactions

Investment Company File No. Notice Order
Minnesota Life Insurance Company, et al. 812-14203 30999 (03/28/2014) 31028 (04/24/2014)
Lincoln National Life Insurance Company, et al 812-14063 30468 (04/18/2013) 30517 (05/14/2013)
New York Life Insurance & Annuity Company, et al. 812-13903 29923 (01/19/2012) 29947 (02/14/2012)
Allianz Life Insurance Company of North America, et al. 812-13821 29693 (06/10/2011) 29716 (07/06/2011)
Met Life Insurance Company of CT, et al. 812-13816 29544 (12/28/2010) 29570 (01/24/2011)
Nationwide Life Insurance Company, et al. 812-13648 29486 (10/25/2010) 29505 (11/22/2010)
AXA Equitable Life Insurance Company, et al. 812-13686 29338 (07/07/2010) 29372 (07/29/2010)
MetLife Insurance Company of Connecticut, et al. 812-13700 29190 (03/25/2010) 29211 (04/20/2010)
Nationwide Life Ins. Co., et al. 812-13495 28767 (06/12/2009) 28815 (07/08/2009)
MetLife Ins. Co. of Connecticut, et al. 812-13588 28678 (03/25/2009) 28699 (04/20/2009)
Sun Life Assurance Company of Canada (U.S.), et al. 812-13402 28570 (12/23/2008) 28607 (01/22/2009)
Riversource Life Insurance Co., et al. 812-13492 28527 (12/04/2008) 28575 (12/30/2008)
Allianz Life Insurance Co. of North America, et al. 812-13474 28480 (10/30/2008) 28521 (11/25/2008)
Allianz Life Insurance Co. of North America, et al. 812-13451 28369 (08/28/2008) 28384 (09/19/2008)
The Penn Mutual Life Insurance Company, et al. 812-13401 28328 (07/02/2008) 28342 (07/25/2008)
Jefferson National Life Insurance Co., et al. 812-13452 28191 (03/10/2008) 28234 (04/03/2008)
MetLife Insurance Co. of Connecticut, et al. 812-13439 28190 (03/10/2008) 28236 (04/16/2008)
John Hancock Life Insurance Company, et al. 812-13414 28065 (11/26/2007) 28081 (12/21/2007)
MetLife Insurance Company of Connecticut, et al. 812-13380 28013 (10/12/2007) 28044 (11/07/2007)
MONY Life Insurance Co. of America, et al. 812-13346 27909 (07/24/2007) 27929 (08/17/2007)
ING Life Insurance and Annuity Company, et al. 812-13361 27869 (06/20/2007) 27885 (07/16/2007)
Lincoln Variable Insurance Products Trust, et al. 812-13287 27821 (05/11/2007) 27850 (06/04/2007)
Jefferson National Life Insurance Co., et al. 812-13342 27779 (04/06/2007) 27813 (04/30/2007)
MetLife Insurance Co. of Connecticut, et al. 812-13347 27778 (04/06/2007) 27810 (04/30/2007)
Sun Life Assurance Co. of Canada (U.S.), et al. 812-13282 27651 (12/29/2006) 27688 (01/25/2007)

Insurance Products - Mixed and Shared Funding

Investment Company File No. Notice Order
Arden Investment Series Trust, et al. 812-14152 30745 (10/17/2013) 30781 (11/12/2013)
Variable Insurance Trust, et al. 812-14108 30700 (09/24/2013) 30749 (10/22/2013)
Hatteras Variable Trust, et al. 812-14040 30296 (12/06/2012) 30338 (01/02/2013)
Northern Lights Var. Trust, et al. 812-13863 29729 (07/19/2011) 29757 (08/16/2011)
Fairholme VP Series Fund, Inc., et al. 812-13854 29619 (03/28/2011) 29661 (04/26/2011)
MML Series Investment Fund, et al. 812-13611 28849 (08/20/2009) 28901 (09/15/2009)
Mainstay VP Series Fund, Inc., et al. 812-13515 28619 (02/20/2009) 28651 (03/18/2009)
TIAA-CREF Life Funds, et al. 812-13563 28530 (12/10/2008) 28577 (01/06/2009)
Financial Investors Variable Insurance Trust, et al. 812-13359 27965 (09/04/2007) 27999 (09/27/2007)
Sentinel Variable Products Trust, et al. 812-13353 27921 (08/03/2007) 27959 (08/29/2007)
Delaware VI P Trust, et al. 812-13333 27886 (07/16/2007) 27926 (08/09/2007)
Principal Variable Contracts Fund, Inc., et al. 812-13338 27852 (06/18/2007) 27887 (07/17/2007)
XTF Advisors Trust, et al. 812-13334 27783 (04/25/2007) 27825 (05/22/2007)
Wilshire Variable Insurance Trust, et al. 812-13272 27701 (02/16/2007) 27751 (03/15/2007)

Interfund Lending

Investment Company File No. Notice Order
BMO Funds, Inc., et al. 812-14217 31146 (07/02/2014) 31193 (07/30/2014)
Ivy Funds, et al. 812-14216 31068 (06/02/2014) 31138 (06/30/2014)
Vanguard Admiral Funds, et al. 812-13597 31021 (04/17/2014) 31044 (05/13/2014)
DFA Investment Dimensions Group Inc., et al. 812-14208 30976 (03/07/2014) 31001 (04/02/2014)
Fidelity Aberdeen Street Trust, et al. 812-13731 30258 (11/06/2012) 30288 (12/03/2012)
John Hancock Variable Insurance Trust, et al. 812-13621 29865 (11/18/2011) 29885 (12/14/2011)
MFS Series Trust I, et al. 812-13606 29827 (09/30/2011) 29849 (10/26/2011)
Principal Funds Inc. 812-13869 29824 (09/29/2011) 29843 (10/25/2011)
Northern Funds 812-13707 29368 (07/23/2010) 29381 (08/18/2010)
The Alger Funds, et al. 812-13578 28819 (07/16/2009) 28844 (08/11/2009)
The Managers Funds, et al. 812-13551 28748 (05/28/2009) 28770 (06/23/2009)
Dodge & Cox Funds 812-13480 28409 (09/29/2008) 28470 (10/27/2008)
Pioneer Bond Fund, et al. 812-13427 28144 (02/05/2008) 28182 (03/04/2008)

Interval Funds

Investment Company File No. Notice Order
BTOP50 CTA Index Fund 812-12984 28045 (11/08/2007) 28074 (12/04/2007)

Joint Transaction

Investment Company File No. Notice Order
ING Investments, LLC, et al. 812-14013 30295 (12/06/2012)  30337 (01/02/2013)
Main Street Capital Corporation, et al. 812-13804 29922 (01/17/2012) 29946 (02/14/2012)
TIAA-CREF Funds, et al. 812-13831 29707 (06/24/2011) 29728 (07/19/2011)
Forward Funds, et al. 812-13543 28640 (03/03/2009) 28682 (03/30/2009)
The Franklin, Templeton and Mutual Series Funds, et al. 812-13499 28574 (12/29/2008) 28608 (01/26/2009)
MFS Series Trust X, et al. 812-13234 27662 (01/13/2007) 27698 (02/13/2007)

Multi-Class

Investment Company File No. Notice Order
Evanston Alternative Opportunities Fund and Evanston Capital Management, LLC. 812-14293 31250 (09/15/2014)
Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc. 812-14244 31093 (06/23/2014) 31162 (07/22/2014)
College Retirement Equities Fund, et al. 812-14305 31092 (06/23/2014) 31204 (08/11/2014)
Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc. 812-14147 31046 (05/13/2014) 31075 (06/10/2014)
Steben Select Multi-Strategy Fund and Steben & Company, Inc. 812-14144 31029 (04/25/2014) 31052 (05/21/2014)
Multi-Strategy Growth & Income Fund, et al. 812-14228 30860 (01/15/2014) 30911 (02/11/2014)
Total Income+ Real Estate Fund, et al. 812-14184 30859 (01/15/2014) 30912 (02/11/2014)
CPG Carlyle Private Equity Fund, LLC, et al. 812-14089 30512 (05/09/2013) 30547 (06/04/2013)
Blackstone Alternative Alpha Fund, et al. 812-14026 30280 (11/26/2012) 30317 (12/26/2012)
Permal Hedge Strategies Fund, et al. 812-14011 30228 (10/09/2012) 30257 (11/05/2012)
Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC 812-14008 30103 (06/14/2012) 30133 (07/10/2012)
BlackRock Preferred Partners LLC, et al. 812-13964 30160 (08/02/2012) 30182 (08/28/2012)
ASGI Agility Income Fund 812-13866 29793 (09/19/2011) 29837 (10/15/2011)
Highland Capital Management, L.P., et al. 812-13221 28888 (08/27/2009) 28908 (09/22/2009)
Allianz RCM Global EcoTrends Fund 812-13364 27936 (08/23/2007) 27971 (09/18/2007)

Multi-Manager - Voting

Investment Company File No. Notice Order
Persimmon Capital Management LP and Northern Lights Fund Trust III 812-14251 31218 (08/19/2014)
Altegris Advisors L.L.C. and Northern Lights Fund Trust 812-14196 31221 (08/22/2014) 31189 (07/28/2014)
Valmark Advisers, Inc. and Northern Lights Variable Trust 812-13951 31071 (06/04/2014) 31142 (07/01/2014)
Catalyst Capital Advisors LLC and Mutual Fund Series Trust 812-14101 30832 (12/16/2013) 30854 (01/13/2014)
Compass Efficient Model Portfolios, LLC, et al. 812-13881 30550 (06/04/2013) 30588 (07/02/2013)
Highland Associates, Inc. and Financial Investors Trust 812-14006 30259 (11/09/2012) 30291 (12/05/2012)
LoCorr Fund Management, LLC and LoCorr Investment Trust 812-13913 30168 (08/14/2012) 30199 (09/11/2012) 
Franklin Advisers, Inc. and Franklin Templeton International Trust 812-13900 30105 (06/18/2012) 30138 (07/17/2012) 
Hirtle Callaghan & Co., LLC and HC Capital Trust 812-13859-01 30102 (06/11/2012) 30132 (07/10/2012)
Preservation Trust Advisors, LLC and Northern Lights Fund Trust 812-13965 29937 (01/26/2012) 29951 (02/22/2012)
Genesis Capital, LLC and Northern Lights Fund Trust 812-13935 29867 (11/21/2011) 29888 (12/19/2011)
Bandon Capital Management, LLC and Northern Lights Fund Trust 812-13936 29864 (11/17/2011) 29882 (12/13/2011)
Curian Series Trust, et al. 812-13855 29794 (09/19/2011) 29836 (10/17/2011)
RidgeWorth Funds 812-13860 29743 (08/03/2011) 29773 (08/30/2011)
HIGHMARK Funds, et al. 812-13143 29723 (07/12/2011) 29750 (08/08/2011)
Altegris Advisors, L.L.C., et al. 812-13851 29689 (06/01/2011) 29710 (06/28/2011)
The Integrity Funds, et al. 812-13763 29399 (08/25/2010) 29418 (09/21/2010)
WisdomTree Asset Management, Inc. and WisdomTree Trust 812-13733 29380 (08/13/2010) 29412 (09/08/2010)
Members Mutual Funds, et al. 812-13654 29062 (11/23/2009) 29096 (12/22/2009)
AdvisorOne Funds and CLS Investments, LLC 812-13643 28894 (08/31/2009) 28932 (09/28/2009)
Forward Funds, et al. 812-13533 28420 (09/29/2008) 28469 (10/27/2008)
Phoenix Equity Trust, et al. 812-13526 28375 (09/03/2008) 28410 (09/29/2008)
AARP Funds 812-13251 27918 (07/31/2007) 27956 (08/28/2007)
First Investors Equity Funds 812-13350 27826 (05/23/2007) 27868 (06/20/2007)
Forward Funds, et al. 812-13249 27777 (04/05/2007) 27814 (05/01/2007)
Liberty All-Star Equity Fund, et al. 812-13327 27741 (02/27/2007) 27769 (03/27/2007)

Multi-Manager - Voting & Disclosure

Investment Company File No. Notice Order
Eagle Capital Appreciation Fund, et al. 812-14173 31239 (09/03/2014)
Advisors Series Trust and Vivaldi Asset Management, LLC 812-14299 31226 (08/27/2014)
Northern Lights Fund Trust II and North Peak Asset Management LLC 812-14032 31222 (08/26/2014)
Principal Funds, Inc., et al. 812-14138 31203 (08/11/2014) 31244 (09/08/2014)
Steben Alternative Investment Funds and Steben & Company, Inc. 812-14314 31186 (07/24/2014) 31215 (08/19/2014)
Janus Investment Fund, et al. 812-14294 31145 (07/02/2014) 31192A (07/29/2014)
KraneShares Trust and Krane Funds Advisors, LLC 812-14284 31144 (07/02/2014) 31190 (07/29/2014)
Rothschild Larch Lane Management Company LLC and The Advisors' Inner Circle Fund III 812-14265 31134 (06/25/2014) 31164 (07/22/2014)
Ivy Funds, et al. 812-14210 31013 (04/10/2014) 31040 (05/06/2014)
Professionally Managed Portfolios and Balter Liquid Alternatives, LLC 812-14243 31010 (04/08/2014) 31038 (05/05/2014)
Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc. 812-14231 30986 (03/19/2014) 31014 (04/15/2014)
Hatteras Alternative Mutual Funds Trust, et al. 812-14282 30969 (02/26/2014) 30991 (03/25/2014)
Legg Mason Partners Equity Trust, et al. 812-14127 30923 (02/24/2014) 30990 (03/24/2014)
KKR Series Trust and Prisma Capital Partners LP 812-14124 30905 (02/04/2014) 30973 (03/04/2014)
T. Rowe Price Global Allocation Fund, Inc. et al. 812-14224 30901 (01/31/2014) 30967 (02/26/2014)
Cornerstone Advisors Inc. and The Advisorsí Inner Circle Fund 812-14060 30884 (01/16/2014) 30916 (02/11/2014)
Wells Fargo Funds Trust, et al. 812-14090 30830 (12/13/2013) 30853 (01/08/2014)
American Beacon Funds, et al. 812-13825 30819 (12/05/2013) 30848 (12/30/2013)
AIM Growth Series (Invesco Growth Series), et al. 812-14204 30785 (11/15/2013) 30827 (12/11/2013)
Forethought Variable Insurance Trust, et al. 812-14183 30716 (09/25/2013) 30750 (10/22/2013)
The KP Funds and Callan Associates Inc. 812-14143 30693 (09/23/2013) 30748 (10/21/2013)
Franklin Templeton International Trust, et al. 812-14167 30679 (08/27/2013) 30698 (09/24/2013)
Equinox Funds Trust, et al. 812-14129 30673 (08/23/2013) 30691 (09/19/2013)
Aspiriant Global Equity Trust and Aspiriant, LLC 812-14155 30640 (08/05/2013) 30684 (09/03/2013)
Grosvenor Alternative Funds Master Trust, et al. 812-14110 30599 (07/15/2013) 30648 (08/12/2013)
Bridge Builder Trust, et al. 812-14118 30592 (07/09/2013) 30641 (08/06/2013)
The Dreyfus Corporation, et al. 812-13637 30580 (06/26/2013) 30608 (07/23/2013)
ING Investments, LLC, et al. 812-14111 30566 (06/24/2013) 30603 (07/22/2013)
First Trust Exchange-Traded Fund, et al. 812-14070 30546 (06/03/2013) 30587 (07/01/2013)
Frank Russell Company, et al. 812-13783 30524 (05/17/2013) 30556 (06/12/2013)
Goldman Sachs Trust II, et al. 812-14078 30496 (04/29/2013) 30542 (05/29/2013)
Symetra Mutual Funds Trust, et al. 812-14081 30472 (04/19/2013) 30516 (05/14/2013)
Trust for Professional Managers and Aurora Investment Management L.L.C. 812-14113 30460 (04/12/2013) 30510 (05/08/2013)
Munder Series Trust, et al. 812-14099 30441 (03/29/2013) 30493 (04/24/2013)
Blackstone Alternative Investment Funds, et al. 812-14076 30416 (03/07/2013) 30444 (04/02/2013)
Cohen & Steers Real Assets Fund, Inc., et al. 812-14003 30413 (03/04/2013) 30442 (03/29/2013)
AdvisorShares Investments, LLC and AdvisorShares Trust 812-14027 30381 (02/12/2013) 30421 (03/11/2013)
Arden Investment Series Trust and Arden Asset Management LLC 812-14062 30255 (11/02/2012) 30283 (11/28/2012)
Trust for Professional Managers, et al. 812-14012 30235 (10/18/2012) 30263 (11/14/2012) 
PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. 812-14000 30224 (09/27/2012) 30241 (10/23/2012) 
Neuberger Berman Alternative Funds, et al. 812-13988-01 30206 (09/18/2012) 30232 (10/15/2012) 
Cash Account Trust, et al. 812-13512 30151 (07/25/2012) 30172 (08/20/2012)
Capital Research and Management Company, et al. 812-13616-09 30150 (07/25/2012) 30173 (08/20/2012)
IndexIQ Advisors LLC, et al. 812-13957 30130 (07/09/2012) 30161 (08/03/2012)
Advisors Series Trust and Orinda Asset Management, LLC 812-13889 30043 (04/23/2012) 30065 (05/21/2012)
Domini Social Investment Trust and Domini Social Investments LLC 812-13971 29984 (03/21/2012) 30035 (04/17/2012)
Investment Managers Ser 812-13891 29787 (09/13/2011) 29833 (10/12/2011)
Pax World Funds Series Trust, et al. 812-13883 29751 (08/10/2011) 29783 (09/07/2011)
Sterling Capital Funds, et al. 812-13834 29713 (07/01/2011) 29738 (07/26/2011)
Simple Alternatives, LLC, et al. 812-13801 29616 (03/24/2011) 29629 (04/19/2011)
Highland Capital Management, L.P. and Highland Funds I 812-13770 29445 (09/27/2010) 29488 (10/26/2010)
American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company 812-13708 29444 (09/27/2010) 29483 (10/25/2010)
Northern Lights Fund Trust 812-13651 29208 (04/16/2010) 29267 (05/12/2010)
Lincoln Variable Insurance 812-13732 29170 (03/09/2010) 29197 (03/31/2010)
Cash Account Trust, et al. 812-13678 29094 (12/16/2009) 29109 (01/12/2010)
Strategic Funds, Inc., et al. 812-13712 29064 (11/30/2009) 29097 (12/23/2009)
Grail Advisors LLC and Grail Advisors ETF Trust 812-13516 28900 (09/14/2009) 28944 (10/08/2009)
GE Funds, et al. 812-13545 28808 (07/02/2009) 28839 (07/28/2009)
Embarcadero Funds, Inc., et al. 812-13633 28769 (06/22/2009) 28820 (07/20/2009)
Trust for Professional Managers, et al. 812-11351 28382 (09/19/2008) 28439 (10/15/2008)
Aberdeen Asset Management Inc. 812-13528 28364 (08/25/2008) 28385 (09/22/2008)
Advisors Series Trust, et al. 812-13473 28175 (02/27/2008) 28201 (03/25/2008)
Unified Series Trust 812-13450 28071 (11/30/2007) 28117 (12/27/2007)
JNF Advisors, Inc. 812-13419 28010 (10/02/2007) 28038 (10/29/2007)
Trust for Professional Managers, Inc. 812-13408 27964 (08/31/2007) 27995 (09/26/2007)
Aston Funds 812-13375 27879 (06/29/2007) 27910 (07/25/2007)
First American Investment Funds, Inc. 812-13268 27818 (05/04/2007) 27846 (05/30/2007)
Old Westbury Funds, Inc. and Bessemer Investment Management LLC 812-13286 27807 (04/27/2007) 27837 (05/23/2007)
New River Funds and New River Advisers LLC 812-13319 27653 (01/03/2007) 27690 (01/31/2007)
Forum Funds, et al. 812-13265 27605 (12/20/2006) 27665 (01/18/2007)
The MainStay Funds, et al. 812-13257 27595 (12/11/2006) 27656 (01/08/2007)

Other

Investment Company File No. Notice Order
Copley Fund, Inc. 811-02815 34-72173
(05/15/2014)
See also Application and Exhibits
31088 (06/19/2014)
Matthews A Share Selections Fund, LLC, et al. 812-14058 31020 (04/17/2014) 31045 (05/13/2014)
Special Opportunities Fund, Inc. 811-07528 30647 (08/08/2013)
See also Application
31213 (08/15/2014)
Harris & Harris Group, Inc. 812-14164 N/A 30604 (07/22/2013)
ASA Gold and Precious Metals Limited 812-13877 30539 (05/22/2013) 30561 (06/18/2013)
Harris & Harris Group, Inc. 812-14029 N/A 30104 (06/15/2012)
Central Securities Corporation 812-13857 29915 (01/06/2012) 29940 (02/01/2012)
Harris & Harris Group, Inc. 812-13896 N/A 29736 (07/22/2011)
Harris & Harris Group, Inc. 812-13768 N/A 29289 (05/28/2010)
PNC Bank, National Association 812-13640 29066 (12/03/2009) 29100 (12/29/2009)
Pioneer Floating Rate Trust and Pioneer High Income Trust 812-13636 28998 (11/20/2009) 29070 (12/15/2009)
DNP Select Income Fund Inc., et al. 812-13617 28891 (08/27/2009) 28906 (09/22/2009)
Federated Core Trust III, et al. 812-13421 28806 (06/30/2009) 28834 (07/27/2009)
Harris & Harris Group, Inc. 812-13655 28761 (06/09/2009) 28761 (06/09/2009)
Nuveen Tax-Advantaged Total Return Strategy Fund, et al. 812-13619 28758 (06/04/2009) 28893 (08/28/2009)
Flaherty & Crumrine Preferred Income Fund Incorporated, et al. 812-13598 28722 (05/08/2009) 28754 (06/01/2009)
Cohen & Steers Advantage Income Realty Fund, Inc., et al. 812-13594 28721 (05/08/2009) 28753 (06/01/2009)
Citibank, N.A., et al. 812-13618 28717 (04/29/2009) 28746 (05/26/2009)
Bridgeway Capital Management, Inc. 812-13525 28685 (04/01/2009) 28716 (04/28/2009)
Calamos Convertible Opportunities and Income Fund, et al. 812-13552 28603 (01/14/2009) 28615 (02/10/2009)
Reserve Municipal Money-Market Trust, et al. 812-13585 N/A 28466 (10/24/2008)
The Reserve Fund 812-13576 N/A 28386 (09/22/2008)
Eaton Vance Floating Rate-Income Trust 812-13540 28431 (10/02/2008) 28464 (10/23/2008)
Harris & Harris Group, Inc. 812-13520 N/A 28294 (05/30/2008)
MMA PRAXIS Mutual Funds 812-13413 27977 (09/24/2007) 28016 (10/22/2007)
Harris & Harris Group, Inc. 812-13374 N/A 27870 (06/20/2007)
HSBC Securities (USA) Inc. 812-13186 27805 (04/26/2007) 27822 (05/22/2007)
Deutsche Bank Trust Company Americas 812-13212 27644 (12/28/2006) 27673 (01/23/2007)

Securities Lending (Withdrawn)

Investment Company File No. Notice Order
U.S. Bank National Association, et al. 812-13246 28238 (04/16/2008) 28264 (05/07/2008)

Two-Tier Real Estate Partnerships

Investment Company File No. Notice Order
WNC Tax Credits 40, LLC, et al. 812-13885 29715 (07/06/2011) 29742 (08/02/2011)
WNC Tax Credits 38, LLC 812-13687 29202 (04/02/2010) 29260 (04/27/2010)

Unit Investment Trusts - Other

Investment Company File No. Notice Order
Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions 812-14276 31062 (05/21/2014) 31086 (06/17/2014)
Elkhorn Securities, LLC and Elkhorn Unit Trust 812-14260 30902 (02/03/2014) 30974 (03/05/2014)
TSC Distributors LLC and TSC UITS 812-14054 30449 (04/04/2013) 30501 (04/30/2013)
AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. 812-14005 30134 (07/10/2012) 30162 (08/06/2012)
Destra Capital Investments LLC and Destra Unit Investment Trust 812-13574-01 30059 (05/03/2012) 30087 (05/30/2012)
Incapital LLC and Incapital Unit Trust 812-13921 29924 (01/24/2012) 29949 (02/21/2012)
Millington Securities, Inc. 812-13595 29160 (02/25/2010) 29177 (03/22/2010)
Advisors Asset Management, Inc. 812-13536 28613 (02/06/2009) 28641 (03/04/2009)
Matrix Capital Group, Inc. 812-13475 28284 (05/22/2008) 28300 (06/17/2008)
NexBank Securities, Inc. and NexBank Series 812-13279 27655 (01/04/2007) 27691 (01/30/2007)

 

http://www.sec.gov/rules/icreleases.shtml


Modified: 09/16/2014