Investment Company Act Notices and Orders
| File Number | Date | Investment Company | Type | Release Number | Category |
|---|---|---|---|---|---|
| 812-13990 | Pruco Life Insurance Company, et al. | Investment Company Act Notice | 30186
|
Insurance Products - Fund Substitution | |
| 812-13990 | Pruco Life Insurance Company, et al. | Investment Company Act Notice | 30186
|
Affiliated Sales & Purchases - In-Kind | |
| 812-13964 | BlackRock Preferred Partners LLC, et al. | Investment Company Act Order | 30182
|
Multi-Class | |
| 812-13954 | Emerging Global Advisors, LLC, et al. | Investment Company Act Notice | 30184
|
Exchange Traded Funds - Index | |
| 813-379 | Alvarez & Marsal, Inc., et al. | Investment Company Act Notice | 30183
|
Employees Securities Company | |
| 812-13616-09 | Capital Research and Management Company, et al. | Investment Company Act Order | 30173
|
Multi-Manager - Voting & Disclosure | |
| 812-13512 | Cash Account Trust, et al. | Investment Company Act Order | 30172
|
Multi-Manager - Voting & Disclosure | |
| 812-14022 | Saratoga Investment Corp., et al. | Investment Company Act Order | 30171
|
Business Development Companies - Capital Structure | |
| 812-14068 | ReconTrust Company, N.A., et al. | Investment Company Act Notice | 30174
|
Ineligible - Disqualified Firm | |
| 813-248 | P.E. Partners III, LLC, et al. | Investment Company Act Order | 30170
|
Employees Securities Company | |
| 812-13966 | Credit Suisse Asset Management, LLC, et al. | Investment Company Act Order | 30169
|
Fund of Funds - Multi-Group | |
| 812-13913 | LoCorr Fund Management, LLC and LoCorr Investment Trust | Investment Company Act Notice | 30168
|
Multi-Manager - Voting | |
| 812-13956 | IndexIQ Advisors LLC, et al. | Investment Company Act Notice | 30166
|
Exchange Traded Funds - Active | |
| 812-14024 | The Hartford Mutual Funds, Inc., et al. | Investment Company Act Notice | 30164
|
Fund of Funds - Direct Investment | |
| 812-13906 | The Dreyfus Corporation, et al. | Investment Company Act Order | 30163
|
Fund of Funds - Multi-Group | |
| 812-14005 | AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. | Investment Company Act Order | 30162
|
Unit Investment Trusts - Other | |
| 812-13957 | IndexIQ Advisors LLC, et al. | Investment Company Act Order | 30161
|
Multi-Manager - Voting & Disclosure | |
| 812-13964 | BlackRock Preferred Partners LLC, et al. | Investment Company Act Notice | 30160
|
Multi-Class | |
| 812-13833 | AQR Capital Management, LLC, et al. | Investment Company Act Order | 30153
|
Fund of Funds - Multi-Group | |
| 812-13878 | Gladstone Capital Corporation, et al. | Investment Company Act Order | 30154
|
Co-Investment | |
| 812-13616-09 | Capital Research and Management Company, et al. | Investment Company Act Notice | 30150
|
Multi-Manager - Voting & Disclosure | |
| 812-13512 | Cash Account Trust, et al. | Investment Company Act Notice | 30151
|
Multi-Manager - Voting & Disclosure | |
| 812-14022 | Saratoga Investment Corp., et al. | Investment Company Act Notice | 30145
|
Business Development Companies - Capital Structure | |
| 812-13966 | Credit Suisse Asset Management, LLC, et al. | Investment Company Act Notice | 30144
|
Fund of Funds - Multi-Group | |
| 813-248 | P.E. Partners III, LLC, et al. | Investment Company Act Notice | 30143
|
Employees Securities Company | |
| 812-13900 | Franklin Advisers, Inc. and Franklin Templeton International Trust | Investment Company Act Order | 30138
|
Multi-Manager - Voting | |
| 812-13666 | Medallion Financial Corp. | Investment Company Act Order | 30139
|
Business Development Companies - Compensation | |
| 812-13906 | The Dreyfus Corporation, et al. | Investment Company Act Notice | 30137
|
Fund of Funds - Multi-Group | |
| 812-13859-01 | Hirtle Callaghan & Co., LLC and HC Capital Trust | Investment Company Act Order | 30132
|
Multi-Manager - Voting | |
| 812-14008 | Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC | Investment Company Act Order | 30133
|
Multi-Class | |
| 812-14005 | AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. | Investment Company Act Notice | 30134
|
Unit Investment Trusts - Other | |
| 812-13957 | IndexIQ Advisors LLC, et al. | Investment Company Act Notice | 30130
|
Multi-Manager - Voting & Disclosure | |
| 812-13981 | Precidian ETFs Trust, et al. | Investment Company Act Order | 30129
|
Exchange Traded Funds - Index | |
| 812-13937 | Arrow Investment Advisers, LLC, et al. | Investment Company Act Order | 30127
|
Exchange Traded Funds - Active | |
| 812-13833 | AQR Capital Management, LLC, et al. | Investment Company Act Notice | 30128
|
Fund of Funds - Multi-Group | |
| 812-13878 | Gladstone Capital Corporation, et al. | Investment Company Act Notice | 30125
|
Co-Investment | |
| 812-14001 | Hennion & Walsh, Inc. and Smart Trust | Investment Company Act Order | 30122
|
Fund of Funds - Multi-Group | |
| 812-13946 | Federated Investment Management Company and Federated ETF Trust | Investment Company Act Order | 30123
|
Fund of Funds - Multi-Group | |
| 812-13946 | Federated Investment Management Company and Federated ETF Trust | Investment Company Act Order | 30123
|
Exchange Traded Funds - Active | |
| 812-13666 | Medallion Financial Corp. | Investment Company Act Notice | 30121
|
Business Development Companies - Compensation | |
| 812-13900 | Franklin Advisers, Inc. and Franklin Templeton International Trust | Investment Company Act Notice | 30105
|
Multi-Manager - Voting | |
| 812-14029 | Harris & Harris Group, Inc. | Investment Company Act Order | 30104
|
Other | |
| 812-14008 | Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC | Investment Company Act Notice | 30103
|
Multi-Class | |
| 812-13859-01 | Hirtle Callaghan & Co., LLC and HC Capital Trust | Investment Company Act Notice | 30102
|
Multi-Manager - Voting | |
| 812-13981 | Precidian ETFs Trust, et al. | Investment Company Act Notice | 30101
|
Exchange Traded Funds - Index | |
| 812-13937 | Arrow Investment Advisers, LLC, et al. | Investment Company Act Notice | 30100
|
Exchange Traded Funds - Active | |
| 812-13846 | Van Eck VIP Trust, et al. | Investment Company Act Order | 30096
|
Fund of Funds - Multi-Group | |
| 812-14001 | Hennion & Walsh, Inc. and Smart Trust | Investment Company Act Notice | 30092
|
Fund of Funds - Multi-Group | |
| 812-13946 | Federated Investment Management Company and Federated ETF Trust | Investment Company Act Notice | 30093
|
Fund of Funds - Multi-Group | |
| 812-13946 | Federated Investment Management Company and Federated ETF Trust | Investment Company Act Notice | 30093
|
Exchange Traded Funds - Active | |
| 813-194 | SK Private Investment Fund 1998 LLC, et al. | Investment Company Act Order | 30091
|
Employees Securities Company | |
| 812-13574-01 | Destra Capital Investments LLC and Destra Unit Investment Trust | Investment Company Act Order | 30087
|
Unit Investment Trusts - Other | |
| 812-13793 | Steel Partners Holdings L.P. | Investment Company Act Order | 30070
|
Inadvertent Investment Companies - 6c | |
| 812-13986 | GPS Funds I, et al. | Investment Company Act Order | 30067
|
Fund of Funds - Multi-Group | |
| 812-13868 | Northern Trust Investments, Inc., et al. | Investment Company Act Order | 30068
|
Exchange Traded Funds - Active | |
| 812-13927 | Invesco Total Property Market Income Fund, et al. | Investment Company Act Order | 30069
|
Distributions | |
| 812-13627 | Praxis Mutual Funds, et al. | Investment Company Act Order | 30066
|
Affiliated Sales & Purchases - Other | |
| 812-13889 | Advisors Series Trust and Orinda Asset Management, LLC | Investment Company Act Order | 30065
See Also - 32302 |
Multi-Manager - Voting & Disclosure | |
| 812-13767 | Beverly Hills Bancorp Inc. | Investment Company Act Order | 30064
|
Inadvertent Investment Companies - 6c | |
| 812-13846 | Van Eck VIP Trust, et al. | Investment Company Act Notice | 30063
|
Fund of Funds - Multi-Group | |
| 812-13785 | Huntington Asset Advisors, Inc., et al. | Investment Company Act Order | 30061
|
Fund of Funds - Multi-Group | |
| 812-13785 | Huntington Asset Advisors, Inc., et al. | Investment Company Act Order | 30061
|
Exchange Traded Funds - Active | |
| 813-194 | SK Private Investment Fund 1998 LLC, et al. | Investment Company Act Notice | 30060
|
Employees Securities Company | |
| 812-13574-01 | Destra Capital Investments LLC and Destra Unit Investment Trust | Investment Company Act Notice | 30059
|
Unit Investment Trusts - Other | |
| 812-13793 | Steel Partners Holdings L.P. | Investment Company Act Notice | 30056
|
Inadvertent Investment Companies - 6c | |
| 812-13927 | Invesco Total Property Market Income Fund, et al. | Investment Company Act Notice | 30055
|
Distributions | |
| 812-13778 | Sunwest Rollover Member LLC | Investment Company Act Order | 30046
|
Inadvertent Investment Companies - Other | |
| 812-13986 | GPS Funds I, et al. | Investment Company Act Notice | 30044
|
Fund of Funds - Multi-Group | |
| 812-13868 | Northern Trust Investments, Inc., et al. | Investment Company Act Notice | 30045
|
Exchange Traded Funds - Active | |
| 812-13889 | Advisors Series Trust and Orinda Asset Management, LLC | Investment Company Act Notice | 30043
See Also - Intention to Rescind a Prior Order 30065, 32302 |
Multi-Manager - Voting & Disclosure | |
| 812-13627 | Praxis Mutual Funds, et al. | Investment Company Act Notice | 30042
|
Affiliated Sales & Purchases - Other | |
| 813-228 | Jefferies Employees Special Opportunities Partners, LLC, et al. | Investment Company Act Order | 30037
|
Employees Securities Company | |
| 812-13767 | Beverly Hills Bancorp Inc. | Investment Company Act Notice | 30036
|
Inadvertent Investment Companies - 6c | |
| 812-13971 | Domini Social Investment Trust and Domini Social Investments LLC | Investment Company Act Order | 30035
|
Multi-Manager - Voting & Disclosure | |
| 812-13955 | Columbia Funds Master Investment Trust, LLC, et al. | Investment Company Act Order | 30030
|
Fund of Funds - Direct Investment | |
| 812-13996 | Forward Funds, et al. | Investment Company Act Order | 30031
|
Fund of Funds - Direct Investment | |
| 812-13795 | First Trust Exchange-Traded Fund, et al. | Investment Company Act Order | 30029
|
Exchange Traded Funds - Active | |
| 812-13785 | Huntington Asset Advisors, Inc., et al. | Investment Company Act Notice | 30032
|
Fund of Funds - Multi-Group | |
| 812-13785 | Huntington Asset Advisors, Inc., et al. | Investment Company Act Notice | 30032
|
Exchange Traded Funds - Active | |
| 812-13313 | Harris & Harris Group, Inc. | Investment Company Act Order | 30027
|
Business Development Companies - Compensation | |
| 812-13847 | Ares Capital Corporation, et al. | Investment Company Act Order | 30024
|
12(d)(3) - Other | |
| 812-13778 | Sunwest Rollover Member LLC | Investment Company Act Notice | 30014
|
Inadvertent Investment Companies - Other | |
| 812-13879 | Fidus Investment Corporation, et al. | Investment Company Act Order | 30012
|
Business Development Companies - Capital Structure | |
| 812-13493 | American Capital, Ltd., et al. | Investment Company Act Order | 30010
|
12(d)(3) - Other | |
| 812-13882 | Kohlberg Capital Corporation | Investment Company Act Order | 30011
|
12(d)(3) - Other | |
| 812-13787 | Medley Capital Corporation, et al. | Investment Company Act Order | 30009
|
Co-Investment | |
| 812-14007 | Capital Research and Management Company, et al. | Investment Company Act Order | 30033
|
Fund of Funds - Direct Investment | |
| 813-228 | Jefferies Employees Special Opportunities Partners, LLC, et al. | Investment Company Act Notice | 30007
|
Employees Securities Company | |
| 812-13971 | Domini Social Investment Trust and Domini Social Investments LLC | Investment Company Act Notice | 29984
|
Multi-Manager - Voting & Disclosure | |
| 812-13996 | Forward Funds, et al. | Investment Company Act Notice | 29982
|
Fund of Funds - Direct Investment | |
| 812-13795 | First Trust Exchange-Traded Fund, et al. | Investment Company Act Notice | 29983
|
Exchange Traded Funds - Active | |
| 812-13955 | Columbia Funds Master Investment Trust, LLC, et al. | Investment Company Act Notice | 29980
|
Fund of Funds - Direct Investment | |
| 812-13962 | Pacific Life Insurance Company, et al. | Investment Company Act Order | 29979
|
Fund of Funds - Multi-Group | |
| 812-13847 | Ares Capital Corporation, et al. | Investment Company Act Notice | 29977
|
12(d)(3) - Other | |
| 812-13313 | Harris & Harris Group, Inc. | Investment Company Act Notice | 29976
|
Business Development Companies - Compensation | |
| 812-13882 | Kohlberg Capital Corporation | Investment Company Act Notice | 29975
|
12(d)(3) - Other | |
| 812-14007 | Capital Research and Management Company, et al. | Investment Company Act Notice | 29981
|
Fund of Funds - Direct Investment | |
| 812-13879 | Fidus Investment Corporation, et al. | Investment Company Act Notice | 29974
|
Business Development Companies - Capital Structure | |
| 812-13493 | American Capital, Ltd., et al. | Investment Company Act Notice | 29973
|
12(d)(3) - Other | |
| 812-13950 | Henderson Global Funds, et al. | Investment Company Act Order | 29970
|
Fund of Funds - Multi-Group |