812-13588 March 25, 2009
MetLife Ins. Co. of Connecticut, et al. Investment Company Act Notice
28678
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13588 March 25, 2009
MetLife Ins. Co. of Connecticut, et al. Investment Company Act Notice
28678
Insurance Products - Fund Substitution
812-13541 March 24, 2009
DFA Investment Dimensions Group Inc. Investment Company Act Order
28654
Fund of Funds - Multi-Group
812-13441 March 20, 2009
INDEXIQ ETF Trust Investment Company Act Order
28653
Fund of Funds - Multi-Group
812-13441 March 20, 2009
INDEXIQ ETF Trust Investment Company Act Order
28653
Exchange Traded Funds - Index
812-13645 March 19, 2009
UBS AG Investment Company Act Notice
28652
Ineligible - Disqualified Firm
812-13515 March 18, 2009
Mainstay VP Series Fund, Inc., et al. Investment Company Act Order
28651
Insurance Products - Mixed and Shared Funding
812-13632 March 17, 2009
Wachovia Securities, LLC, et al. Investment Company Act Order
28648
Ineligible - Disqualified Firm
812-13519 March 17, 2009
Massachusetts Financial Services Company, et al. Investment Company Act Notice
28649
Fund of Funds - Multi-Group
812-13538 March 17, 2009
ING Investments, LLC Investment Company Act Notice
28650
Fund of Funds - Direct Investment
812-13600 March 13, 2009
ING USA Annuity & Life Ins. Co., et al. Investment Company Act Notice
28646
Insurance Products - Bonus Recapture
812-13639 March 12, 2009
E*Trade Financial Corporation Investment Company Act Notice
28645
Ineligible - Disqualified Firm
812-13641 March 12, 2009
Citigroup, Inc. Investment Company Act Notice
28647
Ineligible - Disqualified Firm
812-13586 March 10, 2009
Eaton Vance Enhanced Equity Income Fund, et al. Investment Company Act Order
28643
Distributions
812-13536 March 4, 2009
Advisors Asset Management, Inc. Investment Company Act Order
28641
Unit Investment Trusts - Other
812-13543 March 3, 2009
Forward Funds, et al. Investment Company Act Notice
28640
Joint Transaction
812-13441 Feb. 27, 2009
INDEXIQ ETF Trust Investment Company Act Notice
28638
Fund of Funds - Multi-Group
812-13441 Feb. 27, 2009
INDEXIQ ETF Trust Investment Company Act Notice
28638
Exchange Traded Funds - Index
812-13541 Feb. 26, 2009
DFA Investment Dimensions Group Inc. Investment Company Act Notice
28637
Fund of Funds - Multi-Group
812-13515 Feb. 20, 2009
Mainstay VP Series Fund, Inc., et al. Investment Company Act Notice
28619
Insurance Products - Mixed and Shared Funding
812-13632 Feb. 18, 2009
Wachovia Securities, LLC, et al. Investment Company Act Notice
28618
Ineligible - Disqualified Firm
812-13552 Feb. 10, 2009
Calamos Convertible Opportunities and Income Fund, et al. Investment Company Act Order
28615
Other
812-13586 Feb. 10, 2009
Eaton Vance Enhanced Equity Income Fund, et al. Investment Company Act Notice
28616
Distributions
812-13523 Feb. 9, 2009
Allstate Financial Investment Trust, et al. Investment Company Act Order
28614
Fund of Funds - Multi-Group
812-13536 Feb. 6, 2009
Advisors Asset Management, Inc. Investment Company Act Notice
28613
Unit Investment Trusts - Other
812-13239 Feb. 3, 2009
SunAmerica Focused Alpha Growth Fund, Inc., et al. Investment Company Act Order
28612
Distributions
812-13397 Feb. 3, 2009
MacQuarie Global Infrastructure Total, et al. Investment Company Act Order
28611
Distributions
812-13499 Jan. 26, 2009
The Franklin, Templeton and Mutual Series Funds, et al. Investment Company Act Order
28608
Joint Transaction
812-13402 Jan. 22, 2009
Sun Life Assurance Company of Canada (U.S., et al.) Investment Company Act Order
28607
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13402 Jan. 22, 2009
Sun Life Assurance Company of Canada (U.S., et al.) Investment Company Act Order
28607
Insurance Products - Fund Substitution
812-13609 Jan. 16, 2009
UBS Securities LLC Investment Company Act Order
28606
Ineligible - Disqualified Firm
812-13615 Jan. 16, 2009
Citigroup Global Investment Company Act Order
28605
Ineligible - Disqualified Firm
812-13440 Jan. 16, 2009
Grail Partners LLC, et al. Investment Company Act Order
28604
Exchange Traded Funds - Active
812-13552 Jan. 14, 2009
Calamos Convertible Opportunities and Income Fund, et al. Investment Company Act Notice
28603
Other
812-13523 Jan. 12, 2009
Allstate Financial Investment Trust, et al. Investment Company Act Notice
28581
Fund of Funds - Multi-Group
812-13563 Jan. 6, 2009
TIAA-CREF Life Funds, et al. Investment Company Act Order
28577
Insurance Products - Mixed and Shared Funding
813-332 Jan. 6, 2009
TWB Investment Partnership L.P. Investment Company Act Order
28576
Employees Securities Company
812-13239 Jan. 6, 2009
SunAmerica Focused Alpha Growth Fund, Inc., et al. Investment Company Act Notice
28578
Distributions
812-13397 Jan. 6, 2009
MacQuarie Global Infrastructure Total, et al. Investment Company Act Notice
28579
Distributions
812-13492 Dec. 30, 2008
Riversource Life Insurance Co., et al. Investment Company Act Order
28575
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13492 Dec. 30, 2008
Riversource Life Insurance Co., et al. Investment Company Act Order
28575
Insurance Products - Fund Substitution
812-12903 Dec. 29, 2008
Bank of America Fund Trust, et al. (fka Nations Fund Trust) Investment Company Act Order
28573
Affiliated Sales & Purchases - Adviser
812-13499 Dec. 29, 2008
The Franklin, Templeton and Mutual Series Funds, et al. Investment Company Act Notice
28574
Joint Transaction
812-13402 Dec. 23, 2008
Sun Life Assurance Company of Canada (U.S., et al.) Investment Company Act Notice
28570
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13402 Dec. 23, 2008
Sun Life Assurance Company of Canada (U.S., et al.) Investment Company Act Notice
28570
Insurance Products - Fund Substitution
812-13609 Dec. 23, 2008
UBS Securities LLC Investment Company Act Notice
28569
Ineligible - Disqualified Firm
812-13615 Dec. 23, 2008
Citigroup Global Investment Company Act Notice
28572
Ineligible - Disqualified Firm
812-13488 Dec. 23, 2008
AdvisorShares Investments, LLC and AdvisorShares Trust Investment Company Act Notice
28568
Exchange Traded Funds - Active
812-13440 Dec. 23, 2008
Grail Partners LLC, et al. Investment Company Act Notice
28571
Exchange Traded Funds - Active
812-13563 Dec. 10, 2008
TIAA-CREF Life Funds, et al. Investment Company Act Notice
28530
Insurance Products - Mixed and Shared Funding
813-365 Dec. 9, 2008
Wortham Finance L.P. Investment Company Act Order
28529
Employees Securities Company
813-332 Dec. 9, 2008
TWB Investment Partnership L.P. Investment Company Act Notice
28528
Employees Securities Company
812-13492 Dec. 4, 2008
Riversource Life Insurance Co., et al. Investment Company Act Notice
28527
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13492 Dec. 4, 2008
Riversource Life Insurance Co., et al. Investment Company Act Notice
28527
Insurance Products - Fund Substitution
812-12903 Dec. 1, 2008
Bank of America Fund Trust, et al. (fka Nations Fund Trust) Investment Company Act Notice
28526
Affiliated Sales & Purchases - Adviser
812-13548 Nov. 26, 2008
Wells Fargo Funds Trust, et al. Investment Company Act Order
28524
Fund of Funds - Direct Investment
812-13474 Nov. 25, 2008
Allianz Life Insurance Co. of North America, et al. Investment Company Act Order
28521
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13474 Nov. 25, 2008
Allianz Life Insurance Co. of North America, et al. Investment Company Act Order
28521
Insurance Products - Fund Substitution
812-13497 Nov. 17, 2008
The Zweig Total Return Fund, Inc., et al. Investment Company Act Order
28485
Distributions
812-13077 Nov. 17, 2008
Boulder Total Return Fund, Inc., et al. Investment Company Act Order
28486
Distributions
813-365 Nov. 10, 2008
Wortham Finance L.P. Investment Company Act Notice
28484
Employees Securities Company
812-13063 Nov. 4, 2008
Calamos Convertible Opportunities and Income Fund, et al. Investment Company Act Order
28483
Distributions
812-13548 Oct. 31, 2008
Wells Fargo Funds Trust, et al. Investment Company Act Notice
28482
Fund of Funds - Direct Investment
812-13474 Oct. 30, 2008
Allianz Life Insurance Co. of North America, et al. Investment Company Act Notice
28480
Insurance Products - Substitution Related Affiliated Securities Transactions
812-13474 Oct. 30, 2008
Allianz Life Insurance Co. of North America, et al. Investment Company Act Notice
28480
Insurance Products - Fund Substitution
812-13530 Oct. 28, 2008
Aberdeen Asset Management, Inc. Investment Company Act Order
28475
Fund of Funds - Multi-Group
813-355 Oct. 28, 2008
HLHZ Investments LLC Investment Company Act Order
28473
Employees Securities Company
812-13392 Oct. 28, 2008
H&Q Healthcare Investors, et al. Investment Company Act Order
28472
Co-Investment
812-13428 Oct. 28, 2008
MGC Capital Corporation, et al. Investment Company Act Order
28474
Business Development Companies - Capital Structure
812-13533 Oct. 27, 2008
Forward Funds, et al. Investment Company Act Order
28469
Multi-Manager - Voting
812-13480 Oct. 27, 2008
Dodge & Cox Funds Investment Company Act Order
28470
Interfund Lending
812-13458 Oct. 27, 2008
WisdomTree Investments, Inc. et al. Investment Company Act Order
28471
Fund of Funds - Multi-Group
812-13491 Oct. 27, 2008
PowerShares Capital Management LLC Investment Company Act Order
28467
Exchange Traded Funds - Active
812-13458 Oct. 27, 2008
WisdomTree Investments, Inc., et al. Investment Company Act Order
28471
Exchange Traded Funds - Active
812-13477 Oct. 27, 2008
First Trust Exchange-Traded Fund III, et al. Investment Company Act Order
28468
Exchange Traded Funds - Active
812-13585 Oct. 24, 2008
Reserve Municipal Money-Market Trust, et al. Investment Company Act Order
28466
Other
812-13576 Oct. 24, 2008
The Reserve Fund Investment Company Act Notice
28465
Other
812-13540 Oct. 23, 2008
Eaton Vance Floating Rate-Income Trust Investment Company Act Order
28464
Other
812-13529 Oct. 21, 2008
Morgan Stanley Series Funds, et al. Investment Company Act Order
28444
Fund of Funds - Direct Investment
812-13531 Oct. 21, 2008
Aberdeen Asset Management Investment Company Act Order
28443
Fund of Funds - Direct Investment
812-13517 Oct. 21, 2008
Global X Funds, et al. Investment Company Act Order
28443
Exchange Traded Funds - Index
812-13521 Oct. 20, 2008
Delaware Management Business Trust, et al. Investment Company Act Order
28445
Fund of Funds - Direct Investment
812-13497 Oct. 20, 2008
The Zweig Total Return Fund, Inc., et al. Investment Company Act Notice
28441
Distributions
812-13077 Oct. 20, 2008
Boulder Total Return Fund, Inc., et al. Investment Company Act Notice
28442
Distributions
812-13506 Oct. 17, 2008
Van Kampen Retirement Strategy Trust, et al. Investment Company Act Order
28440
Fund of Funds - Multi-Group
812-11351 Oct. 15, 2008
Trust for Professional Managers, et al. Investment Company Act Order
28439
Multi-Manager - Voting & Disclosure
812-13355 Oct. 14, 2008
Triangle Capital Corporation, et al. Investment Company Act Order
28437
Business Development Companies - Capital Structure
812-13063 Oct. 7, 2008
Calamos Convertible Opportunities and Income Fund, et al. Investment Company Act Notice
28435
Distributions
812-13483 Oct. 6, 2008
Rafferty Asset Management, LLC, et al. Investment Company Act Order
28434
Exchange Traded Funds - Leveraged
812-13517 Oct. 3, 2008
Global X Funds, et al. Investment Company Act Order
28433
Exchange Traded Funds - Index
812-13540 Oct. 2, 2008
Eaton Vance Floating Rate-Income Trust Investment Company Act Notice
28431
Other
812-13572 Oct. 1, 2008
Prudential Financial, Inc., et al. Investment Company Act Order
28430
Ineligible - Disqualified Firm
812-13505 Sept. 30, 2008
Fidelity Aberdeen Street Trust, et al. Investment Company Act Order
28425
Fund of Funds - Direct Investment
812-13530 Sept. 30, 2008
Aberdeen Asset Management, Inc. Investment Company Act Notice
28429
Fund of Funds - Multi-Group
813-355 Sept. 30, 2008
HLHZ Investments LLC Investment Company Act Notice
28428
Employees Securities Company
812-13392 Sept. 30, 2008
H&Q Healthcare Investors, et al. Investment Company Act Notice
28426
Co-Investment
812-13428 Sept. 30, 2008
MGC Capital Corporation, et al. Investment Company Act Notice
28427
Business Development Companies - Capital Structure
812-13526 Sept. 29, 2008
Phoenix Equity Trust, et al. Investment Company Act Order
28410
Multi-Manager - Voting
812-13533 Sept. 29, 2008
Forward Funds, et al. Investment Company Act Notice
28420
Multi-Manager - Voting
812-13480 Sept. 29, 2008
Dodge & Cox Funds Investment Company Act Notice
28409
Interfund Lending
