812-13621 Dec. 14, 2011
John Hancock Variable Insurance Trust, et al. Investment Company Act Order
29885
Interfund Lending
812-13929 Dec. 14, 2011
SEI Investments Management Corporation, et al. Investment Company Act Order
29884
Fund of Funds - Direct Investment
812-13936 Dec. 13, 2011
Bandon Capital Management, LLC and Northern Lights Fund Trust Investment Company Act Order
29882
Multi-Manager - Voting
812-13930 Dec. 13, 2011
American Century Strategic Asset Allocations, Inc., et al. Investment Company Act Notice
29883
Fund of Funds - Direct Investment
812-13987 Dec. 9, 2011
Wells Fargo Bank, N.A., et al. Investment Company Act Notice
29881
Ineligible - Disqualified Firm
812-13944 Dec. 8, 2011
The Singapore Fund, Inc. Investment Company Act Order
29880
Affiliated Sales & Purchases - In-Kind
812-13952 Dec. 8, 2011
Seasons Series Trust, et al. Investment Company Act Notice
29879
Fund of Funds - Direct Investment
812-13939 Nov. 29, 2011
AllianceBernstein Cap Fund, Inc., et al. Investment Company Act Notice
29876
Fund of Funds - Direct Investment
813-377 Nov. 22, 2011
Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC Investment Company Act Order
29869
Employees Securities Company
812-13935 Nov. 21, 2011
Genesis Capital, LLC and Northern Lights Fund Trust Investment Company Act Notice
29867
Multi-Manager - Voting
812-13621 Nov. 18, 2011
John Hancock Variable Insurance Trust, et al. Investment Company Act Notice
29865
Interfund Lending
812-13929 Nov. 18, 2011
SEI Investments Management Corporation, et al. Investment Company Act Notice
29866
Fund of Funds - Direct Investment
812-13755 Nov. 17, 2011
RiverPark Advisors, LLC, et al. Investment Company Act Order
29863
Fund of Funds - Multi-Group
812-13755 Nov. 17, 2011
RiverPark Advisors, LLC, et al. Investment Company Act Order
29863
Exchange Traded Funds - Active
812-13936 Nov. 17, 2011
Bandon Capital Management, LLC and Northern Lights Fund Trust Investment Company Act Notice
29864
Multi-Manager - Voting
812-13695 Nov. 10, 2011
NGP Capital Resources Company, et al. Investment Company Act Order
29860
Co-Investment
812-13830 Oct. 28, 2011
Global X Funds, et al. Investment Company Act Order
29852
Fund of Funds - Multi-Group
812-13830 Oct. 28, 2011
Global X Funds, et al. Investment Company Act Order
29852
Exchange Traded Funds - Index
813-377 Oct. 27, 2011
Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC Investment Company Act Notice
29851
Employees Securities Company
812-13606 Oct. 26, 2011
MFS Series Trust I, et al. Investment Company Act Order
29849
Interfund Lending
812-13922 Oct. 26, 2011
Incapital LLC, et al. Investment Company Act Order
29850
Fund of Funds - Multi-Group
812-13869 Oct. 25, 2011
Principal Funds Inc. Investment Company Act Order
29843
Interfund Lending
812-13575 Oct. 25, 2011
Destracom Investments LLC Investment Company Act Order
29842
Fund of Funds - Multi-Group
812-13755 Oct. 19, 2011
RiverPark Advisors, LLC, et al. Investment Company Act Notice
29840
Fund of Funds - Multi-Group
812-13755 Oct. 19, 2011
RiverPark Advisors, LLC, et al. Investment Company Act Notice
29840
Exchange Traded Funds - Active
812-13893 Oct. 18, 2011
Fifth Third Funds and Fifth Investment Company Act Order
29839
Fund of Funds - Multi-Group
812-13943 Oct. 18, 2011
DFA Investment Dimensions Group, Inc., et al. Investment Company Act Order
29838
Fund of Funds - Direct Investment
812-13855 Oct. 17, 2011
Curian Series Trust, et al. Investment Company Act Order
29836
Multi-Manager - Voting
812-13866 Oct. 15, 2011
ASGI Agility Income Fund Investment Company Act Order
29837
Multi-Class
812-13891 Oct. 12, 2011
Investment Managers Ser Investment Company Act Order
29833
Multi-Manager - Voting & Disclosure
812-13892 Oct. 12, 2011
Legg Mason Partners Equity Trust, et al. Investment Company Act Order
29835
Fund of Funds - Direct Investment
812-13890 Oct. 12, 2011
Highland Capital Management, L.P. Investment Company Act Order
29832
Fund of Funds - Direct Investment
812-13867 Oct. 12, 2011
Stone Harbor Investment Partners LP Investment Company Act Order
29834
Distributions
812-13695 Oct. 7, 2011
NGP Capital Resources Company, et al. Investment Company Act Notice
29831
Co-Investment
812-13931 Oct. 4, 2011
Stone Harbor Investment Investment Company Act Order
29830
Fund of Funds - Direct Investment
812-13606 Sept. 30, 2011
MFS Series Trust I, et al. Investment Company Act Notice
29827
Interfund Lending
812-13922 Sept. 30, 2011
Incapital LLC, et al. Investment Company Act Notice
29828
Fund of Funds - Multi-Group
812-13830 Sept. 30, 2011
Global X Funds, et al. Investment Company Act Notice
29829
Fund of Funds - Multi-Group
812-13830 Sept. 30, 2011
Global X Funds, et al. Investment Company Act Notice
29829
Exchange Traded Funds - Index
812-13869 Sept. 29, 2011
Principal Funds Inc. Investment Company Act Notice
29824
Interfund Lending
812-13575 Sept. 29, 2011
Destracom Investments LLC Investment Company Act Notice
29825
Fund of Funds - Multi-Group
812-13876 Sept. 27, 2011
Horizon Technology Finance Corp. Investment Company Act Order
29821
Business Development Companies - Capital Structure
812-13893 Sept. 22, 2011
Fifth Third Funds and Fifth Investment Company Act Notice
29819
Fund of Funds - Multi-Group
812-13943 Sept. 22, 2011
DFA Investment Dimensions Group, Inc., et al. Investment Company Act Notice
29820
Fund of Funds - Direct Investment
812-13944 Sept. 22, 2011
The Singapore Fund, Inc. Investment Company Act Notice
29817
Affiliated Sales & Purchases - In-Kind
812-13855 Sept. 19, 2011
Curian Series Trust, et al. Investment Company Act Notice
29794
Multi-Manager - Voting
812-13866 Sept. 19, 2011
ASGI Agility Income Fund Investment Company Act Notice
29793
Multi-Class
812-13867 Sept. 16, 2011
Stone Harbor Investment Partners LP Investment Company Act Notice
29791
Distributions
812-13892 Sept. 15, 2011
Legg Mason Partners Equity Trust, et al. Investment Company Act Notice
29789
Fund of Funds - Direct Investment
812-13890 Sept. 15, 2011
Highland Capital Management, L.P. Investment Company Act Notice
29790
Fund of Funds - Direct Investment
812-13794 Sept. 13, 2011
Golub Capital BDC, Inc. Investment Company Act Order
29786
Business Development Companies - Capital Structure
812-13891 Sept. 13, 2011
Investment Managers Ser Investment Company Act Notice
29787
Multi-Manager - Voting & Disclosure
812-13862 Sept. 12, 2011
Tortoise Power & Energy Infrastructure Fund Inc. Investment Company Act Order
29785
Distributions
812-13883 Sept. 7, 2011
Pax World Funds Series Trust, et al. Investment Company Act Order
29783
Multi-Manager - Voting & Disclosure
812-13931 Sept. 7, 2011
Stone Harbor Investment Investment Company Act Notice
29784
Fund of Funds - Direct Investment
812-13773 Sept. 6, 2011
NT ETF Trust Investment Company Act Order
29782
Fund of Funds - Multi-Group
812-13773 Sept. 6, 2011
NT ETF Trust Investment Company Act Order
29782
Exchange Traded Funds - Index
812-13876 Aug. 31, 2011
Horizon Technology Finance Corp. Investment Company Act Notice
29777
Business Development Companies - Capital Structure
812-13860 Aug. 30, 2011
RidgeWorth Funds Investment Company Act Order
29773
Multi-Manager - Voting
812-13853 Aug. 30, 2011
American Capital, Ltd. Investment Company Act Order
29774
Business Development Companies - Compensation
812-13853 Aug. 29, 2011
American Capital, Ltd. Investment Company Act Notice
29744
Business Development Companies - Compensation
812-13916 Aug. 24, 2011
BofA Funds Series Trust, et al. Investment Company Act Order
29769
Affiliated Sales & Purchases - Adviser
812-13863 Aug. 16, 2011
Northern Lights Var. Trust, et al. Investment Company Act Order
29757
Insurance Products - Mixed and Shared Funding
812-13909 Aug. 16, 2011
ING Asia Pacific High Investment Company Act Order
29754
Distributions
812-13862 Aug. 16, 2011
Tortoise Power & Energy Infrastructure Fund Inc. Investment Company Act Notice
29755
Distributions
812-13794 Aug. 16, 2011
Golub Capital BDC, Inc. Investment Company Act Notice
29756
Business Development Companies - Capital Structure
812-13910 Aug. 15, 2011
BAC Home Loan Servicing, LP Investment Company Act Order
29753
Ineligible - Disqualified Firm
812-13883 Aug. 10, 2011
Pax World Funds Series Trust, et al. Investment Company Act Notice
29751
Multi-Manager - Voting & Disclosure
812-13773 Aug. 10, 2011
NT ETF Trust Investment Company Act Notice
29752
Fund of Funds - Multi-Group
812-13773 Aug. 10, 2011
NT ETF Trust Investment Company Act Notice
29752
Exchange Traded Funds - Index
812-13143 Aug. 8, 2011
HIGHMARK Funds, et al. Investment Company Act Order
29750
Multi-Manager - Voting
812-13919 Aug. 5, 2011
J.P. Morgan Securities LLC, et al. Investment Company Act Order
29749
Ineligible - Disqualified Firm
812-13741 Aug. 5, 2011
FQF Trust Investment Company Act Order
29747
Fund of Funds - Multi-Group
812-13741 Aug. 5, 2011
FQF Trust Investment Company Act Order
29747
Exchange Traded Funds - Index
812-13860 Aug. 3, 2011
RidgeWorth Funds Investment Company Act Notice
29743
Multi-Manager - Voting
812-13885 Aug. 2, 2011
WNC Tax Credits 40, LLC, et al. Investment Company Act Order
29742
Two-Tier Real Estate Partnerships
812-13916 Aug. 1, 2011
BofA Funds Series Trust, et al. Investment Company Act Notice
29741
Affiliated Sales & Purchases - Adviser
812-13834 July 26, 2011
Sterling Capital Funds, et al. Investment Company Act Order
29738
Multi-Manager - Voting & Disclosure
812-13914 July 26, 2011
J.P. Morgan Securities LLC, et al. Investment Company Act Order
29737
Ineligible - Disqualified Firm
812-13896 July 22, 2011
Harris & Harris Group, Inc. Investment Company Act Order
29736
Other
812-13909 July 21, 2011
ING Asia Pacific High Investment Company Act Notice
29735
Distributions
812-13831 July 19, 2011
TIAA-CREF Funds, et al. Investment Company Act Order
29728
Joint Transaction
812-13815 July 19, 2011
Russell Exchange Traded Funds Trust, et al. Investment Company Act Order
29727
Fund of Funds - Multi-Group
812-13815 July 19, 2011
Russell Exchange Traded Funds Trust, et al. Investment Company Act Order
29727
Exchange Traded Funds - Active
812-13863 July 19, 2011
Northern Lights Var. Trust, et al. Investment Company Act Notice
29729
Insurance Products - Mixed and Shared Funding
812-13910 July 18, 2011
BAC Home Loan Servicing, LP Investment Company Act Notice
29726
Ineligible - Disqualified Firm
812-13843 July 12, 2011
HighMark Funds, et al. Investment Company Act Order
29721
Fund of Funds - Direct Investment
812-13143 July 12, 2011
HIGHMARK Funds, et al. Investment Company Act Notice
29723
Multi-Manager - Voting
812-13919 July 11, 2011
J.P. Morgan Securities LLC, et al. Investment Company Act Notice
29719
Ineligible - Disqualified Firm
812-13741 July 11, 2011
FQF Trust Investment Company Act Notice
29720
Fund of Funds - Multi-Group
812-13741 July 11, 2011
FQF Trust Investment Company Act Notice
29720
Exchange Traded Funds - Index
812-13865 July 7, 2011
Country Investors Life Assurance Co., et al. Investment Company Act Order
29717
Insurance Products - Fund Substitution
812-13821 July 6, 2011
Allianz Life Insurance Company of North America, et al. Investment Company Act Order
29716
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13821 July 6, 2011
Allianz Life Insurance Company of North America, et al. Investment Company Act Order
29716
Insurance Products - Fund Substitution
812-13885 July 6, 2011
WNC Tax Credits 40, LLC, et al. Investment Company Act Notice
29715
Two-Tier Real Estate Partnerships
812-13818 July 1, 2011
Precidian ETFs Trust, et al. Investment Company Act Order
29712
Fund of Funds - Multi-Group
812-13818 July 1, 2011
Precidian ETFs Trust, et al. Investment Company Act Order
29712
Exchange Traded Funds - Index
812-13834 July 1, 2011
Sterling Capital Funds, et al. Investment Company Act Notice
29713
Multi-Manager - Voting & Disclosure
812-13914 June 29, 2011
J.P. Morgan Securities LLC, et al. Investment Company Act Notice
29711
Ineligible - Disqualified Firm
812-13851 June 28, 2011
Altegris Advisors, L.L.C., et al. Investment Company Act Order
29710
Multi-Manager - Voting
