Investment Company Act Notices and Orders

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

See also Investment Company Act Deregistration Notices and Orders.

Chronological List
Second Quarter |  First Quarter

ICA File Number List for 2012

Additional Archives

2012 | 2011 | 2010 | 2009 | 2008 | 2007

Chronological List

Release No.	Date	Details
Second Quarter
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	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)
First Quarter
812-13847
IC-30027	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)

ICA File Number List for 2012

Release No.	Date	Details
813-228
IC-30037	Apr. 18, 2012	Jefferies Employees Special Opportunities Partners, LLC, et al. (Order)
IC-30007	Mar. 23, 2012	Jefferies Employees Special Opportunities Partners, LLC, et al. (Notice)
813-194
IC-30060	May 4, 2012	SK Private Investment Fund 1998 LLC, et al. (Notice)
812-14007
IC-30033	Apr. 10, 2012	Capital Research and Management Company, et al. (Order)
IC-29981	Mar. 14, 2012	Capital Research and Management Company, et al. (Notice)
812-13996
IC-30031	Apr. 10, 2012	Forward Funds, et al. (Order)
IC-29982	Mar. 15, 2012	Forward Funds, et al. (Notice)
812-13994
IC-29952	Feb. 22, 2012	GE Asset Management Incorporated, et al.(Order)
IC-29926	Jan. 24, 2012	GE Asset Management Incorporated, et al. (Notice)
812-13986
IC-30067	May 22, 2012	GPS Funds I, et al. (Order)
IC-30044	Apr. 24, 2012	GPS Funds I, et al. (Notice)
812-13983
IC-29971	Feb. 28, 2012	DoubleLine Funds Trust, et al. (Order)
IC-29943	Feb. 2, 2012	DoubleLine Capital LP and DoubleLine Funds Trust (Notice)
812-13982
IC-29967	Feb. 27, 2012	Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Order)
IC-29939	Jan. 30, 2012	Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Notice)
812-13971
IC-30035	Apr. 17, 2012	Domini Social Investment Trust and Domini Social Investments LLC (Order)
IC-29984	Mar. 21, 2012	Domini Social Investment Trust and Domini Social Investments LLC (Notice)
812-13965
IC-29951	Feb. 22, 2012	Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Order)
IC-29937	Jan. 26, 2012	Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Notice)
812-13962
IC-29979	Mar. 12, 2012	Pacific Life Insurance Company, et al. (Order)
IC-29944	Feb. 13, 2012	Pacific Life Insurance Company, et al. (Notice)
812-13955
IC-30030	Apr. 10, 2012	Columbia Funds Master Investment Trust, LLC, et al. (Order)
IC-29980	Mar. 13, 2012	Columbia Funds Master Investment Trust, LLC, et al. (Notice)
812-13950
IC-29970	Feb. 28, 2012	Henderson Global Funds et al. (Order)
IC-29942	Feb. 1, 2012	Henderson Global Funds, et al. (Notice)
812-13927
IC-30069	May 22, 2012	Invesco Total Property Market Income Fund, et al. (Order)
IC-30055	Apr. 26, 2012	Invesco Total Property Market Income Fund, et al. (Notice)
812-13921
IC-29949	Feb. 21, 2012	Incapital LLC and Incapital Unit Trust (Order)
IC-29924	Jan. 24, 2012	Incapital LLC and Incapital Unit Trust (Notice)
812-13903
IC-29947	Feb. 14, 2012	New York Life Insurance and Annuity Corporation, et al. (Corrected Order)
IC-29923	Jan. 19, 2012	New York Life Insurance and Annuity Corporation, et al. (Corrected Notice)
812-13889
IC-30065	May 21, 2012	Advisors Series Trust and Orinda Asset Management, LLC (Order)
IC-30043	Apr. 23, 2012	Advisors Series Trust and Orinda Asset Management, LLC (Notice)
812-13882
IC-30011	Mar. 27, 2012	Kohlberg Capital Corporation (Order)
IC-29975	Mar. 5, 2012	Kohlberg Capital Corporation (Notice)
812-13879
IC-30012	Mar. 27, 2012	Fidus Investment Corporation, et al. (Order)
IC-29974	Mar. 1, 2012	Fidus Investment Corporation, et al. (Notice)
812-13868
IC-30068	May 22, 2012	Northern Trust Investments, Inc., et al. (Order)
IC-30045	Apr. 24, 2012	Northern Trust Investments, Inc., et al. (Notice)
812-13857
IC-29940	Feb. 1, 2012	Central Securities Corporation (Order)
IC-29915	Jan. 6, 2012	Central Securities Corporation (Notice)
812-13847
IC-30024	Mar. 30, 2012	Ares Capital Corporation, Ares Capital Management LLC, and Ivy Hill Asset Management, L.P. (Order)
IC-29977	Mar. 9, 2012	Ares Capital Corporation et al. (Notice)
812-13846
IC-30063	May 10, 2012	Van Eck VIP Trust, et al. (Notice)
812-13804
IC-29946	Feb. 14, 2012	Main Street Capital Corporation, et al. (Order)
IC-29922	Jan. 17, 2012	Main Street Capital Corporation, et al. (Notice)
812-13795
IC-30029	Apr. 10, 2012	First Trust Exchange-Traded Fund, et al. (Order)
IC-29983	Mar. 15, 2012	First Trust Exchange-Traded Fund, et al. (Notice)
812-13793
IC-30070	May 23, 2012	Steel Partners Holdings L.P. (Order)
IC-30056	Apr. 27, 2012	Steel Partners Holdings L.P. (Notice)
812-13787
IC-30009	Mar. 26, 2012	Medley Capital Corporation, et al. (Order)
IC-29968	Feb. 27, 2012	Medley Capital Corporation, et al. (Notice)
812-13785
IC-30061	May 8, 2012	Huntington Asset Advisors, Inc., et al. (Order)
IC-30032	Apr. 10, 2012	Huntington Asset Advisors, Inc., et al. (Notice)
812-13778
IC-30046	Apr. 24, 2012	Sunwest Rollover Member LLC (Order)
IC-30014	Mar. 29, 2012	Sunwest Rollover Member LLC (Notice)
812-13767
IC-30064	May 15, 2012	Beverly Hills Bancorp Inc. (Order)
IC-30036	Apr. 18, 2012	Beverly Hills Bancorp Inc. (Notice)
812-13634
IC-29972	Feb. 28, 2012	Rand Capital Corporation, et al. (Order)
IC-29941	Feb. 1, 2012	Rand Capital Corporation, et al. (Notice)
812-13627
IC-30066	May 21, 2012	Praxis Mutual Funds, et al. (Order)
IC-30042	Apr. 23, 2012	Praxis Mutual Funds, et al. (Notice)
812-13574-01
IC-30059	May 3, 2012	Capital Investments LLC and Destra Unit Investment Trust (Notice)
812-13493
IC-30010	Mar. 27, 2012	American Capital, Ltd., et al. (Order)
IC-29973	Mar. 1, 2012	American Capital, Ltd., et al. (Notice)
812-13478
IC-29918	Jan. 17, 2012	Highland Capital Management, L.P. et al. (Order)
812-13313
IC-30027	Apr. 3, 2012	Harris & Harris Group, Inc. (Order)
IC-29976	Mar. 7, 2012	Harris & Harris Group, Inc. (Notice)

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