812-13983 Feb. 28, 2012
DoubleLine Capital LP and DoubleLine Funds Trust Investment Company Act Order
29971
Fund of Funds - Direct Investment
812-13634 Feb. 28, 2012
Rand Capital Corporation, et al. Investment Company Act Order
29972
Business Development Companies - Capital Structure
812-13982 Feb. 27, 2012
Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC Investment Company Act Order
29967
Fund of Funds - Direct Investment
812-13787 Feb. 27, 2012
Medley Capital Corporation, et al. Investment Company Act Notice
29968
Co-Investment
812-13965 Feb. 22, 2012
Preservation Trust Advisors, LLC and Northern Lights Fund Trust Investment Company Act Order
29951
Multi-Manager - Voting
812-13994 Feb. 22, 2012
GE Asset Management Incorporated, et al. Investment Company Act Order
29952
Ineligible - Disqualified Firm
812-13921 Feb. 21, 2012
Incapital LLC and Incapital Unit Trust Investment Company Act Order
29949
Unit Investment Trusts - Other
812-13804 Feb. 14, 2012
Main Street Capital Corporation, et al. Investment Company Act Order
29946
Joint Transaction
812-13903 Feb. 14, 2012
New York Life Insurance & Annuity Company, et al. Investment Company Act Order
29947
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13903 Feb. 14, 2012
New York Life Insurance & Annuity Company, et al. Investment Company Act Order
29947
Insurance Products - Fund Substitution
812-13962 Feb. 13, 2012
Pacific Life Insurance Company, et al. Investment Company Act Notice
29944
Fund of Funds - Multi-Group
812-13983 Feb. 2, 2012
DoubleLine Capital LP and DoubleLine Funds Trust Investment Company Act Notice
29943
Fund of Funds - Direct Investment
812-13857 Feb. 1, 2012
Central Securities Corporation Investment Company Act Order
29940
Other
812-13950 Feb. 1, 2012
Henderson Global Funds, et al. Investment Company Act Notice
29942
Fund of Funds - Multi-Group
812-13634 Feb. 1, 2012
Rand Capital Corporation, et al. Investment Company Act Notice
29941
Business Development Companies - Capital Structure
812-13982 Jan. 30, 2012
Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC Investment Company Act Notice
29939
Fund of Funds - Direct Investment
812-13965 Jan. 26, 2012
Preservation Trust Advisors, LLC and Northern Lights Fund Trust Investment Company Act Notice
29937
Multi-Manager - Voting
812-13781 Jan. 24, 2012
Cantilever Capital, LLC and Cantilever Group, LLC Investment Company Act Order
29925
12(d)(3) - Other
812-13921 Jan. 24, 2012
Incapital LLC and Incapital Unit Trust Investment Company Act Notice
29924
Unit Investment Trusts - Other
812-13994 Jan. 24, 2012
GE Asset Management Incorporated, et al. Investment Company Act Notice
29926
Ineligible - Disqualified Firm
812-13903 Jan. 19, 2012
New York Life Insurance & Annuity Company, et al. Investment Company Act Notice
29923
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13903 Jan. 19, 2012
New York Life Insurance & Annuity Company, et al. Investment Company Act Notice
29923
Insurance Products - Fund Substitution
812-13777 Jan. 17, 2012
Rio Tinto plc and Rio Tinto Limited Investment Company Act Order
29921
Inadvertent Investment Companies - 3b2
812-13478 Jan. 17, 2012
Highland Capital Management, L.P., et al. Investment Company Act Order
29918
Fund of Funds - Multi-Group
812-13478 Jan. 17, 2012
Highland Capital Management, L.P., et al. Investment Company Act Order
29918
Exchange Traded Funds - Index
812-13804 Jan. 17, 2012
Main Street Capital Corporation, et al. Investment Company Act Notice
29922
Joint Transaction
812-13930 Jan. 10, 2012
American Century Strategic Asset Allocations, Inc., et al. Investment Company Act Order
29916
Fund of Funds - Direct Investment
812-13857 Jan. 6, 2012
Central Securities Corporation Investment Company Act Notice
29915
Other
812-13987 Jan. 4, 2012
Wells Fargo Bank, N.A., et al. Investment Company Act Order
29914
Ineligible - Disqualified Firm
812-13952 Jan. 4, 2012
Seasons Series Trust, et al. Investment Company Act Order
29914
Fund of Funds - Direct Investment
812-13781 Dec. 29, 2011
Cantilever Capital, LLC and Cantilever Group, LLC Investment Company Act Notice
29896
12(d)(3) - Other
812-13939 Dec. 21, 2011
AllianceBernstein Cap Fund, Inc., et al. Investment Company Act Order
29892
Fund of Funds - Direct Investment
812-13935 Dec. 19, 2011
Genesis Capital, LLC and Northern Lights Fund Trust Investment Company Act Order
29888
Multi-Manager - Voting
812-13777 Dec. 19, 2011
Rio Tinto plc and Rio Tinto Limited Investment Company Act Notice
29889
Inadvertent Investment Companies - 3b2
812-13478 Dec. 19, 2011
Highland Capital Management, L.P., et al. Investment Company Act Notice
29890
Fund of Funds - Multi-Group
812-13478 Dec. 19, 2011
Highland Capital Management, L.P., et al. Investment Company Act Notice
29890
Exchange Traded Funds - Index
812-13621 Dec. 14, 2011
John Hancock Variable Insurance Trust, et al. Investment Company Act Order
29885
Interfund Lending
812-13929 Dec. 14, 2011
SEI Investments Management Corporation, et al. Investment Company Act Order
29884
Fund of Funds - Direct Investment
812-13936 Dec. 13, 2011
Bandon Capital Management, LLC and Northern Lights Fund Trust Investment Company Act Order
29882
Multi-Manager - Voting
812-13930 Dec. 13, 2011
American Century Strategic Asset Allocations, Inc., et al. Investment Company Act Notice
29883
Fund of Funds - Direct Investment
812-13987 Dec. 9, 2011
Wells Fargo Bank, N.A., et al. Investment Company Act Notice
29881
Ineligible - Disqualified Firm
812-13944 Dec. 8, 2011
The Singapore Fund, Inc. Investment Company Act Order
29880
Affiliated Sales & Purchases - In-Kind
812-13952 Dec. 8, 2011
Seasons Series Trust, et al. Investment Company Act Notice
29879
Fund of Funds - Direct Investment
812-13939 Nov. 29, 2011
AllianceBernstein Cap Fund, Inc., et al. Investment Company Act Notice
29876
Fund of Funds - Direct Investment
813-377 Nov. 22, 2011
Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC Investment Company Act Order
29869
Employees Securities Company
812-13935 Nov. 21, 2011
Genesis Capital, LLC and Northern Lights Fund Trust Investment Company Act Notice
29867
Multi-Manager - Voting
812-13621 Nov. 18, 2011
John Hancock Variable Insurance Trust, et al. Investment Company Act Notice
29865
Interfund Lending
812-13929 Nov. 18, 2011
SEI Investments Management Corporation, et al. Investment Company Act Notice
29866
Fund of Funds - Direct Investment
812-13755 Nov. 17, 2011
RiverPark Advisors, LLC, et al. Investment Company Act Order
29863
Fund of Funds - Multi-Group
812-13755 Nov. 17, 2011
RiverPark Advisors, LLC, et al. Investment Company Act Order
29863
Exchange Traded Funds - Active
812-13936 Nov. 17, 2011
Bandon Capital Management, LLC and Northern Lights Fund Trust Investment Company Act Notice
29864
Multi-Manager - Voting
812-13695 Nov. 10, 2011
NGP Capital Resources Company, et al. Investment Company Act Order
29860
Co-Investment
812-13830 Oct. 28, 2011
Global X Funds, et al. Investment Company Act Order
29852
Fund of Funds - Multi-Group
812-13830 Oct. 28, 2011
Global X Funds, et al. Investment Company Act Order
29852
Exchange Traded Funds - Index
813-377 Oct. 27, 2011
Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC Investment Company Act Notice
29851
Employees Securities Company
812-13606 Oct. 26, 2011
MFS Series Trust I, et al. Investment Company Act Order
29849
Interfund Lending
812-13922 Oct. 26, 2011
Incapital LLC, et al. Investment Company Act Order
29850
Fund of Funds - Multi-Group
812-13869 Oct. 25, 2011
Principal Funds Inc. Investment Company Act Order
29843
Interfund Lending
812-13575 Oct. 25, 2011
Destracom Investments LLC Investment Company Act Order
29842
Fund of Funds - Multi-Group
812-13755 Oct. 19, 2011
RiverPark Advisors, LLC, et al. Investment Company Act Notice
29840
Fund of Funds - Multi-Group
812-13755 Oct. 19, 2011
RiverPark Advisors, LLC, et al. Investment Company Act Notice
29840
Exchange Traded Funds - Active
812-13893 Oct. 18, 2011
Fifth Third Funds and Fifth Investment Company Act Order
29839
Fund of Funds - Multi-Group
812-13943 Oct. 18, 2011
DFA Investment Dimensions Group, Inc., et al. Investment Company Act Order
29838
Fund of Funds - Direct Investment
812-13855 Oct. 17, 2011
Curian Series Trust, et al. Investment Company Act Order
29836
Multi-Manager - Voting
812-13866 Oct. 15, 2011
ASGI Agility Income Fund Investment Company Act Order
29837
Multi-Class
812-13891 Oct. 12, 2011
Investment Managers Ser Investment Company Act Order
29833
Multi-Manager - Voting & Disclosure
812-13892 Oct. 12, 2011
Legg Mason Partners Equity Trust, et al. Investment Company Act Order
29835
Fund of Funds - Direct Investment
812-13890 Oct. 12, 2011
Highland Capital Management, L.P. Investment Company Act Order
29832
Fund of Funds - Direct Investment
812-13867 Oct. 12, 2011
Stone Harbor Investment Partners LP Investment Company Act Order
29834
Distributions
812-13695 Oct. 7, 2011
NGP Capital Resources Company, et al. Investment Company Act Notice
29831
Co-Investment
812-13931 Oct. 4, 2011
Stone Harbor Investment Investment Company Act Order
29830
Fund of Funds - Direct Investment
812-13606 Sept. 30, 2011
MFS Series Trust I, et al. Investment Company Act Notice
29827
Interfund Lending
812-13922 Sept. 30, 2011
Incapital LLC, et al. Investment Company Act Notice
29828
Fund of Funds - Multi-Group
812-13830 Sept. 30, 2011
Global X Funds, et al. Investment Company Act Notice
29829
Fund of Funds - Multi-Group
812-13830 Sept. 30, 2011
Global X Funds, et al. Investment Company Act Notice
29829
Exchange Traded Funds - Index
812-13869 Sept. 29, 2011
Principal Funds Inc. Investment Company Act Notice
29824
Interfund Lending
812-13575 Sept. 29, 2011
Destracom Investments LLC Investment Company Act Notice
29825
Fund of Funds - Multi-Group
812-13876 Sept. 27, 2011
Horizon Technology Finance Corp. Investment Company Act Order
29821
Business Development Companies - Capital Structure
812-13893 Sept. 22, 2011
Fifth Third Funds and Fifth Investment Company Act Notice
29819
Fund of Funds - Multi-Group
812-13943 Sept. 22, 2011
DFA Investment Dimensions Group, Inc., et al. Investment Company Act Notice
29820
Fund of Funds - Direct Investment
812-13944 Sept. 22, 2011
The Singapore Fund, Inc. Investment Company Act Notice
29817
Affiliated Sales & Purchases - In-Kind
812-13855 Sept. 19, 2011
Curian Series Trust, et al. Investment Company Act Notice
29794
Multi-Manager - Voting
812-13866 Sept. 19, 2011
ASGI Agility Income Fund Investment Company Act Notice
29793
Multi-Class
812-13867 Sept. 16, 2011
Stone Harbor Investment Partners LP Investment Company Act Notice
29791
Distributions
812-13892 Sept. 15, 2011
Legg Mason Partners Equity Trust, et al. Investment Company Act Notice
29789
Fund of Funds - Direct Investment
812-13890 Sept. 15, 2011
Highland Capital Management, L.P. Investment Company Act Notice
29790
Fund of Funds - Direct Investment
812-13794 Sept. 13, 2011
Golub Capital BDC, Inc. Investment Company Act Order
29786
Business Development Companies - Capital Structure
812-13891 Sept. 13, 2011
Investment Managers Ser Investment Company Act Notice
29787
Multi-Manager - Voting & Disclosure
812-13862 Sept. 12, 2011
Tortoise Power & Energy Infrastructure Fund Inc. Investment Company Act Order
29785
Distributions
812-13883 Sept. 7, 2011
Pax World Funds Series Trust, et al. Investment Company Act Order
29783
Multi-Manager - Voting & Disclosure
812-13931 Sept. 7, 2011
Stone Harbor Investment Investment Company Act Notice
29784
Fund of Funds - Direct Investment
812-13773 Sept. 6, 2011
NT ETF Trust Investment Company Act Order
29782
Fund of Funds - Multi-Group
812-13773 Sept. 6, 2011
NT ETF Trust Investment Company Act Order
29782
Exchange Traded Funds - Index
812-13876 Aug. 31, 2011
Horizon Technology Finance Corp. Investment Company Act Notice
29777
Business Development Companies - Capital Structure
812-13860 Aug. 30, 2011
RidgeWorth Funds Investment Company Act Order
29773
Multi-Manager - Voting
812-13853 Aug. 30, 2011
American Capital, Ltd. Investment Company Act Order
29774
Business Development Companies - Compensation
812-13853 Aug. 29, 2011
American Capital, Ltd. Investment Company Act Notice
29744
Business Development Companies - Compensation
812-13916 Aug. 24, 2011
BofA Funds Series Trust, et al. Investment Company Act Order
29769
Affiliated Sales & Purchases - Adviser
812-13863 Aug. 16, 2011
Northern Lights Var. Trust, et al. Investment Company Act Order
29757
Insurance Products - Mixed and Shared Funding
812-13909 Aug. 16, 2011
ING Asia Pacific High Investment Company Act Order
29754
Distributions
