812-13667 April 26, 2010
Medallion Financial Corp. Investment Company Act Order
29258
Business Development Companies - Compensation
812-13702 April 26, 2010
Pax World Funds Trust II Investment Company Act Notice
29257
Exchange Traded Funds - Index
812-13534 April 23, 2010
Claymore Exchange-Traded Fund Trust 3 Investment Company Act Notice
29256
Fund of Funds - Multi-Group
812-13534 April 23, 2010
Claymore Exchange-Traded Fund Trust 3 Investment Company Act Notice
29256
Exchange Traded Funds - Active
812-13681 April 21, 2010
Legg Mason Partners Investment Company Act Order
29255
Fund of Funds - Multi-Group
812-13700 April 20, 2010
MetLife Insurance Company of Connecticut, et al. Investment Company Act Order
29211
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13700 April 20, 2010
MetLife Insurance Company of Connecticut, et al. Investment Company Act Order
29211
Insurance Products - Fund Substitution
812-13685 April 20, 2010
Rydex Series Funds Investment Company Act Order
29212
Fund of Funds - Direct Investment
812-13058 April 20, 2010
RMR Real Estate Fund Investment Company Act Order
29213
Distributions
812-13694 April 20, 2010
MCG Capital Corp. Investment Company Act Order
29210
Business Development Companies - Compensation
812-13718 April 19, 2010
Calvert Social Investment Investment Company Act Notice
29209
Fund of Funds - Direct Investment
812-13651 April 16, 2010
Northern Lights Fund Trust Investment Company Act Notice
29208
Multi-Manager - Voting & Disclosure
812-13753 April 9, 2010
SeaCo. Ltd. Investment Company Act Order
29206
Inadvertent Investment Companies - 3b2
812-13690 April 7, 2010
Integrity Life Insurance Company, et al. Investment Company Act Order
29204
Insurance Products - Fund Substitution
812-13703 April 7, 2010
Jackson National Life Insurance Company, et al. Investment Company Act Notice
29205
Insurance Products - Bonus Recapture
812-13687 April 2, 2010
WNC Tax Credits 38, LLC Investment Company Act Notice
29202
Two-Tier Real Estate Partnerships
812-13667 April 1, 2010
Medallion Financial Corp. Investment Company Act Notice
29201
Business Development Companies - Compensation
812-13732 March 31, 2010
Lincoln Variable Insurance Investment Company Act Order
29197
Multi-Manager - Voting & Disclosure
812-13660 March 31, 2010
Lincoln Variable Insurance Investment Company Act Order
29196
Fund of Funds - Multi-Group
812-13727 March 31, 2010
Pioneer Bond Fund Investment Company Act Notice
29198
Fund of Funds - Direct Investment
812-13676 March 30, 2010
The Chile Fund, Inc. Investment Company Act Order
29195
Distributions
812-13749 March 30, 2010
The Chile Fund, Inc. Investment Company Act Order
29194
Affiliated Sales & Purchases - In-Kind
812-13681 March 26, 2010
Legg Mason Partners Investment Company Act Notice
29192
Fund of Funds - Multi-Group
812-13700 March 25, 2010
MetLife Insurance Company of Connecticut, et al. Investment Company Act Notice
29190
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13700 March 25, 2010
MetLife Insurance Company of Connecticut, et al. Investment Company Act Notice
29190
Insurance Products - Fund Substitution
812-13694 March 25, 2010
MCG Capital Corp. Investment Company Act Notice
29191
Business Development Companies - Compensation
812-13161 March 24, 2010
First Trust/Aberdeen Global Opportunity Income Fund, et al. Investment Company Act Order
29189
Distributions
812-13685 March 23, 2010
Rydex Series Funds Investment Company Act Notice
29179
Fund of Funds - Direct Investment
812-13058 March 23, 2010
RMR Real Estate Fund Investment Company Act Notice
29178
Distributions
812-13595 March 22, 2010
Millington Securities, Inc. Investment Company Act Order
29177
Unit Investment Trusts - Other
812-13753 March 17, 2010
SeaCo. Ltd. Investment Company Act Notice
29176
Inadvertent Investment Companies - 3b2
812-13570 March 10, 2010
iShares Trust, et al. Investment Company Act Order
29172
Fund of Funds - Multi-Group
812-13690 March 10, 2010
Integrity Life Insurance Company, et al. Investment Company Act Notice
29171
Insurance Products - Fund Substitution
812-13732 March 9, 2010
Lincoln Variable Insurance Investment Company Act Notice
29170
Multi-Manager - Voting & Disclosure
812-13749 March 8, 2010
The Chile Fund, Inc. Investment Company Act Notice
29169
Affiliated Sales & Purchases - In-Kind
812-13660 March 5, 2010
Lincoln Variable Insurance Investment Company Act Notice
29168
Fund of Funds - Multi-Group
812-13676 March 2, 2010
The Chile Fund, Inc. Investment Company Act Notice
29167
Distributions
812-13658 March 1, 2010
U.S. One, Inc. Investment Company Act Order
29164
Exchange Traded Funds - Active
812-13161 Feb. 26, 2010
First Trust/Aberdeen Global Opportunity Income Fund, et al. Investment Company Act Notice
29163
Distributions
812-13595 Feb. 25, 2010
Millington Securities, Inc. Investment Company Act Notice
29160
Unit Investment Trusts - Other
812-13746 Feb. 23, 2010
Assurant, Inc. Investment Company Act Order
29133
Ineligible - Disqualified Firm
812-13559 Feb. 22, 2010
ShariahShares Exchange-Traded Fund Trust, et al. Investment Company Act Order
29130
Fund of Funds - Multi-Group
812-13559 Feb. 22, 2010
ShariahShares Exchange-Traded Fund Trust, et al. Investment Company Act Order
29130
Exchange Traded Funds - Index
812-13570 Feb. 16, 2010
iShares Trust, et al. Investment Company Act Notice
29129
Fund of Funds - Multi-Group
812-13658 Feb. 2, 2010
U.S. One, Inc. Investment Company Act Notice
29128
Exchange Traded Funds - Active
812-13559 Jan. 29, 2010
ShariahShares Exchange-Traded Fund Trust, et al. Investment Company Act Notice
29127
Fund of Funds - Multi-Group
812-13559 Jan. 29, 2010
ShariahShares Exchange-Traded Fund Trust, et al. Investment Company Act Notice
29127
Exchange Traded Funds - Index
812-13549 Jan. 26, 2010
Metlife, Inc., et al. Investment Company Act Order
29124
Finance Subsidiaries
812-13746 Jan. 26, 2010
Assurant, Inc. Investment Company Act Notice
29125
Ineligible - Disqualified Firm
812-13678 Jan. 12, 2010
Cash Account Trust, et al. Investment Company Act Order
29109
Multi-Manager - Voting & Disclosure
812-13728 Jan. 12, 2010
Investools Investment Company Act Order
29110
Ineligible - Disqualified Firm
812-13549 Dec. 30, 2009
Metlife, Inc., et al. Investment Company Act Notice
29101
Finance Subsidiaries
812-13640 Dec. 29, 2009
PNC Bank, National Association Investment Company Act Order
29100
Other
812-13653 Dec. 29, 2009
Madison Asset Management, LLC Investment Company Act Order
29099
Fund of Funds - Multi-Group
812-13712 Dec. 23, 2009
Strategic Funds, Inc., et al. Investment Company Act Order
29097
Multi-Manager - Voting & Disclosure
812-13654 Dec. 22, 2009
Members Mutual Funds, et al. Investment Company Act Order
29096
Multi-Manager - Voting
812-13678 Dec. 16, 2009
Cash Account Trust, et al. Investment Company Act Notice
29094
Multi-Manager - Voting & Disclosure
812-13728 Dec. 16, 2009
Investools Investment Company Act Notice
29093
Ineligible - Disqualified Firm
812-13636 Dec. 15, 2009
Pioneer Floating Rate Trust and Pioneer High Income Trust Investment Company Act Order
29070
Other
812-13653 Dec. 7, 2009
Madison Asset Management, LLC Investment Company Act Notice
29068
Fund of Funds - Multi-Group
812-13640 Dec. 3, 2009
PNC Bank, National Association Investment Company Act Notice
29066
Other
812-13638 Dec. 1, 2009
FaithShares Trust, et al. Investment Company Act Order
29065
Fund of Funds - Multi-Group
812-13638 Dec. 1, 2009
FaithShares Trust, et al. Investment Company Act Order
29065
Exchange Traded Funds - Index
812-13712 Nov. 30, 2009
Strategic Funds, Inc., et al. Investment Company Act Notice
29064
Multi-Manager - Voting & Disclosure
812-13482 Nov. 24, 2009
MFS Government Markets Income Trust, et al. Investment Company Act Order
29063
Distributions
812-13654 Nov. 23, 2009
Members Mutual Funds, et al. Investment Company Act Notice
29062
Multi-Manager - Voting
812-13636 Nov. 20, 2009
Pioneer Floating Rate Trust and Pioneer High Income Trust Investment Company Act Notice
28998
Other
812-13571 Nov. 10, 2009
Pacific Investment Management Company LLC and PIMCO ETF Trust Investment Company Act Order
28993
Fund of Funds - Multi-Group
812-13571 Nov. 10, 2009
Pacific Investment Management Company LLC and PIMCO ETF Trust Investment Company Act Order
28993
Exchange Traded Funds - Active
812-13086 Nov. 10, 2009
Neuberger Berman Management LLC, et al. Investment Company Act Order
28994
Distributions
812-13432 Nov. 10, 2009
Pioneer Diversified High Income Trust, et al. Investment Company Act Order
28995
Distributions
812-13638 Nov. 5, 2009
FaithShares Trust, et al. Investment Company Act Notice
28991
Fund of Funds - Multi-Group
812-13638 Nov. 5, 2009
FaithShares Trust, et al. Investment Company Act Notice
28991
Exchange Traded Funds - Index
812-13656 Oct. 29, 2009
Morgan Stanley Investment Management Inc., et al. Investment Company Act Order
28986
Affiliated Sales & Purchases - Adviser
812-13482 Oct. 29, 2009
MFS Government Markets Income Trust, et al. Investment Company Act Notice
28987
Distributions
812-13030 Oct. 27, 2009
Evergreen Income Advantage Fund, et al., Investment Company Act Order
28985
Distributions
812-13628 Oct. 23, 2009
Charles Schwab Investment Management, Inc., et al. Investment Company Act Order
28983
Fund of Funds - Multi-Group
812-13628 Oct. 23, 2009
Charles Schwab Investment Management, Inc., et al. Investment Company Act Order
28983
Exchange Traded Funds - Index
812-13569 Oct. 21, 2009
Ridgewood Capital Energy Growth, LLC, et al. Investment Company Act Order
28982
Co-Investment
812-13612 Oct. 20, 2009
Annuity Investors Life, et al. Investment Company Act Order
28948
Insurance Products - Bonus Recapture
812-13571 Oct. 20, 2009
Pacific Investment Management Company LLC and PIMCO ETF Trust Investment Company Act Notice
28949
Fund of Funds - Multi-Group
812-13612 Oct. 20, 2009
Annuity Investors Life, et al. Investment Company Act Order
28949
Insurance Products - Bonus Recapture
812-13571 Oct. 20, 2009
Pacific Investment Management Company LLC and PIMCO ETF Trust Investment Company Act Order
28949
Exchange Traded Funds - Active
812-13432 Oct. 16, 2009
Pioneer Diversified High Income Trust, et al. Investment Company Act Notice
28947
Distributions
812-13086 Oct. 14, 2009
Neuberger Berman Management LLC, et al. Investment Company Act Notice
28945
Distributions
812-13516 Oct. 8, 2009
Grail Advisors LLC and Grail Advisors ETF Trust Investment Company Act Order
28944
Multi-Manager - Voting & Disclosure
812-13656 Oct. 6, 2009
Morgan Stanley Investment Management Inc., et al. Investment Company Act Notice
28941
Affiliated Sales & Purchases - Adviser
812-13630 Sept. 30, 2009
Alpine Global Dynamic Dividend Fund, et al. Investment Company Act Order
28937
Distributions
812-13535 Sept. 30, 2009
American Capital, Ltd. Investment Company Act Order
28935
Business Development Companies - Compensation
812-13030 Sept. 30, 2009
Evergreen Income Advantage Fund, et al., Investment Company Act Notice
28938
Distributions
812-13643 Sept. 28, 2009
AdvisorOne Funds and CLS Investments, LLC Investment Company Act Order
28932
Multi-Manager - Voting
812-13628 Sept. 28, 2009
Charles Schwab Investment Management, Inc., et al. Investment Company Act Notice
28933
Fund of Funds - Multi-Group
812-13628 Sept. 28, 2009
Charles Schwab Investment Management, Inc., et al. Investment Company Act Notice
28933
Exchange Traded Funds - Index
812-13569 Sept. 25, 2009
Ridgewood Capital Energy Growth, LLC, et al. Investment Company Act Notice
28931
Co-Investment
812-13617 Sept. 22, 2009
DNP Select Income Fund Inc., et al. Investment Company Act Order
28906
Other
812-13221 Sept. 22, 2009
Highland Capital Management, L.P., et al. Investment Company Act Order
28908
Multi-Class
812-13584 Sept. 22, 2009
Jackson Nat'l Life Ins. Company, et al. Investment Company Act Order
28907
Insurance Products - Bonus Recapture
812-13610 Sept. 22, 2009
Rafferty Asset Management, LLC, et al. Investment Company Act Order
28905
Exchange Traded Funds - Leveraged
812-13405 Sept. 22, 2009
Arrow Investment Advisers, LLC, and Arrow Funds Trust Investment Company Act Order
28910
Fund of Funds - Multi-Group
812-13405 Sept. 22, 2009
Arrow Investment Advisers, LLC, and Arrow Funds Trust Investment Company Act Order
28910
Exchange Traded Funds - Index
