Investment Company Act Notices and Orders

File Number Date Investment Company Type Release Number Category
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
812-14015 Credit Suisse Opportunity Funds, et al. Investment Company Act Order 30376
Fund of Funds - Multi-Group
812-13984 Fidelity Commonwealth Trust, et al. Investment Company Act Order 30375
Exchange Traded Funds - Index