812-13808 Nov. 15, 2010
Citigroup Global Markets Inc., et al. Investment Company Act Order
29498
Ineligible - Disqualified Firm
812-13605 Nov. 3, 2010
Van Eck Associates Corporation, et al. Investment Company Act Order
29496
Fund of Funds - Multi-Group
812-13605 Nov. 3, 2010
Van Eck Associates Corporation, et al. Investment Company Act Order
29496
Exchange Traded Funds - Active
812-13657 Nov. 2, 2010
Claymore Exchange-Traded Fund Trust, et al. Investment Company Act Order
29494
Fund of Funds - Multi-Group
812-13657 Nov. 2, 2010
Claymore Exchange-Traded Fund Trust, et al. Investment Company Act Order
29494
Exchange Traded Funds - Index
812-13582 Oct. 27, 2010
Dolby Laboratories, Inc. Investment Company Act Order
29492
Inadvertent Investment Companies - 3b2
812-13770 Oct. 26, 2010
Highland Capital Management, L.P. and Highland Funds I Investment Company Act Order
29488
Multi-Manager - Voting & Disclosure
812-13786 Oct. 26, 2010
Northern Lights Fund Trust, et al. Investment Company Act Order
29487
Fund of Funds - Direct Investment
812-13624 Oct. 26, 2010
Van Eck Associates Corporation, et al. Investment Company Act Order
29490
Exchange Traded Funds - Index
813-358 Oct. 26, 2010
RIEF RMP LLC and Renaissance Technologies LLC Investment Company Act Order
29489
Employees Securities Company
812-13769 Oct. 26, 2010
Capital Southwest Corporation Investment Company Act Order
29491
Business Development Companies - Compensation
812-13708 Oct. 25, 2010
American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company Investment Company Act Order
29483
Multi-Manager - Voting & Disclosure
812-13765 Oct. 25, 2010
Jackson National Life Insurance Company, et al. Investment Company Act Order
29484
Fund of Funds - Multi-Group
813-373 Oct. 25, 2010
Elfun Trusts, et al. Investment Company Act Order
29485
Employees Securities Company
812-13648 Oct. 25, 2010
Nationwide Life Insurance Company, et al. Investment Company Act Notice
29486
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13648 Oct. 25, 2010
Nationwide Life Insurance Company, et al. Investment Company Act Notice
29486
Insurance Products - Fund Substitution
812-13771 Oct. 22, 2010
Triangle Capital Corporation, et al. Investment Company Act Order
29482
Business Development Companies - Capital Structure
812-13808 Oct. 19, 2010
Citigroup Global Markets Inc., et al. Investment Company Act Notice
29464
Ineligible - Disqualified Firm
812-13714 Oct. 8, 2010
American Capital, Ltd. Investment Company Act Order
29460
Business Development Companies - Compensation
812-13657 Oct. 7, 2010
Claymore Exchange-Traded Fund Trust, et al. Investment Company Act Notice
29458
Fund of Funds - Multi-Group
812-13657 Oct. 7, 2010
Claymore Exchange-Traded Fund Trust, et al. Investment Company Act Notice
29458
Exchange Traded Funds - Index
812-13605 Oct. 7, 2010
Van Eck Associates Corporation, et al. Investment Company Act Notice
29459
Fund of Funds - Multi-Group
812-13605 Oct. 7, 2010
Van Eck Associates Corporation, et al. Investment Company Act Notice
29459
Exchange Traded Funds - Active
812-13465 Oct. 5, 2010
Tri-Continental Corporation, et al. Investment Company Act Order
29457
Distributions
812-13582 Oct. 1, 2010
Dolby Laboratories, Inc. Investment Company Act Notice
29454
Inadvertent Investment Companies - 3b2
812-13624 Oct. 1, 2010
Van Eck Associates Corporation, et al. Investment Company Act Notice
29455
Exchange Traded Funds - Index
812-13786 Sept. 30, 2010
Northern Lights Fund Trust, et al. Investment Company Act Notice
29452
Fund of Funds - Direct Investment
812-13771 Sept. 30, 2010
Triangle Capital Corporation, et al. Investment Company Act Notice
29453
Business Development Companies - Capital Structure
813-359 Sept. 29, 2010
Tudor Employee Investment Fund LLC and Tudor Investment Corporation Investment Company Act Order
29449
Employees Securities Company
812-13769 Sept. 29, 2010
Capital Southwest Corporation Investment Company Act Notice
29450
Business Development Companies - Compensation
812-13661 Sept. 28, 2010
Transamerica Asset Management, Inc., et al. Investment Company Act Order
29447
Fund of Funds - Multi-Group
813-358 Sept. 28, 2010
RIEF RMP LLC and Renaissance Technologies LLC Investment Company Act Notice
29446
Employees Securities Company
812-13775 Sept. 27, 2010
Aston Funds, et al. Investment Company Act Order
29443
Fund of Funds - Multi-Group
812-13708 Sept. 27, 2010
American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company Investment Company Act Notice
29444
Multi-Manager - Voting & Disclosure
812-13770 Sept. 27, 2010
Highland Capital Management, L.P. and Highland Funds I Investment Company Act Notice
29445
Multi-Manager - Voting & Disclosure
812-13765 Sept. 27, 2010
Jackson National Life Insurance Company, et al. Investment Company Act Notice
29442
Fund of Funds - Multi-Group
813-373 Sept. 27, 2010
Elfun Trusts, et al. Investment Company Act Notice
29441
Employees Securities Company
812-13763 Sept. 21, 2010
The Integrity Funds, et al. Investment Company Act Order
29418
Multi-Manager - Voting
812-13714 Sept. 14, 2010
American Capital, Ltd. Investment Company Act Notice
29416
Business Development Companies - Compensation
812-13465 Sept. 10, 2010
Tri-Continental Corporation, et al. Investment Company Act Notice
29415
Distributions
812-13733 Sept. 8, 2010
WisdomTree Asset Management, Inc. and WisdomTree Trust Investment Company Act Order
29412
Multi-Manager - Voting
812-13661 Sept. 3, 2010
Transamerica Asset Management, Inc., et al. Investment Company Act Notice
29410
Fund of Funds - Multi-Group
813-359 Sept. 3, 2010
Tudor Employee Investment Fund LLC and Tudor Investment Corporation Investment Company Act Notice
29409
Employees Securities Company
813-375 Aug. 31, 2010
The Blackstone Group, L.P. Investment Company Act Order
29406
Employees Securities Company
812-13623 Aug. 31, 2010
Kohlberg Capital Corp Investment Company Act Order
29407
Business Development Companies - Compensation
812-13775 Aug. 26, 2010
Aston Funds, et al. Investment Company Act Notice
29400
Fund of Funds - Multi-Group
812-13807 Aug. 25, 2010
GE Asset Management Incorporated, et al. Investment Company Act Order
29385
Ineligible - Disqualified Firm
812-13709 Aug. 25, 2010
Millington Securities, Inc., et al. Investment Company Act Order
29386
Fund of Funds - Multi-Group
812-13763 Aug. 25, 2010
The Integrity Funds, et al. Investment Company Act Notice
29399
Multi-Manager - Voting
812-13751 Aug. 23, 2010
Virtus Opportunities Trust Investment Company Act Order
29383
Fund of Funds - Multi-Group
812-13707 Aug. 18, 2010
Northern Funds Investment Company Act Order
29381
Interfund Lending
812-13796 Aug. 18, 2010
Goldman Sachs & Co., et al. Investment Company Act Order
29382
Ineligible - Disqualified Firm
812-13733 Aug. 13, 2010
WisdomTree Asset Management, Inc. and WisdomTree Trust Investment Company Act Notice
29380
Multi-Manager - Voting
812-13743 Aug. 10, 2010
Federated Enhanced Treasury Income Fund, et al. Investment Company Act Order
29379
Distributions
813-375 Aug. 5, 2010
The Blackstone Group, L.P. Investment Company Act Notice
29378
Employees Securities Company
812-13623 Aug. 3, 2010
Kohlberg Capital Corp Investment Company Act Notice
29376
Business Development Companies - Compensation
812-13807 July 30, 2010
GE Asset Management Incorporated, et al. Investment Company Act Notice
29374
Ineligible - Disqualified Firm
812-13709 July 30, 2010
Millington Securities, Inc., et al. Investment Company Act Notice
29375
Fund of Funds - Multi-Group
812-13686 July 29, 2010
AXA Equitable Life Insurance Company, et al. Investment Company Act Order
29372
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13686 July 29, 2010
AXA Equitable Life Insurance Company, et al. Investment Company Act Order
29372
Insurance Products - Fund Substitution
812-13756 July 27, 2010
Nationwide Life Insurance Company, et al. Investment Company Act Order
29369
Insurance Products - Bonus Recapture
812-13751 July 27, 2010
Virtus Opportunities Trust Investment Company Act Notice
29370
Fund of Funds - Multi-Group
812-13707 July 23, 2010
Northern Funds Investment Company Act Notice
29368
Interfund Lending
812-13218 July 21, 2010
Lazard Global Total Return and Income Fund Investment Company Act Order
29344
Distributions
812-13796 July 21, 2010
Goldman Sachs & Co., et al. Investment Company Act Notice
29366
Ineligible - Disqualified Firm
812-13752 July 20, 2010
Korea Finance Corp. Investment Company Act Order
29343
Inadvertent Investment Companies - Foreign Banks/Insurance
812-13752 July 20, 2010
Korea Finance Corp. Investment Company Act Order
29343
Inadvertent Investment Companies - 6c
812-13713 July 15, 2010
Pruco Life Insurance Company, et al. Investment Company Act Order
29342
Insurance Products - Bonus Recapture
812-13743 July 14, 2010
Federated Enhanced Treasury Income Fund, et al. Investment Company Act Notice
29341
Distributions
812-13539 July 7, 2010
DWS Advisor Funds, et al. Investment Company Act Order
29339
Fund of Funds - Multi-Group
812-13686 July 7, 2010
AXA Equitable Life Insurance Company, et al. Investment Company Act Notice
29338
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13686 July 7, 2010
AXA Equitable Life Insurance Company, et al. Investment Company Act Notice
29338
Insurance Products - Fund Substitution
812-13756 July 2, 2010
Nationwide Life Insurance Company, et al. Investment Company Act Notice
29337
Insurance Products - Bonus Recapture
812-13748 June 29, 2010
FFCM, LLC and FQF Trust Investment Company Act Order
29335
Fund of Funds - Direct Investment
812-13752 June 25, 2010
Korea Finance Corp. Investment Company Act Notice
29332
Inadvertent Investment Companies - Foreign Banks/Insurance
812-13752 June 25, 2010
Korea Finance Corp. Investment Company Act Notice
29332
Inadvertent Investment Companies - 6c
812-13218 June 24, 2010
Lazard Global Total Return and Income Fund Investment Company Act Notice
29331
Distributions
812-13716 June 22, 2010
Hercules Technology Group Investment Company Act Order
29303
Business Development Companies - Compensation
812-13706 June 20, 2010
EQ Advisors Trust, et al. Investment Company Act Order
29336
Fund of Funds - Multi-Group
812-13713 June 18, 2010
Pruco Life Insurance Company, et al. Investment Company Act Notice
29302
Insurance Products - Bonus Recapture
812-13745 June 14, 2010
Kinetics Mutual Funds, Inc., et al. Investment Company Act Order
29297
Fund of Funds - Direct Investment
812-13539 June 9, 2010
DWS Advisor Funds, et al. Investment Company Act Notice
29295
Fund of Funds - Multi-Group
812-13706 June 4, 2010
EQ Advisors Trust, et al. Investment Company Act Notice
29294
Fund of Funds - Multi-Group
812-13710 June 3, 2010
Jackson National Life Insurance Company of New York, et al. Investment Company Act Order
29293
Insurance Products - Bonus Recapture
812-13748 June 2, 2010
FFCM, LLC and FQF Trust Investment Company Act Notice
29292
Fund of Funds - Direct Investment
812-13768 May 28, 2010
Harris & Harris Group, Inc. Investment Company Act Order
29289
Other
812-13677 May 28, 2010
AdvisorShares Investment Investment Company Act Order
29291
Fund of Funds - Multi-Group
812-13677 May 28, 2010
AdvisorShares Investment Investment Company Act Order
29291
Exchange Traded Funds - Active
812-13716 May 26, 2010
Hercules Technology Group Investment Company Act Notice
29287
Business Development Companies - Compensation
812-13534 May 18, 2010
Claymore Exchange-Traded Fund Trust 3 Investment Company Act Order
29271
Fund of Funds - Multi-Group
812-13534 May 18, 2010
Claymore Exchange-Traded Fund Trust 3 Investment Company Act Order
29271
Exchange Traded Funds - Active
812-14529 May 17, 2010
Calvert Social Investment Fund, et al. Investment Company Act Order
29268
Interfund Lending
812-13718 May 17, 2010
Calvert Social Investment Investment Company Act Order
29268
Fund of Funds - Direct Investment
812-13745 May 17, 2010
Kinetics Mutual Funds, Inc., et al. Investment Company Act Notice
29270
Fund of Funds - Direct Investment
812-13702 May 17, 2010
Pax World Funds Trust II Investment Company Act Order
29269
Exchange Traded Funds - Index
812-13651 May 12, 2010
Northern Lights Fund Trust Investment Company Act Order
29267
Multi-Manager - Voting & Disclosure
812-13710 May 10, 2010
Jackson National Life Insurance Company of New York, et al. Investment Company Act Notice
29265
Insurance Products - Bonus Recapture
812-13677 May 6, 2010
AdvisorShares Investment Investment Company Act Notice
29264
Fund of Funds - Multi-Group
812-13677 May 6, 2010
AdvisorShares Investment Investment Company Act Notice
29264
Exchange Traded Funds - Active
812-13703 April 30, 2010
Jackson National Life Insurance Company, et al. Investment Company Act Order
29262
Insurance Products - Bonus Recapture
