812-13910 Aug. 15, 2011
BAC Home Loan Servicing, LP Investment Company Act Order
29753
Ineligible - Disqualified Firm
812-13883 Aug. 10, 2011
Pax World Funds Series Trust, et al. Investment Company Act Notice
29751
Multi-Manager - Voting & Disclosure
812-13773 Aug. 10, 2011
NT ETF Trust Investment Company Act Notice
29752
Fund of Funds - Multi-Group
812-13773 Aug. 10, 2011
NT ETF Trust Investment Company Act Notice
29752
Exchange Traded Funds - Index
812-13143 Aug. 8, 2011
HIGHMARK Funds, et al. Investment Company Act Order
29750
Multi-Manager - Voting
812-13919 Aug. 5, 2011
J.P. Morgan Securities LLC, et al. Investment Company Act Order
29749
Ineligible - Disqualified Firm
812-13741 Aug. 5, 2011
FQF Trust Investment Company Act Order
29747
Fund of Funds - Multi-Group
812-13741 Aug. 5, 2011
FQF Trust Investment Company Act Order
29747
Exchange Traded Funds - Index
812-13860 Aug. 3, 2011
RidgeWorth Funds Investment Company Act Notice
29743
Multi-Manager - Voting
812-13885 Aug. 2, 2011
WNC Tax Credits 40, LLC, et al. Investment Company Act Order
29742
Two-Tier Real Estate Partnerships
812-13916 Aug. 1, 2011
BofA Funds Series Trust, et al. Investment Company Act Notice
29741
Affiliated Sales & Purchases - Adviser
812-13834 July 26, 2011
Sterling Capital Funds, et al. Investment Company Act Order
29738
Multi-Manager - Voting & Disclosure
812-13914 July 26, 2011
J.P. Morgan Securities LLC, et al. Investment Company Act Order
29737
Ineligible - Disqualified Firm
812-13896 July 22, 2011
Harris & Harris Group, Inc. Investment Company Act Order
29736
Other
812-13909 July 21, 2011
ING Asia Pacific High Investment Company Act Notice
29735
Distributions
812-13831 July 19, 2011
TIAA-CREF Funds, et al. Investment Company Act Order
29728
Joint Transaction
812-13815 July 19, 2011
Russell Exchange Traded Funds Trust, et al. Investment Company Act Order
29727
Fund of Funds - Multi-Group
812-13815 July 19, 2011
Russell Exchange Traded Funds Trust, et al. Investment Company Act Order
29727
Exchange Traded Funds - Active
812-13863 July 19, 2011
Northern Lights Var. Trust, et al. Investment Company Act Notice
29729
Insurance Products - Mixed and Shared Funding
812-13910 July 18, 2011
BAC Home Loan Servicing, LP Investment Company Act Notice
29726
Ineligible - Disqualified Firm
812-13843 July 12, 2011
HighMark Funds, et al. Investment Company Act Order
29721
Fund of Funds - Direct Investment
812-13143 July 12, 2011
HIGHMARK Funds, et al. Investment Company Act Notice
29723
Multi-Manager - Voting
812-13919 July 11, 2011
J.P. Morgan Securities LLC, et al. Investment Company Act Notice
29719
Ineligible - Disqualified Firm
812-13741 July 11, 2011
FQF Trust Investment Company Act Notice
29720
Fund of Funds - Multi-Group
812-13741 July 11, 2011
FQF Trust Investment Company Act Notice
29720
Exchange Traded Funds - Index
812-13865 July 7, 2011
Country Investors Life Assurance Co., et al. Investment Company Act Order
29717
Insurance Products - Fund Substitution
812-13821 July 6, 2011
Allianz Life Insurance Company of North America, et al. Investment Company Act Order
29716
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13821 July 6, 2011
Allianz Life Insurance Company of North America, et al. Investment Company Act Order
29716
Insurance Products - Fund Substitution
812-13885 July 6, 2011
WNC Tax Credits 40, LLC, et al. Investment Company Act Notice
29715
Two-Tier Real Estate Partnerships
812-13818 July 1, 2011
Precidian ETFs Trust, et al. Investment Company Act Order
29712
Fund of Funds - Multi-Group
812-13818 July 1, 2011
Precidian ETFs Trust, et al. Investment Company Act Order
29712
Exchange Traded Funds - Index
812-13834 July 1, 2011
Sterling Capital Funds, et al. Investment Company Act Notice
29713
Multi-Manager - Voting & Disclosure
812-13914 June 29, 2011
J.P. Morgan Securities LLC, et al. Investment Company Act Notice
29711
Ineligible - Disqualified Firm
812-13851 June 28, 2011
Altegris Advisors, L.L.C., et al. Investment Company Act Order
29710
Multi-Manager - Voting
812-13791 June 28, 2011
TIAA-CREF Life Insurance Company, et al. Investment Company Act Notice
29709
Insurance Products - Fund Substitution
812-13831 June 24, 2011
TIAA-CREF Funds, et al. Investment Company Act Notice
29707
Joint Transaction
812-13815 June 22, 2011
Russell Exchange Traded Funds Trust, et al. Investment Company Act Notice
29706
Fund of Funds - Multi-Group
812-13815 June 22, 2011
Russell Exchange Traded Funds Trust, et al. Investment Company Act Notice
29706
Exchange Traded Funds - Active
812-13843 June 16, 2011
HighMark Funds, et al. Investment Company Act Notice
29694
Fund of Funds - Direct Investment
812-13821 June 10, 2011
Allianz Life Insurance Company of North America, et al. Investment Company Act Notice
29693
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13821 June 10, 2011
Allianz Life Insurance Company of North America, et al. Investment Company Act Notice
29693
Insurance Products - Fund Substitution
812-13865 June 9, 2011
Country Investors Life Assurance Co., et al. Investment Company Act Notice
29691
Insurance Products - Fund Substitution
812-13818 June 9, 2011
Precidian ETFs Trust, et al. Investment Company Act Notice
29692
Fund of Funds - Multi-Group
812-13818 June 9, 2011
Precidian ETFs Trust, et al. Investment Company Act Notice
29692
Exchange Traded Funds - Index
812-13902 June 6, 2011
UBS AG, et al. Investment Company Act Order
29690
Ineligible - Disqualified Firm
812-13791 June 1, 2011
TIAA-CREF Life Insurance Company, et al. Investment Company Act Order
29687
Insurance Products - Fund Substitution
812-13772 June 1, 2011
PennantPark Investment Corporation, et al. Investment Company Act Order
29686
Business Development Companies - Capital Structure
812-13851 June 1, 2011
Altegris Advisors, L.L.C., et al. Investment Company Act Notice
29689
Multi-Manager - Voting
812-13910 June 1, 2011
BAC Home Loan Servicing, LP Investment Company Act Order
29688
Ineligible - Disqualified Firm
812-13736 May 24, 2011
HighMark Capital Management, Inc., et al. Investment Company Act Order
29675
Affiliated Sales & Purchases - Adviser
812-13669 May 16, 2011
Russell Investment Management Company, et al. Investment Company Act Order
29671
Fund of Funds - Multi-Group
812-13669 May 16, 2011
Russell Investment Management Company, et al. Investment Company Act Order
29671
Exchange Traded Funds - Index
812-13902 May 9, 2011
UBS AG, et al. Investment Company Act Notice
29666
Ineligible - Disqualified Firm
812-13772 May 6, 2011
PennantPark Investment Corporation, et al. Investment Company Act Notice
29665
Business Development Companies - Capital Structure
812-13870 May 3, 2011
Russell Investment Company, et al. Investment Company Act Order
29664
Fund of Funds - Direct Investment
812-13806 April 29, 2011
National Life Insurance Company, et al. Investment Company Act Notice
29662
Insurance Products - Fund Substitution
812-13854 April 26, 2011
Fairholme VP Series Fund, Inc., et al. Investment Company Act Order
29661
Insurance Products - Mixed and Shared Funding
812-13736 April 26, 2011
HighMark Capital Management, Inc., et al. Investment Company Act Notice
29660
Affiliated Sales & Purchases - Adviser
812-13841 April 25, 2011
Jackson National Life Insurance Company, et al. Investment Company Act Order
29658
Insurance Products - Bonus Recapture
812-13842 April 21, 2011
American Family Life Insurance Company, et al. Investment Company Act Order
29656
Insurance Products - Fund Substitution
812-13669 April 20, 2011
Russell Investment Management Company, et al. Investment Company Act Notice
29655
Fund of Funds - Multi-Group
812-13669 April 20, 2011
Russell Investment Management Company, et al. Investment Company Act Notice
29655
Exchange Traded Funds - Index
812-13801 April 19, 2011
Simple Alternatives, LLC, et al. Investment Company Act Order
29629
Multi-Manager - Voting & Disclosure
812-13806 April 7, 2011
National Life Insurance Company, et al. Investment Company Act Order
29627
Insurance Products - Fund Substitution
812-13870 April 6, 2011
Russell Investment Company, et al. Investment Company Act Notice
29623
Fund of Funds - Direct Investment
812-13841 March 31, 2011
Jackson National Life Insurance Company, et al. Investment Company Act Notice
29621
Insurance Products - Bonus Recapture
812-13759 March 30, 2011
Eaton Vance Management, et al. Investment Company Act Order
29620
Fund of Funds - Multi-Group
812-13759 March 30, 2011
Eaton Vance Management, et al. Investment Company Act Order
29620
Exchange Traded Funds - Active
812-13854 March 28, 2011
Fairholme VP Series Fund, Inc., et al. Investment Company Act Notice
29619
Insurance Products - Mixed and Shared Funding
812-13801 March 24, 2011
Simple Alternatives, LLC, et al. Investment Company Act Notice
29616
Multi-Manager - Voting & Disclosure
812-13842 March 24, 2011
American Family Life Insurance Company, et al. Investment Company Act Notice
29617
Insurance Products - Fund Substitution
812-13791 March 22, 2011
TIAA-CREF Life Insurance Company, et al. Investment Company Act Notice
29600
Insurance Products - Fund Substitution
813-361 March 8, 2011
Riverside Casualty, Inc. Investment Company Act Order
29597
Employees Securities Company
813-353 March 8, 2011
Capital International, Inc., et al. Investment Company Act Order
29596
Employees Securities Company
812-13759 March 1, 2011
Eaton Vance Management, et al. Investment Company Act Notice
29591
Fund of Funds - Multi-Group
812-13759 March 1, 2011
Eaton Vance Management, et al. Investment Company Act Notice
29591
Exchange Traded Funds - Active
813-353 Feb. 10, 2011
Capital International, Inc., et al. Investment Company Act Notice
29577
Employees Securities Company
813-361 Feb. 8, 2011
Riverside Casualty, Inc. Investment Company Act Notice
29576
Employees Securities Company
812-13816 Jan. 24, 2011
Met Life Insurance Company of CT, et al. Investment Company Act Order
29570
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13816 Jan. 24, 2011
Met Life Insurance Company of CT, et al. Investment Company Act Order
29570
Insurance Products - Fund Substitution
812-13601 Jan. 24, 2011
iShares Trust, et al. Investment Company Act Order
29571
Exchange Traded Funds - Active
812-13839 Dec. 30, 2010
Nuveen Asset Management, et al. Investment Company Act Order
29546
Fund of Funds - Direct Investment
812-13780 Dec. 29, 2010
American Life Insurance Company, et al. Investment Company Act Order
29545
Insurance Products - Fund Substitution
812-13816 Dec. 28, 2010
Met Life Insurance Company of CT, et al. Investment Company Act Notice
29544
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13816 Dec. 28, 2010
Met Life Insurance Company of CT, et al. Investment Company Act Notice
29544
Insurance Products - Fund Substitution
812-13601 Dec. 27, 2010
iShares Trust, et al. Investment Company Act Notice
29543
Exchange Traded Funds - Active
812-13774 Dec. 14, 2010
ETSpreads, LLC, et al. Investment Company Act Order
29525
Fund of Funds - Multi-Group
812-13774 Dec. 14, 2010
ETSpreads, LLC, et al. Investment Company Act Order
29525
Exchange Traded Funds - Index
812-13698 Dec. 14, 2010
Fifth Street Finance Corp., et al. Investment Company Act Order
29526
Business Development Companies - Capital Structure
812-13487 Dec. 13, 2010
SSgA Funds Management, Inc., et al. Investment Company Act Order
29524
Fund of Funds - Multi-Group
812-13487 Dec. 13, 2010
SSgA Funds Management, Inc., et al. Investment Company Act Order
29524
Exchange Traded Funds - Active
812-13839 Dec. 8, 2010
Nuveen Asset Management, et al. Investment Company Act Notice
29522
Fund of Funds - Direct Investment
812-13780 Nov. 30, 2010
American Life Insurance Company, et al. Investment Company Act Notice
29521
Insurance Products - Fund Substitution
812-13648 Nov. 22, 2010
Nationwide Life Insurance Company, et al. Investment Company Act Order
29505
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13648 Nov. 22, 2010
Nationwide Life Insurance Company, et al. Investment Company Act Order
29505
Insurance Products - Fund Substitution
812-13774 Nov. 18, 2010
ETSpreads, LLC, et al. Investment Company Act Notice
29501
Fund of Funds - Multi-Group
812-13774 Nov. 18, 2010
ETSpreads, LLC, et al. Investment Company Act Notice
29501
Exchange Traded Funds - Index
812-13698 Nov. 18, 2010
Fifth Street Finance Corp., et al. Investment Company Act Notice
29500
Business Development Companies - Capital Structure
812-13487 Nov. 17, 2010
SSgA Funds Management, Inc., et al. Investment Company Act Notice
29499
Fund of Funds - Multi-Group
812-13487 Nov. 17, 2010
SSgA Funds Management, Inc., et al. Investment Company Act Notice
29499
Exchange Traded Funds - Active
