812-13612 Sept. 22, 2009
Annuity Investors Life, et al. Investment Company Act Notice
28909
Insurance Products - Bonus Recapture
812-13105 Sept. 21, 2009
Clough Global Allocation Fund, et al. Investment Company Act Order
28904
Distributions
812-13631 Sept. 20, 2009
Columbia Funds Series Trust, et al. Investment Company Act Order
28936
Fund of Funds - Direct Investment
812-13504 Sept. 17, 2009
OOK, Inc., et al. Investment Company Act Order
28902
Fund of Funds - Multi-Group
812-13504 Sept. 17, 2009
OOK, Inc., et al. Investment Company Act Order
28902
Exchange Traded Funds - Index
812-13611 Sept. 15, 2009
MML Series Investment Fund, et al. Investment Company Act Order
28901
Insurance Products - Mixed and Shared Funding
812-13516 Sept. 14, 2009
Grail Advisors LLC and Grail Advisors ETF Trust Investment Company Act Notice
28900
Multi-Manager - Voting & Disclosure
812-13680 Sept. 9, 2009
GE Asset Management Incorporated and GE Investment Distributors, Inc. Investment Company Act Order
28899
Ineligible - Disqualified Firm
812-13614 Sept. 9, 2009
Old Mutual Global Shares Trust, et al. Investment Company Act Order
28898
Fund of Funds - Multi-Group
812-13614 Sept. 9, 2009
Old Mutual Global Shares Trust, et al. Investment Company Act Order
28898
Exchange Traded Funds - Index
812-13631 Sept. 4, 2009
Columbia Funds Series Trust, et al. Investment Company Act Notice
28896
Fund of Funds - Direct Investment
812-13630 Sept. 4, 2009
Alpine Global Dynamic Dividend Fund, et al. Investment Company Act Notice
28897
Distributions
812-13535 Sept. 3, 2009
American Capital, Ltd. Investment Company Act Notice
28895
Business Development Companies - Compensation
812-13643 Aug. 31, 2009
AdvisorOne Funds and CLS Investments, LLC Investment Company Act Notice
28894
Multi-Manager - Voting
812-13619 Aug. 28, 2009
Nuveen Tax-Advantaged Total Return Strategy Fund, et al. Investment Company Act Order
28893
Other
812-13617 Aug. 27, 2009
DNP Select Income Fund Inc., et al. Investment Company Act Notice
28891
Other
812-13221 Aug. 27, 2009
Highland Capital Management, L.P., et al. Investment Company Act Notice
28888
Multi-Class
812-13584 Aug. 27, 2009
Jackson Nat'l Life Ins. Company, et al. Investment Company Act Notice
28890
Insurance Products - Bonus Recapture
812-13610 Aug. 27, 2009
Rafferty Asset Management, LLC, et al. Investment Company Act Notice
28889
Exchange Traded Funds - Leveraged
812-13504 Aug. 25, 2009
OOK, Inc., et al. Investment Company Act Notice
28851
Fund of Funds - Multi-Group
812-13405 Aug. 25, 2009
Arrow Investment Advisers, LLC, and Arrow Funds Trust Investment Company Act Notice
28852
Fund of Funds - Multi-Group
812-13504 Aug. 25, 2009
OOK, Inc., et al. Investment Company Act Notice
28851
Exchange Traded Funds - Index
812-13405 Aug. 25, 2009
Arrow Investment Advisers, LLC, and Arrow Funds Trust Investment Company Act Notice
28852
Exchange Traded Funds - Index
812-13105 Aug. 24, 2009
Clough Global Allocation Fund, et al. Investment Company Act Notice
28850
Distributions
812-13611 Aug. 20, 2009
MML Series Investment Fund, et al. Investment Company Act Notice
28849
Insurance Products - Mixed and Shared Funding
812-13573 Aug. 13, 2009
Compagnie de Financement Foncier Investment Company Act Order
28848
Inadvertent Investment Companies - Foreign Banks/Insurance
812-13503 Aug. 13, 2009
Pax World Funds Trust II, et al. Investment Company Act Order
28846
Fund of Funds - Multi-Group
812-13503 Aug. 13, 2009
Pax World Funds Trust II, et al. Investment Company Act Order
28846
Exchange Traded Funds - Index
812-13614 Aug. 13, 2009
Old Mutual Global Shares Trust, et al. Investment Company Act Notice
28847
Fund of Funds - Multi-Group
812-13614 Aug. 13, 2009
Old Mutual Global Shares Trust, et al. Investment Company Act Notice
28847
Exchange Traded Funds - Index
812-13578 Aug. 11, 2009
The Alger Funds, et al. Investment Company Act Order
28844
Interfund Lending
812-13200 Aug. 11, 2009
Reaves Utility Income Fund, et al. Investment Company Act Order
28843
Distributions
812-13680 Aug. 11, 2009
GE Asset Management Incorporated and GE Investment Distributors, Inc. Investment Company Act Notice
28845
Ineligible - Disqualified Firm
812-13545 July 28, 2009
GE Funds, et al. Investment Company Act Order
28839
Multi-Manager - Voting & Disclosure
812-13421 July 27, 2009
Federated Core Trust III, et al. Investment Company Act Order
28837
Other
812-13642 July 24, 2009
WisdomTree Asset Management, Inc. and WisdomTree Trust Investment Company Act Order
28836
Fund of Funds - Direct Investment
812-13573 July 22, 2009
Compagnie de Financement Foncier Investment Company Act Notice
28835
Inadvertent Investment Companies - Foreign Banks/Insurance
812-13503 July 22, 2009
Pax World Funds Trust II, et al. Investment Company Act Notice
28834
Fund of Funds - Multi-Group
812-13503 July 22, 2009
Pax World Funds Trust II, et al. Investment Company Act Notice
28834
Exchange Traded Funds - Index
812-13633 July 20, 2009
Embarcadero Funds, Inc., et al. Investment Company Act Order
28820
Multi-Manager - Voting & Disclosure
812-13488 July 20, 2009
AdvisorShares Investments, LLC and AdvisorShares Trust Investment Company Act Order
28822
Exchange Traded Funds - Active
812-13578 July 16, 2009
The Alger Funds, et al. Investment Company Act Notice
28819
Interfund Lending
812-13200 July 14, 2009
Reaves Utility Income Fund, et al. Investment Company Act Notice
28818
Distributions
812-13495 July 8, 2009
Nationwide Life Ins. Co., et al. Investment Company Act Order
28815
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13495 July 8, 2009
Nationwide Life Ins. Co., et al. Investment Company Act Order
28815
Insurance Products - Fund Substitution
812-13663 July 7, 2009
RBC Capital Markets Corporation, et al. Investment Company Act Order
28812
Ineligible - Disqualified Firm
812-13664 July 7, 2009
Deutsche Bank Securities Inc., et al. Investment Company Act Order
28811
Ineligible - Disqualified Firm
812-13662 July 7, 2009
Banc of America Securities LLC, et al. Investment Company Act Order
28810
Ineligible - Disqualified Firm
812-13604 July 7, 2009
PowerShares Exchange-Traded Fund Trust, et al. Investment Company Act Order
28813
Fund of Funds - Direct Investment
812-13449 July 7, 2009
X Exchange-Traded Funds, Inc., et al. Investment Company Act Order
28814
Exchange Traded Funds - Index
812-13545 July 2, 2009
GE Funds, et al. Investment Company Act Notice
28808
Multi-Manager - Voting & Disclosure
812-13421 June 30, 2009
Federated Core Trust III, et al. Investment Company Act Notice
28806
Other
812-13650 June 29, 2009
WisdomTree Investments, Inc., et al. Investment Company Act Order
28805
Fund of Funds - Multi-Group
812-13650 June 29, 2009
WisdomTree Investments, Inc., et al. Investment Company Act Order
28805
Exchange Traded Funds - Index
812-13642 June 29, 2009
WisdomTree Asset Management, Inc. and WisdomTree Trust Investment Company Act Notice
28804
Fund of Funds - Direct Investment
812-13551 June 23, 2009
The Managers Funds, et al. Investment Company Act Order
28770
Interfund Lending
812-13633 June 22, 2009
Embarcadero Funds, Inc., et al. Investment Company Act Notice
28769
Multi-Manager - Voting & Disclosure
812-13649 June 16, 2009
Main Street Capital Corporation, et al. Investment Company Act Order
28768
Business Development Companies - Compensation
812-13495 June 12, 2009
Nationwide Life Ins. Co., et al. Investment Company Act Notice
28767
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13495 June 12, 2009
Nationwide Life Ins. Co., et al. Investment Company Act Notice
28767
Insurance Products - Fund Substitution
812-13449 June 11, 2009
X Exchange-Traded Funds, Inc., et al. Investment Company Act Notice
28766
Exchange Traded Funds - Index
812-13655 June 9, 2009
Harris & Harris Group, Inc. Investment Company Act Notice
28761
Other
812-13663 June 9, 2009
RBC Capital Markets Corporation, et al. Investment Company Act Notice
28762
Ineligible - Disqualified Firm
812-13664 June 9, 2009
Deutsche Bank Securities Inc., et al. Investment Company Act Notice
28763
Ineligible - Disqualified Firm
812-13662 June 9, 2009
Banc of America Securities LLC, et al. Investment Company Act Notice
28764
Ineligible - Disqualified Firm
812-13604 June 8, 2009
PowerShares Exchange-Traded Fund Trust, et al. Investment Company Act Notice
28760
Fund of Funds - Direct Investment
812-13619 June 4, 2009
Nuveen Tax-Advantaged Total Return Strategy Fund, et al. Investment Company Act Notice
28758
Other
812-13594 June 1, 2009
Cohen & Steers Advantage Income Realty Fund, Inc., et al. Investment Company Act Order
28753
Other
812-13598 June 1, 2009
Flaherty & Crumrine Preferred Income Fund Incorporated, et al. Investment Company Act Order
28754
Other
812-13555 June 1, 2009
Pacific Investment Management Company LLC Investment Company Act Order
28752
Exchange Traded Funds - Index
812-13650 June 1, 2009
WisdomTree Investments, Inc., et al. Investment Company Act Notice
28755
Fund of Funds - Multi-Group
812-13650 June 1, 2009
WisdomTree Investments, Inc., et al. Investment Company Act Notice
28755
Exchange Traded Funds - Index
812-13551 May 28, 2009
The Managers Funds, et al. Investment Company Act Notice
28748
Interfund Lending
812-13618 May 26, 2009
Citibank, N.A., et al. Investment Company Act Order
28746
Other
813-274 May 20, 2009
William Blair & Company, L.L.C. Investment Company Act Order
28727
Employees Securities Company
812-13649 May 19, 2009
Main Street Capital Corporation, et al. Investment Company Act Notice
28726
Business Development Companies - Compensation
812-13400 May 12, 2009
ProShares Trust, et al. Investment Company Act Order
28724
Exchange Traded Funds - Leveraged
812-13555 May 11, 2009
Pacific Investment Management Company LLC Investment Company Act Notice
28723
Exchange Traded Funds - Index
812-13594 May 8, 2009
Cohen & Steers Advantage Income Realty Fund, Inc., et al. Investment Company Act Notice
28721
Other
812-13598 May 8, 2009
Flaherty & Crumrine Preferred Income Fund Incorporated, et al. Investment Company Act Notice
28722
Other
812-13235 May 5, 2009
The Blackrock Investment Quality Municipal Trust Inc. Investment Company Act Order
28719
Distributions
812-13647 May 5, 2009
Triangle Capital Corp. Investment Company Act Order
28718
Business Development Companies - Compensation
812-13618 April 29, 2009
Citibank, N.A., et al. Investment Company Act Notice
28717
Other
812-13525 April 28, 2009
Bridgeway Capital Management, Inc. Investment Company Act Order
28716
Other
812-13564 April 28, 2009
Phoenix Life Insurance Company, et al. Investment Company Act Order
28714
Fund of Funds - Multi-Group
812-13602 April 28, 2009
First American Strategy Funds, Inc. Investment Company Act Order
28715
Fund of Funds - Direct Investment
813-274 April 22, 2009
William Blair & Company, L.L.C. Investment Company Act Notice
28700
Employees Securities Company
812-13588 April 20, 2009
MetLife Ins. Co. of Connecticut, et al. Investment Company Act Order
28699
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13588 April 20, 2009
MetLife Ins. Co. of Connecticut, et al. Investment Company Act Order
28699
Insurance Products - Fund Substitution
812-13645 April 14, 2009
UBS AG Investment Company Act Order
28695
Ineligible - Disqualified Firm
812-13519 April 14, 2009
Massachusetts Financial Services Company, et al. Investment Company Act Order
28694
Fund of Funds - Multi-Group
812-13538 April 14, 2009
ING Investments, LLC Investment Company Act Order
28693
Fund of Funds - Direct Investment
812-13400 April 14, 2009
ProShares Trust, et al. Investment Company Act Notice
28696
Exchange Traded Funds - Leveraged
812-13647 April 13, 2009
Triangle Capital Corp. Investment Company Act Notice
28692
Business Development Companies - Compensation
812-13639 April 7, 2009
E*Trade Financial Corporation Investment Company Act Order
28689
Ineligible - Disqualified Firm
812-13641 April 7, 2009
Citigroup, Inc. Investment Company Act Order
28688
Ineligible - Disqualified Firm
812-13235 April 7, 2009
The Blackrock Investment Quality Municipal Trust Inc. Investment Company Act Notice
28690
Distributions
812-13600 April 3, 2009
ING USA Annuity & Life Ins. Co., et al. Investment Company Act Order
28687
Insurance Products - Bonus Recapture
812-13564 April 3, 2009
Phoenix Life Insurance Company, et al. Investment Company Act Notice
28686
Fund of Funds - Multi-Group
812-13525 April 1, 2009
Bridgeway Capital Management, Inc. Investment Company Act Notice
28685
Other
