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Investment Company Act Notices and Orders
This page lists notices and orders of applications filed under the Investment Company Act (ICA) issued after January 1, 2007. Copies of the applications may be obtained for a fee at the Commission's Public Reference Branch. For other materials related to the Commission's oversight and regulation of the investment management industry, investment companies (including mutual funds), and investment advisers, see the Division of Investment Management.
See also Investment Company Act Deregistration Notices and Orders.
Chronological List
Second Quarter | First Quarter
ICA File Number List for 2009
Additional Archives
2009 | 2008 | 2007
| Release No. |
Date |
Details |
| Second Quarter |
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)
|
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)
|
813-00274 |
| 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)
|
812-13235-55 |
| 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)
|
813-00274 |
| 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)
|
812-13235-55 |
| 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)
|
| First Quarter |
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)
|
| ICA File Number List for 2009 |
| Release No. |
Date |
Details |
813-00274 |
| IC-28727 |
May 20, 2009 |
William Blair & Company, L.L.C., Wilblairco II, L.L.C.
(Order)
|
| IC-28700 |
Apr. 22, 2009 |
William Blair & Company, L.L.C. and Wilblairco II, L.L.C. (Notice)
|
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)
|
812-13662 |
| IC-28764 |
Jun. 9, 2009 |
Banc of America Securities LLC, et al. (Notice and Temporary Order)
|
812-13655 |
| IC-28761 |
Jun. 9, 2009 |
Harris & Harris Group, Inc. (Certification)
|
812-13650 |
| IC-28805 |
Jun. 29, 2009 |
WisdomTree Investments, Inc., et al. (Order)
|
| IC-28755 |
Jun. 1, 2009 |
WisdomTree Investments, Inc., et al. (Notice)
|
812-13649 |
| IC-28768 |
Jun. 16, 2009 |
Main Street Capital Corporation, et al. (Order)
|
| IC-28726 |
May 19, 2009 |
Main Street Capital Corporation, et al. (Notice)
|
812-13647 |
| IC-28718 |
May 5, 2009 |
Triangle Capital Corporation (Order)
|
| IC-28692 |
Apr. 13, 2009 |
Triangle Capital Corporation (Notice)
|
812-13645 |
| IC-28695 |
Apr. 14, 2009 |
UBS AG, et al. (Order)
|
| IC-28652 |
Mar. 19, 2009 |
UBS AG, et al. (Notice and Temporary Order)
|
812-13642 |
| IC-28804 |
Jun. 29, 2009 |
WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice)
|
812-13641 |
| IC-28688 |
Apr. 7, 2009 |
Automated Trading Desk Specialists, LLC, et al. (Order)
|
| IC-28647 |
Mar. 12, 2009 |
Automated Trading Desk Specialists, LLC, et al. (Notice)
|
812-13639 |
| IC-28689 |
Apr. 7, 2009 |
E*TRADE Capital Markets LLC, et al. (Order)
|
| IC-28645 |
Mar. 12, 2009 |
E*TRADE Capital Markets LLC, et al. (Notice)
|
812-13633 |
| IC-28769 |
Jun. 22, 2009 |
Embarcadero Funds, Inc., et al. (Notice)
|
812-13632 |
| IC-28648 |
Mar. 17, 2009 |
Wachovia Securities, LLC, et al. (Order)
|
| IC-28618 |
Feb. 18, 2009 |
Wachovia Securities, LLC, et al. (Notice and Temporary Order)
|
812-13619 |
| IC-28758 |
Jun. 4, 2009 |
Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Notice)
|
812-13618 |
| IC-28746 |
May 26, 2009 |
Citibank, N.A. (Order)
|
| IC-28717 |
Apr. 29, 2009 |
Citibank, N.A. (Notice)
|
812-13615 |
| IC-28605 |
Jan. 16, 2009 |
Citigroup Global Markets Inc., et al. (Order)
|
812-13609 |
| IC-28606 |
Jan. 16, 2009 |
UBS Securities LLC, et al. (Order)
|
812-13604 |
| IC-28760 |
Jun. 8, 2009 |
PowerShares Exchange-Traded Fund Trust, et al. (Notice)
|
812-13602 |
| IC-28715 |
Apr. 28, 2009 |
First American Strategy Funds, Inc., et al. (Order)
|
| IC-28683 |
Mar. 31, 2009 |
First American Strategy Funds, Inc. (Notice)
|
812-13600 |
| IC-28687 |
Apr. 3, 2009 |
ING USA Annuity and Life Insurance Company, et al. (Order)
|
| IC-28646 |
Mar. 13, 2009 |
ING USA Annuity and Life Insurance Company, et al. (Notice)
|
812-13598 |
| IC-28754 |
Jun. 1, 2009 |
Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Order)
|
| IC-28722 |
May 8, 2009 |
Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Notice)
|
812-13594 |
| IC-28753 |
Jun. 1, 2009 |
Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order)
|
| IC-28721 |
May 8, 2009 |
Cohen & Steers Advantage Income Realty Fund, et al. (Notice)
|
812-13588 |
| IC-28699 |
Apr. 20, 2009 |
MetLife Insurance Company of Connecticut, et al. (Order)
|
| IC-28678 |
Mar. 25, 2009 |
MetLife Insurance Company of Connecticut, et al. (Notice)
|
812-13586 |
| IC-28643 |
Mar. 10, 2009 |
Eaton Vance Enhanced Equity Income Fund, et al. (Order)
|
| IC-28616 |
Feb. 10, 2009 |
Eaton Vance Enhanced Equity Income Fund, et al. (Notice)
|
812-13564 |
| IC-28714 |
Apr. 28, 2009 |
Phoenix Life Insurance Company, et al. (Order)
|
| IC-28686 |
Apr. 3, 2009 |
Phoenix Life Insurance Company, et al. (Notice)
|
812-13555 |
| IC-28752 |
Jun. 1, 2009 |
Pacific Investment Management Company LLC and PIMCO ETF Trust (Order)
|
| IC-28723 |
May 11, 2009 |
Pacific Investment Management Company LLC and PIMCO ETF Trust (Notice)
|
812-13552 |
| IC-28615 |
Feb. 10, 2009 |
Calamos Convertible Opportunities and Income Fund, et al. (Order)
|
| IC-28603 |
Jan. 14, 2009 |
Calamos Convertible Opportunities and Income Fund, et al.(Notice)
|
812-13551 |
| IC-28770 |
Jun. 23, 2009 |
The Managers Funds, et al. (Order)
|
| IC-28748 |
May 28, 2009 |
The Managers Funds, et al. (Notice)
|
812-13543 |
| IC-28682 |
Mar. 30, 2009 |
Forward Funds, et al. (Order)
|
| IC-28640 |
Mar. 3, 2009 |
Forward Funds, et al. (Notice)
|
812-13541 |
| IC-28654 |
Mar. 24, 2009 |
DFA Investment Dimensions Group Inc., et al. (Order)
|
| IC-28637 |
Feb. 26, 2009 |
DFA Investment Dimensions Group Inc., et al. (Notice)
|
812-13538 |
| IC-28693 |
Apr. 14, 2009 |
ING Investments, LLC (Order)
|
| IC-28650 |
Mar. 17, 2009 |
ING Investments, LLC, et al. (Corrected Notice)
|
812-13536 |
| IC-28641 |
Mar. 4, 2009 |
Advisors Asset Management, Inc. and Advisors Disciplined Trust (Order)
|
| IC-28613 |
Feb. 6, 2009 |
Advisors Asset Management, Inc. and Advisors Disciplined Trust (Notice)
|
812-13525 |
| IC-28716 |
Apr. 28, 2009 |
Bridgeway Capital Management, Inc. (Order)
|
| IC-28685 |
Apr. 1, 2009 |
Bridgeway Capital Management, Inc. (Notice)
|
812-13523 |
| IC-28614 |
Feb. 9, 2009 |
Allstate Financial Investment Trust, et al. (Order)
|
| IC-28581 |
Jan. 12, 2009 |
Allstate Financial Investment Trust, et al. (Notice)
|
812-13519 |
| IC-28694 |
Apr. 14, 2009 |
Massachusetts Financial Services Company, et al. (Order)
|
| IC-28649 |
Mar. 17, 2009 |
Massachusetts Financial Services Company, et al. (Notice)
|
812-13515 |
| IC-28651 |
Mar. 18, 2009 |
Mainstay VP Series Fund, et al. (Order)
|
| IC-28619 |
Feb. 20, 2009 |
Mainstay VP Series Fund, Inc. (Notice)
|
812-13499 |
| IC-28608 |
Jan. 26, 2009 |
Franklin Templeton Fund Allocator Series, 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)
|
812-13441 |
| IC-28653 |
Mar. 20, 2009 |
IndexIQ ETF Trust, et al. (Order)
|
| IC-28638 |
Feb. 27, 2009 |
IndexIQ ETF Trust, et al. (Notice)
|
812-13440 |
| IC-28604 |
Jan. 16, 2009 |
Grail Advisors, LLC and Grail Advisors ETF Trust (formerly known as Grail Advisors' Alpha ETF Trust) (Order)
|
812-13421 |
| IC-28806 |
Jun. 30, 2009 |
Federated Core Trust III, et al. (Notice)
|
812-13400 |
| IC-28724 |
May 12, 2009 |
ProShares Trust, et al. (Order)
|
| IC-28696 |
Apr. 14, 2009 |
ProShares Trust, et al. (Notice)
|
812-13397 |
| IC-28611 |
Feb. 3, 2009 |
Macquarie Global Infrastructure Total Return Fund Inc., et al. (Order)
|
| IC-28579 |
Jan. 6, 2009 |
Macquarie Global Infrastructure Total Return Fund, Inc., et al. (Notice)
|
812-13239 |
| IC-28612 |
Feb. 3, 2009 |
SunAmerica Focused Alpha Growth Fund, Inc., et al. (Order)
|
| IC-28578 |
Jan. 6, 2009 |
SunAmerica Focused Alpha Growth Fund, Inc., et al. (Notice)
|
812-13235-55 |
| IC-28719 |
May 5, 2009 |
BlackRock International Growth and Income Trust et al. (Order)
|
| IC-28690 |
Apr. 7, 2009 |
Blackrock International Growth and Income Trust, et al. (Notice)
|
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