Investment Company Act Notices and Orders
| File Number | Date | Investment Company | Type | Release Number | Category |
|---|---|---|---|---|---|
| 812-14036 | AXA Equitable Life Insurance Company, et al. | Investment Company Act Notice | 30373
|
Insurance Products - Fund Substitution | |
| 813-374 | WINCO Investment Partnership 2008 L.P. and Winstead PC | Investment Company Act Notice | 30374
|
Employees Securities Company | |
| 812-14084 | Allianz Variable Insurance Products Fund of Funds Trust, et al. | Investment Company Act Notice | 30371
|
Fund of Funds - Direct Investment | |
| 812-14082 | Symetra Life Insurance Company, et al. | Investment Company Act Notice | 30353
|
Fund of Funds - Multi-Group | |
| 812-14091 | Securian Funds Trust, et al. | Investment Company Act Notice | 30354
|
Fund of Funds - Direct Investment | |
| 812-13489-01 | Pyxis Capital, L.P., et al. | Investment Company Act Order | 30352
|
Exchange Traded Funds - Active | |
| 812-14042 | Franklin Advisers, Inc., et al. | Investment Company Act Order | 30350
|
Exchange Traded Funds - Active | |
| 812-13874 | Yorkville ETF Trust and Yorkville ETF Advisors, LLC | Investment Company Act Order | 30349
|
Exchange Traded Funds - Index | |
| 812-14094 | J.P. Morgan Securities LLC, et al. | Investment Company Act Notice | 30347
|
Ineligible - Disqualified Firm | |
| 812-13486 | Exchange Traded Spreads Trust, et al. | Investment Company Act Notice | 30346
|
Exchange Traded Funds - Active | |
| 812-13797 | AllianceBernstein Active ETFs, Inc., et al. | Investment Company Act Order | 30343
|
Exchange Traded Funds - Active | |
| 812-14064 | The Adams Express Company and Petroleum & Resources Corporation | Investment Company Act Order | 30344
|
Distributions | |
| 812-13895 | First Trust Exchange-Traded Fund, et al. (Notice) | Investment Company Act Notice | 30345
|
Fund of Funds - Multi-Group | |
| 812-14015 | Credit Suisse Opportunity Funds, et al. | Investment Company Act Notice | 30342
|
Fund of Funds - Multi-Group | |
| 812-13984 | Fidelity Commonwealth Trust, et al. | Investment Company Act Notice | 30341
|
Exchange Traded Funds - Index | |
| 812-13959 | Cambria Investment Management, L.P. and Cambria ETF Trust. | Investment Company Act Order | 30340
|
Exchange Traded Funds - Active | |
| 812-13959 | Cambria Investment Management, L.P. and Cambria ETF Trust. | Investment Company Act Order | 30340
|
Exchange Traded Funds - Active | |
| 812-14013 | ING Investments, LLC, et al. | Investment Company Act Order | 30337
|
Joint Transaction | |
| 812-14040 | Hatteras Variable Trust, et al. | Investment Company Act Order | 30338
|
Insurance Products - Mixed and Shared Funding | |
| 812-13726 | T. Rowe Price Associates, Inc., et al. | Investment Company Act Order | 30336
|
Exchange Traded Funds - Active | |
| 812-14059 | Mutual of America Life Insurance Company, et al. | Investment Company Act Order | 30335
|
Insurance Products - Fund Substitution | |
| 812-14059 | Mutual of America Life Insurance Company, et al. | Investment Company Act Order | 30335
|
Affiliated Sales & Purchases - In-Kind | |
| 812-14047 | Lord, Abbett & Co. LLC, et al. | Investment Company Act Order | 30334
|
Fund of Funds - Direct Investment | |
| 812-14055 | PNC Capital Advisors, LLC, et al. | Investment Company Act Order | 30333
|
Fund of Funds - Direct Investment | |
| 812-14023 | Foreside Advisor Services, LLC, et al. | Investment Company Act Order | 30318
|
Exchange Traded Funds - Index | |
| 812-14026 | Blackstone Alternative Alpha Fund, et al. | Investment Company Act Order | 30317
|
Multi-Class | |
| 812-13871 | William Blair & Company, L.L.C. and William Blair Funds | Investment Company Act Order | 30314
|
Affiliated Sales & Purchases - Other | |
| 812-13489-01 | Pyxis Capital, L.P., et al. | Investment Company Act Notice | 30316
|
Exchange Traded Funds - Active | |
| 812-14105 | UBS AG, et al. | Investment Company Act Order | 30311
|
Ineligible - Disqualified Firm | |
| 812-14042 | Franklin Advisers, Inc., et al. | Investment Company Act Notice | 30312
|
Exchange Traded Funds - Active | |
| 812-13874 | Yorkville ETF Trust and Yorkville ETF Advisors, LLC | Investment Company Act Notice | 30306
|
Exchange Traded Funds - Index | |
| 812-13797 | AllianceBernstein Active ETFs, Inc., et al. | Investment Company Act Notice | 30305
|
Exchange Traded Funds - Active | |
| 812-14064 | The Adams Express Company and Petroleum & Resources Corporation | Investment Company Act Notice | 30304
|
Distributions | |
| 812-14074 | Wells Fargo Bank, N.A., et al. | Investment Company Act Order | 30303
See Also - 30210 |
Ineligible - Disqualified Firm | |
| 812-13959 | Cambria Investment Management, L.P. and Cambria ETF Trust. | Investment Company Act Notice | 30302
|
Exchange Traded Funds - Active | |
| 812-14037 | Columbia ETF Trust, et al. | Investment Company Act Order | 30301
|
Affiliated Sales & Purchases - Other | |
| 812-13726 | T. Rowe Price Associates, Inc., et al. | Investment Company Act Notice | 30299
|
Exchange Traded Funds - Active | |
| 812-14013 | ING Investments, LLC, et al. | Investment Company Act Notice | 30295
|
Joint Transaction | |
| 812-14040 | Hatteras Variable Trust, et al. | Investment Company Act Notice | 30296
|
Insurance Products - Mixed and Shared Funding | |
| 812-14047 | Lord, Abbett & Co. LLC, et al. | Investment Company Act Notice | 30297
|
Fund of Funds - Direct Investment | |
| 812-14055 | PNC Capital Advisors, LLC, et al. | Investment Company Act Notice | 30298
|
Fund of Funds - Direct Investment | |
| 812-14006 | Highland Associates, Inc. and Financial Investors Trust | Investment Company Act Order | 30291
|
Multi-Manager - Voting | |
| 812-14059 | Mutual of America Life Insurance Company, et al. | Investment Company Act Notice | 30292
|
Insurance Products - Fund Substitution | |
| 812-14059 | Mutual of America Life Insurance Company, et al. | Investment Company Act Notice | 30292
|
Affiliated Sales & Purchases - In-Kind | |
| 812-13731 | Fidelity Aberdeen Street Trust, et al. | Investment Company Act Order | 30288
|
Interfund Lending | |
| 812-13959 | Cambria Investment Management, L.P. and Cambria ETF Trust. | Investment Company Act Notice | 30286
|
Exchange Traded Funds - Active | |
| 812-14023 | Foreside Advisor Services, LLC, et al. | Investment Company Act Notice | 30284
|
Exchange Traded Funds - Index | |
| 812-13871 | William Blair & Company, L.L.C. and William Blair Funds | Investment Company Act Notice | 30285
|
Affiliated Sales & Purchases - Other | |
| 812-14062 | Arden Investment Series Trust and Arden Asset Management LLC | Investment Company Act Order | 30283
|
Multi-Manager - Voting & Disclosure | |
| 812-13974 | Salient Advisors, L.P. and MarketShares ETF Trust | Investment Company Act Order | 30281
|
Exchange Traded Funds - Active | |
| 812-14026 | Blackstone Alternative Alpha Fund, et al. | Investment Company Act Notice | 30280
|
Multi-Class | |
| 812-13740 | Van Eck Funds, et al. | Investment Company Act Order | 30279
|
Co-Investment | |
| 812-14056 | PNC Capital Advisors, LLC, et al. | Investment Company Act Order | 30271
|
Fund of Funds - Multi-Group | |
| 812-14050 | Neuberger Berman Alternative Funds, et al. | Investment Company Act Order | 30267
|
Fund of Funds - Multi-Group | |
| 812-13757 | Legg Mason ETF Trust, et al. | Investment Company Act Order | 30265
|
Exchange Traded Funds - Active | |
| 812-14074 | Wells Fargo Bank, N.A., et al. | Investment Company Act Notice | 30266
See Also - 30210 |
Ineligible - Disqualified Firm | |
| 812-14012 | Trust for Professional Managers, et al. | Investment Company Act Order | 30263
|
Multi-Manager - Voting & Disclosure | |
| 812-14019 | Medley Capital Corporation, et al. | Investment Company Act Order | 30262
|
Business Development Companies - Capital Structure | |
| 812-14037 | Columbia ETF Trust, et al. | Investment Company Act Notice | 30260
|
Affiliated Sales & Purchases - Other | |
| 812-14006 | Highland Associates, Inc. and Financial Investors Trust | Investment Company Act Notice | 30259
|
Multi-Manager - Voting | |
| 812-13731 | Fidelity Aberdeen Street Trust, et al. | Investment Company Act Notice | 30258
|
Interfund Lending | |
| 812-14011 | Permal Hedge Strategies Fund, et al. | Investment Company Act Order | 30257
|
Multi-Class | |
| 812-14062 | Arden Investment Series Trust and Arden Asset Management LLC | Investment Company Act Notice | 30255
|
Multi-Manager - Voting & Disclosure | |
| 812-13974 | Salient Advisors, L.P. and MarketShares ETF Trust | Investment Company Act Notice | 30254
|
Exchange Traded Funds - Active | |
| 812-13740 | Van Eck Funds, et al. | Investment Company Act Notice | 30252
|
Co-Investment | |
| 812-14000 | PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. | Investment Company Act Order | 30241
|
Multi-Manager - Voting & Disclosure | |
| 812-13820 | PowerShares Exchange-Traded Fund Trust, et al. | Investment Company Act Order | 30238
|
Fund of Funds - Multi-Group | |
| 812-13968 | Northern Trust Investments, Inc., et al. | Investment Company Act Order | 30240
|
Exchange Traded Funds - Index | |
| 812-14056 | PNC Capital Advisors, LLC, et al. | Investment Company Act Notice | 30239
|
Fund of Funds - Multi-Group | |
| 812-14050 | Neuberger Berman Alternative Funds, et al. | Investment Company Act Notice | 30236
|
Fund of Funds - Multi-Group | |
| 812-13757 | Legg Mason ETF Trust, et al. | Investment Company Act Notice | 30237
|
Exchange Traded Funds - Active | |
| 812-14012 | Trust for Professional Managers, et al. | Investment Company Act Notice | 30235
|
Multi-Manager - Voting & Disclosure | |
| 812-13985 | Financial Investors Trust, et al. | Investment Company Act Order | 30233
|
Fund of Funds - Multi-Group | |
| 812-14019 | Medley Capital Corporation, et al. | Investment Company Act Notice | 30234
|
Business Development Companies - Capital Structure | |
| 812-13988-01 | Neuberger Berman Alternative Funds, et al. | Investment Company Act Order | 30232
|
Multi-Manager - Voting & Disclosure | |
| 812-13967 | Wells Fargo Funds Trust, et al. | Investment Company Act Order | 30231
|
Fund of Funds - Multi-Group | |
| 812-13934 | Factor Advisors, LLC, et al. | Investment Company Act Order | 30230
|
Exchange Traded Funds - Index | |
| 812-13993 | Prudential Investment Portfolios 3, et al. | Investment Company Act Order | 30229
|
Fund of Funds - Multi-Group | |
| 812-14011 | Permal Hedge Strategies Fund, et al. | Investment Company Act Notice | 30228
|
Multi-Class | |
| 812-13998 | Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC | Investment Company Act Order | 30226
|
Distributions | |
| 812-14000 | PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. | Investment Company Act Notice | 30224
|
Multi-Manager - Voting & Disclosure | |
| 812-13820 | PowerShares Exchange-Traded Fund Trust, et al. | Investment Company Act Notice | 30222
|
Fund of Funds - Multi-Group | |
| 812-13954 | Emerging Global Advisors, LLC, et al. | Investment Company Act Order | 30212
|
Exchange Traded Funds - Index | |
| 813-379 | Alvarez & Marsal, Inc., et al. | Investment Company Act Order | 30214
|
Employees Securities Company | |
| 812-13933 | Cash Account Trust, et al. | Investment Company Act Order | 30215
|
Affiliated Sales & Purchases - Adviser | |
| 812-13968 | Northern Trust Investments, Inc., et al. | Investment Company Act Notice | 30211
|
Exchange Traded Funds - Index | |
| 812-14074 | Wells Fargo Bank, N.A., et al. | Investment Company Act Order | 30210
|
Ineligible - Disqualified Firm | |
| 812-13990 | Pruco Life Insurance Company, et al. | Investment Company Act Order | 30209
|
Insurance Products - Fund Substitution | |
| 812-13990 | Pruco Life Insurance Company, et al. | Investment Company Act Order | 30209
|
Affiliated Sales & Purchases - In-Kind | |
| 812-13988-01 | Neuberger Berman Alternative Funds, et al. | Investment Company Act Notice | 30206
|
Multi-Manager - Voting & Disclosure | |
| 812-13985 | Financial Investors Trust, et al. | Investment Company Act Notice | 30205
|
Fund of Funds - Multi-Group | |
| 812-14068 | ReconTrust Company, N.A., et al. | Investment Company Act Order | 30203
|
Ineligible - Disqualified Firm | |
| 812-13934 | Factor Advisors, LLC, et al. | Investment Company Act Notice | 30204
|
Exchange Traded Funds - Index | |
| 812-13967 | Wells Fargo Funds Trust, et al. | Investment Company Act Notice | 30201
|
Fund of Funds - Multi-Group | |
| 812-13913 | LoCorr Fund Management, LLC and LoCorr Investment Trust | Investment Company Act Order | 30199
|
Multi-Manager - Voting | |
| 812-13993 | Prudential Investment Portfolios 3, et al. | Investment Company Act Notice | 30200
|
Fund of Funds - Multi-Group | |
| 812-13956 | IndexIQ Advisors LLC, et al. | Investment Company Act Order | 30198
|
Exchange Traded Funds - Active | |
| 812-14024 | The Hartford Mutual Funds, Inc., et al. | Investment Company Act Order | 30194
|
Fund of Funds - Direct Investment | |
| 812-13998 | Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC | Investment Company Act Notice | 30195
|
Distributions | |
| 812-13933 | Cash Account Trust, et al. | Investment Company Act Notice | 30188
|
Affiliated Sales & Purchases - Adviser |