Investment Company Act Notices and Orders
| File Number | Date | Investment Company | Type | Release Number | Category |
|---|---|---|---|---|---|
| 812-13884 | ALPS ETF Trust, et al. | Investment Company Act Order | 30553
|
Exchange Traded Funds - Active | |
| 812-14146 | ERNY Financial ETF Trust and ERNY Financial Advisors, LLC | Investment Company Act Order | 30552
|
Exchange Traded Funds - Active | |
| 812-14089 | CPG Carlyle Private Equity Fund, LLC, et al. | Investment Company Act Order | 30547
|
Multi-Class | |
| 812-13915 | Forum Investment Advisors, LLC, et al. | Investment Company Act Order | 30549
|
Exchange Traded Funds - Active | |
| 812-13665 | FS Investment Corporation, et al. | Investment Company Act Order | 30548
|
Co-Investment | |
| 812-13881 | Compass Efficient Model Portfolios, LLC, et al. | Investment Company Act Notice | 30550
|
Multi-Manager - Voting | |
| 812-14070 | First Trust Exchange-Traded Fund, et al. | Investment Company Act Notice | 30546
|
Multi-Manager - Voting & Disclosure | |
| 812-14142 | KP Funds, et al. | Investment Company Act Notice | 30545
|
Fund of Funds - Multi-Group | |
| 812-14078 | Goldman Sachs Trust II, et al. | Investment Company Act Order | 30542
|
Multi-Manager - Voting & Disclosure | |
| 812-13886 | Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc. | Investment Company Act Order | 30543
|
Exchange Traded Funds - Active | |
| 812-14135 | Beverly Hills Bancorp Inc. | Investment Company Act Order | 30541
|
Inadvertent Investment Companies - 6c | |
| 812-13877 | ASA Gold and Precious Metals Limited | Investment Company Act Notice | 30539
|
Other | |
| 812-13844 | Corporate Capital Trust, Inc., et al. | Investment Company Act Order | 30526
|
Co-Investment | |
| 812-14041 | ProShares Advisors LLC, et al. | Investment Company Act Notice | 30527
|
Exchange Traded Funds - Active | |
| 812-13783 | Frank Russell Company, et al. | Investment Company Act Notice | 30524
|
Multi-Manager - Voting & Disclosure | |
| 812-14075 | Goldman Sachs Trust, et al. | Investment Company Act Order | 30522
|
Fund of Funds - Direct Investment | |
| 812-14098 | Financial Investors Trust and Hanson McClain Strategic Advisors, Inc. | Investment Company Act Notice | 30521
|
Fund of Funds - Multi-Group | |
| 812-14085 | LocalShares Investment Trust, et al. | Investment Company Act Notice | 30523
|
Exchange Traded Funds - Index | |
| 812-14081 | Symetra Mutual Funds Trust, et al. | Investment Company Act Order | 30516
|
Multi-Manager - Voting & Disclosure | |
| 812-14063 | Lincoln National Life Insurance Company, et al | Investment Company Act Order | 30517
|
Insurance Products - Substitution Related Affiliated Securities Transactions | |
| 812-14063 | Lincoln National Life Insurance Company, et al | Investment Company Act Order | 30517
|
Insurance Products - Fund Substitution | |
| 812-13734 | John Hancock Exchange-Traded Fund Trust, et al. | Investment Company Act Order | 30518
|
Exchange Traded Funds - Active | |
| 813-370 | JPMorgan Chase & Co., et al. | Investment Company Act Order | 30520
|
Employees Securities Company | |
| 812-13884 | ALPS ETF Trust, et al. | Investment Company Act Notice | 30519
|
Exchange Traded Funds - Active | |
| 812-14146 | ERNY Financial ETF Trust and ERNY Financial Advisors, LLC | Investment Company Act Notice | 30514
|
Exchange Traded Funds - Active | |
| 812-14104 | Fidelity Merrimack Street Trust, et al. | Investment Company Act Order | 30513
|
Exchange Traded Funds - Active | |
| 812-14089 | CPG Carlyle Private Equity Fund, LLC, et al. | Investment Company Act Notice | 30512
|
Multi-Class | |
| 812-13665 | FS Investment Corporation, et al. | Investment Company Act Notice | 30511
|
Co-Investment | |
| 812-14113 | Trust for Professional Managers and Aurora Investment Management L.L.C. | Investment Company Act Order | 30510
|
Multi-Manager - Voting & Disclosure | |
| 812-14148 | The Royal Bank of Scotland plc, et al. | Investment Company Act Order | 30509
|
Ineligible - Disqualified Firm | |
| 812-13887 | Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC | Investment Company Act Order | 30506
|
Exchange Traded Funds - Index | |
| 812-13915 | Forum Investment Advisors, LLC, et al. | Investment Company Act Notice | 30507
|
Exchange Traded Funds - Active | |
| 812-13886 | Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc. | Investment Company Act Notice | 30503
|
Exchange Traded Funds - Active | |
| 812-14054 | TSC Distributors LLC and TSC UITS | Investment Company Act Order | 30501
|
Unit Investment Trusts - Other | |
| 812-14034 | Royce Focus Trust, Inc., et al. | Investment Company Act Order | 30499
|
Distributions | |
| 812-13880 | Royce Value Trust, Inc., et al. | Investment Company Act Order | 30500
|
Affiliated Sales & Purchases - Adviser | |
| 812-14135 | Beverly Hills Bancorp Inc. | Investment Company Act Notice | 30497
|
Inadvertent Investment Companies - 6c | |
| 812-14078 | Goldman Sachs Trust II, et al. | Investment Company Act Notice | 30496
|
Multi-Manager - Voting & Disclosure | |
| 812-13844 | Corporate Capital Trust, Inc., et al. | Investment Company Act Notice | 30494
|
Co-Investment | |
| 812-14099 | Munder Series Trust, et al. | Investment Company Act Order | 30493
|
Multi-Manager - Voting & Disclosure | |
| 812-14035 | Sage Quant Management LLC, et al. | Investment Company Act Order | 30476
|
Exchange Traded Funds - Index | |
| 813-310 | Stetson Capital Fund LP and Davis Polk & Wardwell LLP | Investment Company Act Order | 30475
|
Employees Securities Company | |
| 812-13848 | Neuberger Berman ETF Trust and Neuberger Berman Management LLC | Investment Company Act Order | 30473
|
Exchange Traded Funds - Active | |
| 812-14081 | Symetra Mutual Funds Trust, et al. | Investment Company Act Notice | 30472
|
Multi-Manager - Voting & Disclosure | |
| 812-14075 | Goldman Sachs Trust, et al. | Investment Company Act Notice | 30471
|
Fund of Funds - Direct Investment | |
| 812-14063 | Lincoln National Life Insurance Company, et al | Investment Company Act Notice | 30468
|
Insurance Products - Substitution Related Affiliated Securities Transactions | |
| 812-14063 | Lincoln National Life Insurance Company, et al | Investment Company Act Notice | 30468
|
Insurance Products - Fund Substitution | |
| 812-13734 | John Hancock Exchange-Traded Fund Trust, et al. | Investment Company Act Notice | 30469
|
Exchange Traded Funds - Active | |
| 812-14104 | Fidelity Merrimack Street Trust, et al. | Investment Company Act Notice | 30464
|
Exchange Traded Funds - Active | |
| 813-370 | JPMorgan Chase & Co., et al. | Investment Company Act Notice | 30465
|
Employees Securities Company | |
| 812-14033 | ING Life Insurance and Annuity Company, et al. | Investment Company Act Order | 30461
|
Insurance Products - Fund Substitution | |
| 812-14113 | Trust for Professional Managers and Aurora Investment Management L.L.C. | Investment Company Act Notice | 30460
|
Multi-Manager - Voting & Disclosure | |
| 812-14148 | The Royal Bank of Scotland plc, et al. | Investment Company Act Notice | 30462
|
Ineligible - Disqualified Firm | |
| 812-14114 | Ivy Funds Variable Insurance Portfolios, et al. | Investment Company Act Order | 30458
|
Fund of Funds - Direct Investment | |
| 812-13887 | Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC | Investment Company Act Notice | 30459
|
Exchange Traded Funds - Index | |
| 812-14079 | Global X Funds, et al. | Investment Company Act Order | 30454
|
Fund of Funds - Multi-Group | |
| 812-14092 | AIP Series Trust and Morgan Stanley AIP GP LP | Investment Company Act Order | 30450
|
Fund of Funds - Multi-Group | |
| 812-13976 | Renaissance Capital Greenwich Funds, et al. | Investment Company Act Order | 30451
|
Exchange Traded Funds - Index | |
| 812-13989 | Krane Funds Advisors LLC., et al. | Investment Company Act Order | 30452
|
Exchange Traded Funds - Index | |
| 812-14054 | TSC Distributors LLC and TSC UITS | Investment Company Act Notice | 30449
|
Unit Investment Trusts - Other | |
| 812-14034 | Royce Focus Trust, Inc., et al. | Investment Company Act Notice | 30447
|
Distributions | |
| 812-13880 | Royce Value Trust, Inc., et al. | Investment Company Act Notice | 30448
|
Affiliated Sales & Purchases - Adviser | |
| 812-14076 | Blackstone Alternative Investment Funds, et al. | Investment Company Act Order | 30444
|
Multi-Manager - Voting & Disclosure | |
| 812-13969 | Exchange Traded Concepts Trust, et al. | Investment Company Act Order | 30445
|
Exchange Traded Funds - Active | |
| 812-14065 | The Advisors' Inner Circle Fund, et al. | Investment Company Act Order | 30443
|
Fund of Funds - Multi-Group | |
| 812-14003 | Cohen & Steers Real Assets Fund, Inc., et al. | Investment Company Act Order | 30442
|
Multi-Manager - Voting & Disclosure | |
| 812-14099 | Munder Series Trust, et al. | Investment Company Act Notice | 30441
|
Multi-Manager - Voting & Disclosure | |
| 812-14035 | Sage Quant Management LLC, et al. | Investment Company Act Notice | 30439
|
Exchange Traded Funds - Index | |
| 813-310 | Stetson Capital Fund LP and Davis Polk & Wardwell LLP | Investment Company Act Notice | 30438
|
Employees Securities Company | |
| 812-14043 | Forward Funds, et al. | Investment Company Act Order | 30437
|
Fund of Funds - Multi-Group | |
| 812-13848 | Neuberger Berman ETF Trust and Neuberger Berman Management LLC | Investment Company Act Notice | 30436
|
Exchange Traded Funds - Active | |
| 812-14125 | Market Vectors ETF Trust, et al. | Investment Company Act Order | 30433
|
Exchange Traded Funds - Index | |
| 812-14077 | Triangle Capital Corporation | Investment Company Act Order | 30432
|
Business Development Companies - Compensation | |
| 812-14033 | ING Life Insurance and Annuity Company, et al. | Investment Company Act Notice | 30431
|
Insurance Products - Fund Substitution | |
| 812-14114 | Ivy Funds Variable Insurance Portfolios, et al. | Investment Company Act Notice | 30427
|
Fund of Funds - Direct Investment | |
| 812-14079 | Global X Funds, et al. | Investment Company Act Notice | 30426
|
Fund of Funds - Multi-Group | |
| 812-13989 | Krane Funds Advisors LLC., et al. | Investment Company Act Notice | 30425
|
Exchange Traded Funds - Index | |
| 812-14105 | UBS AG, et al. | Investment Company Act Order | 30424
|
Ineligible - Disqualified Firm | |
| 812-14117 | Emerging Global Advisors, LLC, et al. | Investment Company Act Order | 30423
|
Exchange Traded Funds - Active | |
| 812-14027 | AdvisorShares Investments, LLC and AdvisorShares Trust | Investment Company Act Order | 30421
|
Multi-Manager - Voting & Disclosure | |
| 812-14092 | AIP Series Trust and Morgan Stanley AIP GP LP | Investment Company Act Notice | 30420
|
Fund of Funds - Multi-Group | |
| 812-13976 | Renaissance Capital Greenwich Funds, et al. | Investment Company Act Notice | 30422
|
Exchange Traded Funds - Index | |
| 812-14076 | Blackstone Alternative Investment Funds, et al. | Investment Company Act Notice | 30416
|
Multi-Manager - Voting & Disclosure | |
| 812-13969 | Exchange Traded Concepts Trust, et al. | Investment Company Act Notice | 30415
|
Exchange Traded Funds - Active | |
| 812-14003 | Cohen & Steers Real Assets Fund, Inc., et al. | Investment Company Act Notice | 30413
|
Multi-Manager - Voting & Disclosure | |
| 812-14065 | The Advisors' Inner Circle Fund, et al. | Investment Company Act Notice | 30412
|
Fund of Funds - Multi-Group | |
| 812-14043 | Forward Funds, et al. | Investment Company Act Notice | 30411
|
Fund of Funds - Multi-Group | |
| 812-14077 | Triangle Capital Corporation | Investment Company Act Notice | 30410
|
Business Development Companies - Compensation | |
| 812-14125 | Market Vectors ETF Trust, et al. | Investment Company Act Notice | 30409
|
Exchange Traded Funds - Index | |
| 812-14036 | AXA Equitable Life Insurance Company, et al. | Investment Company Act Order | 30405
|
Insurance Products - Fund Substitution | |
| 812-14084 | Allianz Variable Insurance Products Fund of Funds Trust, et al. | Investment Company Act Order | 30406
|
Fund of Funds - Direct Investment | |
| 813-374 | WINCO Investment Partnership 2008 L.P. and Winstead PC | Investment Company Act Order | 30407
|
Employees Securities Company | |
| 812-14082 | Symetra Life Insurance Company, et al. | Investment Company Act Order | 30386
|
Fund of Funds - Multi-Group | |
| 812-14091 | Securian Funds Trust, et al. | Investment Company Act Order | 30387
|
Fund of Funds - Direct Investment | |
| 812-14105 | UBS AG, et al. | Investment Company Act Notice | 30383
See Also - 30311 |
Ineligible - Disqualified Firm | |
| 812-14117 | Emerging Global Advisors, LLC, et al. | Investment Company Act Notice | 30382
|
Exchange Traded Funds - Active | |
| 812-14027 | AdvisorShares Investments, LLC and AdvisorShares Trust | Investment Company Act Notice | 30381
|
Multi-Manager - Voting & Disclosure | |
| 812-14094 | J.P. Morgan Securities LLC, et al. | Investment Company Act Order | 30380
|
Ineligible - Disqualified Firm | |
| 812-13895 | First Trust Exchange-Traded Fund, et al. (Notice) | Investment Company Act Order | 30377
|
Fund of Funds - Multi-Group | |
| 812-13486 | Exchange Traded Spreads Trust, et al. | Investment Company Act Order | 30378
|
Exchange Traded Funds - Active |