Investment Company Act Notices and Orders
| File Number | Date | Investment Company | Type | Release Number | Category |
|---|---|---|---|---|---|
| 812-14130 | Altegris Advisors, L.L.C., et al. | Investment Company Act Notice | 30779
|
Fund of Funds - Multi-Group | |
| 812-14131 | Ranger Alternative Management, L.P. and Ranger Funds Investment Trust | Investment Company Act Notice | 30778
|
Exchange Traded Funds - Index | |
| 812-14151-04 | Guggenheim Equal Weight Enhanced Equity Income Fund and Guggenheim Funds Investment Advisers, LLC | Investment Company Act Notice | 30780
|
Distributions | |
| 812-14141 | Pacific Life Insurance Company, et al | Investment Company Act Order | 30777
|
Insurance Products - Fund Substitution | |
| 812-14133 | Transamerica Life Insurance Company, et al. | Investment Company Act Notice | 30776
|
Insurance Products - Bonus Recapture | |
| 812-14185 | OFS Capital Corporation, et al. | Investment Company Act Notice | 30771
|
Business Development Companies - Capital Structure | |
| 812-14004 | DBX ETF Trust, et al. | Investment Company Act Notice | 30770
|
Exchange Traded Funds - Active | |
| 812-14202 | Cambria ETF Trust, et al. | Investment Company Act Notice | 30768
|
Exchange Traded Funds - Index | |
| 812-14020 | Medley Capital Corporation, et al. | Investment Company Act Notice | 30769
|
Co-Investment | |
| 812-14189 | Ameritas Life Insurance Corp., et al. | Investment Company Act Notice | 30764
|
Insurance Products - Fund Substitution | |
| 812-14200 | VTL Associates, LLC, et al. | Investment Company Act Notice | 30763
|
Exchange Traded Funds - Active | |
| 812-14188 | U.S. Global Investors, Inc., et al. | Investment Company Act Order | 30755
|
Exchange Traded Funds - Index | |
| 812-14061 | Stellus Capital Investment Corporation, et al. | Investment Company Act Order | 30754
|
Co-Investment | |
| 812-14183 | Forethought Variable Insurance Trust, et al. | Investment Company Act Order | 30750
|
Multi-Manager - Voting & Disclosure | |
| 812-14108 | Variable Insurance Trust, et al. | Investment Company Act Order | 30749
|
Insurance Products - Mixed and Shared Funding | |
| 812-14137 | Guinness Atkinson Asset Management, Inc., et al. | Investment Company Act Order | 30751
|
Exchange Traded Funds - Index | |
| 812-14143 | The KP Funds and Callan Associates Inc. | Investment Company Act Order | 30748
|
Multi-Manager - Voting & Disclosure | |
| 812-14175 | Syntax Analytics, LLC and Syntax ETF Trust | Investment Company Act Notice | 30747
|
Exchange Traded Funds - Active | |
| 812-14152 | Arden Investment Series Trust, et al. | Investment Company Act Notice | 30745
|
Insurance Products - Mixed and Shared Funding | |
| 812-14141 | Pacific Life Insurance Company, et al | Investment Company Act Notice | 30744
|
Insurance Products - Fund Substitution | |
| 812-14136 | Principal Management Corporation, et al. | Investment Company Act Order | 30742
|
Exchange Traded Funds - Active | |
| 812-14061 | Stellus Capital Investment Corporation, et al. | Investment Company Act Notice | 30739
|
Co-Investment | |
| 812-14137 | Guinness Atkinson Asset Management, Inc., et al. | Investment Company Act Notice | 30735
|
Exchange Traded Funds - Index | |
| 812-14183 | Forethought Variable Insurance Trust, et al. | Investment Company Act Notice | 30716
|
Multi-Manager - Voting & Disclosure | |
| 812-14188 | U.S. Global Investors, Inc., et al. | Investment Company Act Notice | 30723
|
Exchange Traded Funds - Index | |
| 812-14167 | Franklin Templeton International Trust, et al. | Investment Company Act Order | 30698
|
Multi-Manager - Voting & Disclosure | |
| 812-13973 | American General Life Insurance Company, et al. | Investment Company Act Order | 30699
|
Insurance Products - Bonus Recapture | |
| 812-14178 | Horizons ETFs Management (USA) LLC and Horizons ETF Trust | Investment Company Act Order | 30695
|
Exchange Traded Funds - Active | |
| 812-14108 | Variable Insurance Trust, et al. | Investment Company Act Notice | 30700
|
Insurance Products - Mixed and Shared Funding | |
| 812-14143 | The KP Funds and Callan Associates Inc. | Investment Company Act Notice | 30693
|
Multi-Manager - Voting & Disclosure | |
| 812-14136 | Principal Management Corporation, et al. | Investment Company Act Notice | 30692
|
Exchange Traded Funds - Active | |
| 812-14129 | Equinox Funds Trust, et al. | Investment Company Act Order | 30691
|
Multi-Manager - Voting & Disclosure | |
| 812-14128 | The Northwestern Mutual Life Insurance Company, et al. | Investment Company Act Order | 30690
|
Insurance Products - Fund Substitution | |
| 812-14128 | The Northwestern Mutual Life Insurance Company, et al. | Investment Company Act Order | 30690
|
Affiliated Sales & Purchases - In-Kind | |
| 812-14176 | Wells Fargo Bank, N.A., et al. | Investment Company Act Order | 30685
|
Ineligible - Disqualified Firm | |
| 812-14155 | Aspiriant Global Equity Trust and Aspiriant, LLC | Investment Company Act Order | 30684
|
Multi-Manager - Voting & Disclosure | |
| 812-13973 | American General Life Insurance Company, et al. | Investment Company Act Notice | 30681
|
Insurance Products - Bonus Recapture | |
| 812-14145 | ERNY Financial ETF Trust, et al. | Investment Company Act Order | 30678
|
Exchange Traded Funds - Index | |
| 812-14048 | GENCAP Strategies LLC, et al. | Investment Company Act Order | 30676
|
Exchange Traded Funds - Active | |
| 812-14071 | Ranger Alternative Management, L.P. and Ranger Funds Investment Trust | Investment Company Act Order | 30677
|
Exchange Traded Funds - Active | |
| 812-14167 | Franklin Templeton International Trust, et al. | Investment Company Act Notice | 30679
|
Multi-Manager - Voting & Disclosure | |
| 812-14178 | Horizons ETFs Management (USA) LLC and Horizons ETF Trust | Investment Company Act Notice | 30680
|
Exchange Traded Funds - Active | |
| 812-13963 | Exchange Traded Concepts, LLC, et al. | Investment Company Act Order | 30674
|
Exchange Traded Funds - Index | |
| 812-14129 | Equinox Funds Trust, et al. | Investment Company Act Notice | 30673
|
Multi-Manager - Voting & Disclosure | |
| 812-14128 | The Northwestern Mutual Life Insurance Company, et al. | Investment Company Act Notice | 30671
|
Insurance Products - Fund Substitution | |
| 812-14128 | The Northwestern Mutual Life Insurance Company, et al. | Investment Company Act Notice | 30671
|
Affiliated Sales & Purchases - In-Kind | |
| 812-13942 | NGAM Advisors, L.P., et al. | Investment Company Act Order | 30654
|
Exchange Traded Funds - Index | |
| 812-14169 | Calamos Advisors LLC, et al. | Investment Company Act Order | 30653
|
Exchange Traded Funds - Active | |
| 812-14110 | Grosvenor Alternative Funds Master Trust, et al. | Investment Company Act Order | 30648
|
Multi-Manager - Voting & Disclosure | |
| 811-07528 | Special Opportunities Fund, Inc. | Investment Company Act Notice | 30647
See Also - Inc. Application |
Other | |
| 812-14118 | Bridge Builder Trust, et al. | Investment Company Act Order | 30641
|
Multi-Manager - Voting & Disclosure | |
| 812-14150 | FlexShares Trust, et al. | Investment Company Act Order | 30645
|
Exchange Traded Funds - Active | |
| 812-13941 | NGAM Advisors, L.P., et al. | Investment Company Act Order | 30643
|
Exchange Traded Funds - Active | |
| 812-14176 | Wells Fargo Bank, N.A., et al. | Investment Company Act Notice | 30644
|
Ineligible - Disqualified Firm | |
| 812-14155 | Aspiriant Global Equity Trust and Aspiriant, LLC | Investment Company Act Notice | 30640
|
Multi-Manager - Voting & Disclosure | |
| 812-14071 | Ranger Alternative Management, L.P. and Ranger Funds Investment Trust | Investment Company Act Notice | 30639
|
Exchange Traded Funds - Active | |
| 813-383 | Citadel LLC, et al. | Investment Company Act Order | 30637
|
Employees Securities Company | |
| 812-14096 | BofA Funds Series Trust, et al. | Investment Company Act Order | 30638
|
Affiliated Sales & Purchases - Adviser | |
| 812-14145 | ERNY Financial ETF Trust, et al. | Investment Company Act Notice | 30636
|
Exchange Traded Funds - Index | |
| 812-14048 | GENCAP Strategies LLC, et al. | Investment Company Act Notice | 30635
|
Exchange Traded Funds - Active | |
| 812-13963 | Exchange Traded Concepts, LLC, et al. | Investment Company Act Notice | 30634
|
Exchange Traded Funds - Index | |
| 812-13942 | NGAM Advisors, L.P., et al. | Investment Company Act Notice | 30630
|
Exchange Traded Funds - Index | |
| 812-14169 | Calamos Advisors LLC, et al. | Investment Company Act Notice | 30628
|
Exchange Traded Funds - Active | |
| 812-13637 | The Dreyfus Corporation, et al. | Investment Company Act Order | 30608
|
Multi-Manager - Voting & Disclosure | |
| 812-14088 | First Trust Exchange-Traded Fund, et al. | Investment Company Act Order | 30610
|
Exchange Traded Funds - Index | |
| 812-14087 | ProShare Advisors LLC, et al. | Investment Company Act Order | 30605
|
Exchange Traded Funds - Index | |
| 812-14080 | ETF Issuer Solutions Inc., et al. | Investment Company Act Order | 30607
|
Exchange Traded Funds - Active | |
| 812-14009 | Charles Schwab Investment Management, Inc., et al. | Investment Company Act Order | 30606
|
Exchange Traded Funds - Active | |
| 813-180-09 | Invesco Advisers, Inc., et al. | Investment Company Act Order | 30609
|
Employees Securities Company | |
| 812-14164 | Harris & Harris Group, Inc. | Investment Company Act Order | 30604
|
Other | |
| 812-14111 | ING Investments, LLC, et al. | Investment Company Act Order | 30603
|
Multi-Manager - Voting & Disclosure | |
| 812-14066 | ACS Wireless, Inc | Investment Company Act Order | 30602
|
Inadvertent Investment Companies - 3b2 | |
| 812-14109 | American Family Life Insurance Company, et al. | Investment Company Act Order | 30601
|
Insurance Products - Fund Substitution | |
| 812-14110 | Grosvenor Alternative Funds Master Trust, et al. | Investment Company Act Notice | 30599
|
Multi-Manager - Voting & Disclosure | |
| 812-14176 | Wells Fargo Bank, N.A., et al. | Investment Company Act Order | 30600
|
Ineligible - Disqualified Firm | |
| 812-14121 | Transparent Value Trust, et al. | Investment Company Act Order | 30596
|
Exchange Traded Funds - Index | |
| 812-14046 | Sigma Investment Advisors, LLC, et al. | Investment Company Act Order | 30597
|
Exchange Traded Funds - Index | |
| 812-13991 | Guggenheim Funds Investment Advisors, LLC, et al. | Investment Company Act Order | 30598
|
Exchange Traded Funds - Index | |
| 812-14118 | Bridge Builder Trust, et al. | Investment Company Act Notice | 30592
|
Multi-Manager - Voting & Disclosure | |
| 812-14150 | FlexShares Trust, et al. | Investment Company Act Notice | 30593
|
Exchange Traded Funds - Active | |
| 812-13941 | NGAM Advisors, L.P., et al. | Investment Company Act Notice | 30594
|
Exchange Traded Funds - Active | |
| 813-383 | Citadel LLC, et al. | Investment Company Act Notice | 30589
|
Employees Securities Company | |
| 812-14096 | BofA Funds Series Trust, et al. | Investment Company Act Notice | 30590
|
Affiliated Sales & Purchases - Adviser | |
| 812-13881 | Compass Efficient Model Portfolios, LLC, et al. | Investment Company Act Order | 30588
|
Multi-Manager - Voting | |
| 812-14070 | First Trust Exchange-Traded Fund, et al. | Investment Company Act Order | 30587
|
Multi-Manager - Voting & Disclosure | |
| 812-14142 | KP Funds, et al. | Investment Company Act Order | 30586
|
Fund of Funds - Multi-Group | |
| 812-14087 | ProShare Advisors LLC, et al. | Investment Company Act Notice | 30583
|
Exchange Traded Funds - Index | |
| 812-14009 | Charles Schwab Investment Management, Inc., et al. | Investment Company Act Notice | 30584
|
Exchange Traded Funds - Active | |
| 812-13637 | The Dreyfus Corporation, et al. | Investment Company Act Notice | 30580
|
Multi-Manager - Voting & Disclosure | |
| 812-14088 | First Trust Exchange-Traded Fund, et al. | Investment Company Act Notice | 30582
|
Exchange Traded Funds - Index | |
| 812-14080 | ETF Issuer Solutions Inc., et al. | Investment Company Act Notice | 30568
|
Exchange Traded Funds - Active | |
| 813-180-09 | Invesco Advisers, Inc., et al. | Investment Company Act Notice | 30581
|
Employees Securities Company | |
| 812-14066 | ACS Wireless, Inc | Investment Company Act Notice | 30567
|
Inadvertent Investment Companies - 3b2 | |
| 812-14111 | ING Investments, LLC, et al. | Investment Company Act Notice | 30566
|
Multi-Manager - Voting & Disclosure | |
| 812-14109 | American Family Life Insurance Company, et al. | Investment Company Act Notice | 30564
|
Insurance Products - Fund Substitution | |
| 812-13877 | ASA Gold and Precious Metals Limited | Investment Company Act Order | 30561
|
Other | |
| 812-14041 | ProShares Advisors LLC, et al. | Investment Company Act Order | 30562
|
Exchange Traded Funds - Active | |
| 812-14121 | Transparent Value Trust, et al. | Investment Company Act Notice | 30558
|
Exchange Traded Funds - Index | |
| 812-14046 | Sigma Investment Advisors, LLC, et al. | Investment Company Act Notice | 30559
|
Exchange Traded Funds - Index | |
| 812-13991 | Guggenheim Funds Investment Advisors, LLC, et al. | Investment Company Act Notice | 30560
|
Exchange Traded Funds - Index |