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Investment Company Act Notices and Orders
Archive: 2008

This page lists notices and orders of applications filed under the Investment Company Act (ICA). Copies of the applications may be obtained for a fee at the Commission's Public Reference Branch. For other materials related to the Commission's oversight and regulation of the investment management industry, investment companies (including mutual funds), and investment advisers, see the Division of Investment Management.

See also Investment Company Act Deregistration Notices and Orders.

Chronological List
Fourth Quarter | Third Quarter |  Second Quarter | First Quarter

ICA File Number List for 2008

Additional Archives


Chronological List

Release No. Date Details
Fourth Quarter

812-13492
IC-28575 Dec. 30, 2008 RiverSource Life Insurance Company, et al. (Order)

812-13499
IC-28574 Dec. 29, 2008 Franklin Templeton Fund Allocator Series, et al. (Notice)

812-12903
IC-28573 Dec. 29, 2008 Banc of America Funds Trust, et al. (Order)

812-13615
IC-28572 Dec. 23, 2008 Citigroup Global Markets Inc., et al. (Notice and Temporary Order)

812-13440
IC-28571 Dec. 23, 2008 Grail Advisors, LLC and Grail Advisors' Alpha ETF Trust (Notice)

812-13402
IC-28570 Dec. 23, 2008 Sun Life Assurance Company of Canada (U.S.), et al. (Notice)

812-13609
IC-28569 Dec. 23, 2008 UBS Securities LLC, et al. (Notice and Temporary Order)

812-13488
IC-28568 Dec. 23, 2008 AdvisorShares Investments, LLC and AdvisorShares Trust (Notice)
Comments received are available.

812-13563
IC-28530 Dec. 10, 2008 TIAA-CREF Life Funds, et al. (Notice)

813-365
IC-28529 Dec. 9, 2008 Wortham Finance, L.P., et al. (Order)

813-332
IC-28528 Dec. 9, 2008 TWB Investment Partnership, L.P., et al. (Notice)

812-13492
IC-28527 Dec. 4, 2008 RiverSource Life Insurance Company, et al. (Notice)

812-12903
IC-28526 Dec. 1, 2008 Banc of America Funds Trust, et al. (Notice)

812-13548
IC-28524 Nov. 26, 2008 Wells Fargo Funds Trust, et al. (Order)

812-13474
IC-28521 Nov. 25, 2008 Allianz Life Insurance Company of North America, et al. (Order)

812-13077
IC-28486 Nov. 17, 2008 Boulder Total Return Fund, Inc., et al. (Order)

812-13497
IC-28485 Nov. 17, 2008 The Zweig Total Return Fund, Inc., et al. (Order)

813-365
IC-28484 Nov. 10, 2008 Wortham Finance, L.P. et al. (Notice)

812-13063
IC-28483 Nov. 4, 2008 Calamos Convertible Opportunities and Income Fund, et al. (Order)

812-13548
IC-28482 Oct. 31, 2008 Wells Fargo Funds Trust, et al. (Notice)

812-13474
IC-28480 Oct. 30, 2008 Allianz Life Insurance Company of North America, et al. (Notice)

812-13530
IC-28475 Oct. 28, 2008 Aberdeen Asset Management Inc. and Aberdeen Funds (Order)

812-13428
IC-28474 Oct. 28, 2008 MCG Capital Corporation, et al. (Order)

813-355
IC-28473 Oct. 28, 2008 HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Order)

812-13392
IC-28472 Oct. 28, 2008 H&Q Healthcare Investors, et al. (Order)

812-13458
IC-28471 Oct. 27, 2008 WisdomTree Asset Management, Inc. and WisdomTree Trust (Order)

812-13480
IC-28470 Oct. 27, 2008 Dodge & Cox Funds and Dodge & Cox Incorporated (Order)

812-13533
IC-28469 Oct. 27, 2008 Forward Funds and Forward Management, LLC (Order)

812-13477
IC-28468 Oct. 27, 2008 First Trust Advisors L.P., et al. (Order)

812-13491
IC-28467 Oct. 27, 2008 Invesco PowerShares Capital Management LLC, et al. (Order)

812-13585
IC-28466 Oct. 24, 2008 Reserve Municipal Money-Market Trust, et al. (Notice of Application and Temporary Order)
Comments received are available.

812-13576
IC-28465 Oct. 24, 2008 The Reserve Fund (Notice)

812-13540
IC-28464 Oct. 23, 2008 Eaton Vance Floating-Rate Income Trust, et al. (Order)

812-13521
IC-28445 Oct. 21, 2008 Delaware Management Business Trust, et al. (Order)

812-13529
IC-28444 Oct. 21, 2008 Morgan Stanley Series Funds, et al. (Order)

812-13531
IC-28443 Oct. 21, 2008 Aberdeen Asset Management Inc., et al. (Order)

812-13077
IC-28442 Oct. 20, 2008 Boulder Total Return Fund, Inc., et al. (Notice)

812-13497
IC-28441 Oct. 20, 2008 The Zweig Total Return Fund, Inc., et al. (Notice)

812-13506
IC-28440 Oct. 17, 2008 Van Kampen Retirement Strategy Trust, et al. (Order)

812-13514
IC-28439 Oct. 15, 2008 Trust for Professional Managers, et al. (Order)

812-13355
IC-28437 Oct. 14, 2008 Triangle Capital Corporation, et al. (Order)

812-13063
IC-28435 Oct. 7, 2008 Calamos Convertible Opportunities and Income Fund, et al. (Notice)

812-13483
IC-28434 Oct. 6, 2008 Rafferty Asset Management, LLC, et al. (Order)

812-13517
IC-28433 Oct. 3, 2008 Global X Funds and Global X Management Company LLC (Order)

812-13540
IC-28431 Oct. 2, 2008 Eaton Vance Floating-Rate Income Trust, et al. (Notice)

812-13572
IC-28430 Oct. 1, 2008 Prudential Financial, Inc., et al. (Order)
Third Quarter

812-13530
IC-28429 Sep. 30, 2008 Aberdeen Asset Management Inc. and Aberdeen Funds (Notice)

813-355
IC-28428 Sep. 30, 2008 HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Notice)

812-13428
IC-28427 Sep. 30, 2008 MCG Capital Corporation, et al. (Notice)

812-13392
IC-28426 Sep. 30, 2008 H&Q Healthcare Investors, et al. (Notice)

812-13505
IC-28425 Sep. 30, 2008 Fidelity Aberdeen Street Trust, et al. (Order)

812-13477
IC-28421 Sep. 29, 2008 First Trust Advisors L.P. (Notice)

812-13533
IC-28420 Sep. 29, 2008 Forward Funds and Forward Management, LLC (Notice)

812-13458
IC-28419 Sep. 29, 2008 WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice)

812-13381
IC-28412 Sep. 29, 2008 PIMCO Municipal Income Fund, et al. (Order)

812-13491
IC-28411 Sep. 29, 2008 Invesco PowerShares Capital Management LLC, et al. (Notice)

812-13526
IC-28410 Sep. 29, 2008 Phoenix Equity Trust, et al. (Order)

812-13480
IC-28409 Sep. 29, 2008 Dodge & Cox Funds and Dodge & Cox Incorporated (Notice)

812-13531
IC-28407 Sep. 25, 2008 Aberdeen Asset Management Inc., et al. (Notice)

812-13506
IC-28440 Oct. 17, 2008 Van Kampen Retirement Strategy Trust, et al. (Order)
IC-28406 Sep. 25, 2008 Van Kampen Retirement Strategy Trust, et al. (Notice)

812-13521
IC-28405 Sep. 24, 2008 Delaware Management Business Trust, et al. (Notice)

812-13357-01
IC-28389 Sep. 24, 2008 John Hancock Income Securities Trust, John Hancock Investors Trust, John Hancock Patriot Premium Dividend Fund II, John Hancock Preferred Income Fund, John Hancock Preferred Income Fund II, John Hancock Preferred Income Fund III, John Hancock Tax-Advantaged Dividend Income Fund, John Hancock Tax-Advantaged Global Shareholder Yield Fund, and John Hancock Advisers, LLC (Order)

812-13529
IC-28388 Sep. 23, 2008 Morgan Stanley Series Funds, et al. (Notice)

812-13576
IC-28386 Sep. 22, 2008 The Reserve Fund, on behalf of two of its series, the Primary Fund and the U.S. Government Fund (Order)
See also:   Responses to Frequently Asked Questions about The Reserve Fund and Money Market Funds
Comments received are available.

812-13528
IC-28385 Sep. 22, 2008 Aberdeen Asset Management Inc., et al. (Order)

812-13451
IC-28384 Sep. 19, 2008 Allianz Life Insurance Company of North America, et al. (Order)

812-13355
IC-28383 Sep. 19, 2008 Triangle Capital Corporation, et al. (Notice)

812-13514
IC-28382 Sep. 19, 2008 Trust for Professional Managers, et al. (Notice)

812-13483
IC-28379 Sep. 12, 2008 Rafferty Asset Management, LLC, et al. (Notice)

812-13517
IC-28378 Sep. 10, 2008 Global X Funds and Global X Management Company LLC (Notice)

812-13572
IC-28377 Sep. 5, 2008 Prudential Financial, Inc., et al. (Notice and Temporary Order)

812-13505
IC-28376 Sep. 5, 2008 Fidelity Aberdeen Street Trust, et al. (Notice)

812-13526
IC-28375 Sep. 3, 2008 Phoenix Equity Trust, et al. (Notice)

812-13537
IC-28374 Sep. 3, 2008 Advanced Series Trust, et al. (Order)

812-13532
IC-28373 Sep. 3, 2008 Prudential Annuities Life Assurance Corp., et. al. (Order)

812-13357-01
IC-28372 Aug. 29, 2008 John Hancock Income Securities Trust, et al. (Notice)

812-13381
IC-28370 Aug. 29, 2008 PIMCO Municipal Income Fund, et al. (Notice)

812-13451
IC-28369 Aug. 28, 2008 Allianz Life Insurance Company of North America, et al. (Notice)

812-13377
IC-28368 Aug. 26, 2008 DNP Select Income Fund Inc. and Duff & Phelps Investment Management Co. (Order)

812-13425
IC-28367 Aug. 26, 2008 Javelin Exchange-Traded Trust, et al. (Order)

812-13456
IC-28366 Aug. 26, 2008 Goldman Sachs Trust, et al. (Order)

812-13507
IC-28365 Aug. 25, 2008 Van Eck Associates Corporation, et al. (Order)

812-13528
IC-28364 Aug. 25, 2008 Aberdeen Asset Management Inc. and Aberdeen Funds (Notice)

812-13152
IC-28358 Aug. 19, 2008 Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order)

812-13454
IC-28357 Aug. 12, 2008 The Mexico Fund, et al. (Order)

812-13513
IC-28356 Aug. 12, 2008 PIMCO Funds, et al. (Order)

812-13537
IC-28355 Aug. 8, 2008 Advanced Series Trust, et al. (Notice)

812-13532
IC-28354 Aug. 8, 2008 Prudential Annuities Life Assurance Corporation, et. al. (Notice)

812-13074
IC-28352 Aug. 5, 2008 ING Clarion Real Estate Income Fund, et al. (Order)

812-13425
IC-28350 Jul. 31, 2008 Javelin Exchange-Traded Trust, et al. (Notice)

812-13507
IC-28349 Jul. 31, 2008 Van Eck Associates Corporation, et al. (Notice)

812-13377
IC-28348 Jul. 31, 2008 DNP Select Income Fund Inc., et al. (Notice)

812-13456
IC-28347 Jul. 31, 2008 Goldman Sachs Trust, et al. (Notice)

812-13401
IC-28342 Jul. 25, 2008 The Penn Mutual Life Insurance Company, et al. (Order)

812-13152
IC-28341 Jul. 24, 2008 Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Notice)

812-13457
IC-28334 Jul. 22, 2008 Minnesota Life Insurance Company, et al. (Order)

812-13454
IC-28332 Jul. 17, 2008 The Mexico Fund, et al. (Notice)

812-13513
IC-28331 Jul. 17, 2008 PIMCO Funds, et al. (Notice)

812-13074
IC-28329 Jul. 8, 2008 ING Clarion Real Estate Income Fund, et al. (Notice)

812-13401
IC-28328 Jul. 2, 2008 The Penn Mutual Life Insurance Company, et al. (Notice)
Second Quarter

812-13457
IC-28321 Jun. 26, 2008 Minnesota Life Insurance Company, et al. (Notice)

813-369
IC-28301 Jun. 18, 2008 American International Group, Inc., et al. (Order)

812-13475
IC-28300 Jun. 17, 2008 Matrix Capital Group, Inc., et al. (Order)

812-13455
IC-28297 Jun. 6, 2008 Prudential Retirement Insurance and Annuity Company, et al. (Order)

812-13438
IC-28295 Jun. 3, 2008 Main Street Capital Corporation, et al. (Order)

812-13520
IC-28294 May 30, 2008 Harris & Harris Group, Inc. (Order)

813-362
IC-28289 May 28, 2008 The Bessemer Group, Inc., et al. (Order)

812-13496
IC-28288 May 28, 2008 The RBB Fund, Inc. and Abundance Technologies, Inc. (Order)

812-13476
IC-28287 May 28, 2008 Fidelity Rutland Square Trust, et al. (Order)

813-369
IC-28286 May 23, 2008 American International Group, Inc., et al (Notice)

812-13466
IC-28285 May 23, 2008 ING USA Annuity and Life Insurance Company, et al. (Order)

812-13475
IC-28284 May 22, 2008 Matrix Capital Group, Inc., et al. (Notice)

812-13508
IC-28267 May 20, 2008 Thrivent Mutual Funds, et al. (Order)

812-13438
IC-28265 May 8, 2008 Main Street Capital Corporation, et al. (Notice)

812-13246
IC-28264 May 7, 2008 U.S. Bank National Association FAF Advisors, Inc. (Order)

812-13455
IC-28263 May 7, 2008 Prudential Retirement Insurance and Annuity Company, et al. (Notice)

812-13430
IC-28262 May 1, 2008 ALPS Advisers Inc., et al. (Order)

812-13496
IC-28260 Apr. 30, 2008 The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)

812-13476
IC-28259 Apr. 30, 2008 Fidelity Rutland Square Trust, et al. (Notice)

813-362
IC-28258 Apr. 29, 2008 The Bessemer Group, Incorporated, et al. (Notice)

812-13500
IC-28257 Apr. 28, 2008 Franklin California Tax-Free Income Trust, et al. (Order)

812-13466
IC-28256 Apr. 28, 2008 ING USA Annuity and Life Insurance Company, et al. (Notice)

812-13508
IC-28252 Apr. 24, 2008 Thrivent Mutual Funds, et al. (Notice)

812-13368
IC-28239 Apr. 23, 2008 Kohlberg Capital Corporation (Order)

812-13246
IC-28238 Apr. 16, 2008 U.S. Bank National Association, et al. (Notice)

812-13445
IC-28237 Apr. 16, 2008 American Family Life Insurance Company, et al. (Order)

812-13439
IC-28236 Apr. 16, 2008 MetLife Insurance Company of Connecticut, et al. (Order)

812-13430
IC-28235 Apr. 9, 2008 ALPS Advisers, Inc. (Notice)

81213452
IC-28234 Apr. 3, 2008 Jefferson National Life Insurance Company, et al. (Order)

812-13446
IC-28233 Apr. 1, 2008 Prudential Annuities Life Assurance Corporation, et al. (Order)

812-13423
IC-28232 Apr. 1, 2008 CUNA Mutual Insurance Society, et al. (Order)

812-13437
IC-28231 Apr. 1, 2008 Pruco Life Insurance Company, et al. (Order)

812-13418
IC-28230 Apr. 1, 2008 JPMorgan Trust I, et al. (Order)
First Quarter

812-13500
IC-28229 Mar. 31, 2008 Franklin California Tax-Free Income Fund, et al. (Notice)

812-13368
IC-28228 Mar. 28, 2008 Kohlberg Capital Corporation (Notice)

811-4193
IC-28203 Mar. 26, 2008 RSI Retirement Trust (Order)

812-13481
IC-28202 Mar. 25, 2008 Eaton Vance Mutual Funds Trust, et al. (Order)

812-13473
IC-28201 Mar. 25, 2008 Advisors Series Trust, et al. (Order)

812-13348
IC-28200 Mar. 25, 2008 Patriot Capital Funding, Inc. (Order)

812-13367
IC-28199 Mar. 24, 2008 Kohlberg Capital Corporation (Order)

812-13445
IC-28197 Mar. 19, 2008 American Family Life Insurance Company, et al. (Notice)

812-13447
IC-28196 Mar. 18, 2008 Triangle Capital Corporation (Order)

812-13444
IC-28195 Mar. 17, 2008 NETS Trust (Order)

812-13452
IC-28191 Mar. 10, 2008 Jefferson National Life Insurance Company, et al. (Notice)

812-13439
IC-28190 Mar. 10, 2008 MetLife Insurance Company of Connecticut, et al. (Notice)

811-4193
IC-28184 Mar. 5, 2008 RSI Retirement Trust (Notice)

812-13418
IC-28183 Mar. 4, 2008 JPMorgan Trust I, et al. (Notice)

812-13427
IC-28182 Mar. 4, 2008 Pioneer Bond Fund, et al. (Order)

812-13423
IC-28181 Mar. 4, 2008 CUNA Mutual Insurance Society, et al. (Notice)

812-13437
IC-28180 Mar. 4, 2008 Pruco Life Insurance Company, et al. (Notice)

812-13446
IC-28179 Mar. 4, 2008 Prudential Annuities Life Assurance Corporation, et al. (Notice)

812-13348
IC-28176 Feb. 28, 2008 Patriot Capital Funding, Inc. (Notice)

812-13473
IC-28175 Feb. 27, 2008 Advisors Series Trust, et al. (Notice)

812-13470
IC-28174 Feb. 27, 2008 WisdomTree Trust, et al. (Order)

812-13485
IC-28173 Feb. 27, 2008 Barclays Global Fund Advisors, et al. (Order)

812-13352
IC-28172 Feb. 27, 2008 Bear Stearns Asset Management, Inc., et al. (Order)

812-13386
IC-28171 Feb. 27, 2008 PowerShares Capital Management LLC, et al. (Order)

812-13481
IC-28170 Feb. 26, 2008 Eaton Vance Mutual Funds Trust, et al. (Notice)

812-13436
IC-28169 Feb. 26, 2008 MLIG Variable Insurance Trust (Order)

812-13367
IC-28168 Feb. 25, 2008 Kohlberg Capital Corporation (Notice)

812-13467
IC-28167 Feb. 25, 2008 Schroder Series Trust, et al. (Order)

812-13444
IC-28166 Feb. 25, 2008 NETS Trust, et al. (Notice)

812-13447
IC-28165 Feb. 20, 2008 Triangle Capital Corporation (Notice)

812-13363
IC-28151 Feb. 13, 2008 The TIGERS Revenue Trust and VTL Associates, LLC (Order)

812-13213
IC-28150 Feb. 13, 2008 Morgan Stanley Investment Management Inc., et al. (Order)

812-13424
IC-28149 Feb. 12, 2008 Northern Institutional Funds, Northern Funds, Northern Trust Investments, N.A. (Order)

812-13470
IC-28147 Feb. 6, 2008 Wisdom Tree Trust, et al. (Notice)

812-13485
IC-28146 Feb. 6, 2008 Barclays Global Fund Advisors, et al. (Notice)

812-13427
IC-28144 Feb. 5, 2008 Pioneer Bond Fund, et al. (Notice)

812-13352
IC-28143 Feb. 5, 2008 Bear Stearns Asset Management, Inc., et al. (Notice)

812-13386
IC-28140 Feb. 1, 2008 PowerShares Capital Management LLC, et al. (Notice)

812-13436
IC-28139 Jan. 31, 2008 MLIG Variable Insurance Trust and Roszel Advisors, LLC (Notice)

812-13467
IC-28133 Jan. 24, 2008 Schroder Series Trust, et al. (Notice)

812-13213
IC-28125 Jan. 18, 2008 Morgan Stanley Investment Management Inc., et al. (Notice)

812-13363
IC-28123 Jan. 18, 2008 The TIGERS Revenue Trust and VTL Associates, LLC (Notice)

812-13453
IC-28122 Jan. 16, 2008 The UBS Funds, et al. (Order)

812-13464
IC-28121 Jan. 16, 2008 Millennium India Acquisition Company, Inc. (Order)

812-13411
IC-28120 Jan. 16, 2008 Main Street Capital Corporation, et al. (Order)

812-13424
IC-28119 Jan. 16, 2008 Northern Institutional Funds (Notice)


ICA File Number List for 2008
Release No. Date Details

813-369
IC-28301 Jun. 18, 2008 American International Group, Inc., et al. (Order)
IC-28286 May 23, 2008 American International Group, Inc., et al (Notice)

813-365
IC-28529 Dec. 9, 2008 Wortham Finance, L.P., et al. (Order)
IC-28484 Nov. 10, 2008 Wortham Finance, L.P. et al. (Notice)

813-362
IC-28289 May 28, 2008 The Bessemer Group, Inc., et al. (Order)
IC-28258 Apr. 29, 2008 The Bessemer Group, Incorporated, et al. (Notice)

813-355
IC-28473 Oct. 28, 2008 HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Order)
IC-28428 Sep. 30, 2008 HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Notice)

813-332
IC-28576 Jan. 6, 2009 TWB Investment Partnership, L.P., et al. (Order)
IC-28528 Dec. 9, 2008 TWB Investment Partnership, L.P., et al. (Notice)

812-13615
IC-28572 Dec. 23, 2008 Citigroup Global Markets Inc., et al. (Notice and Temporary Order)

812-13609
IC-28569 Dec. 23, 2008 UBS Securities LLC, et al. (Notice and Temporary Order)

812-13585
IC-28466 Oct. 24, 2008 Reserve Municipal Money-Market Trust, et al. (Notice of Application and Temporary Order)
IC-28386 Sep. 22, 2008 The Reserve Fund, on behalf of two of its series, the Primary Fund and the U.S. Government Fund (Order)
Comments received are available.

812-13576
IC-28465 Oct. 24, 2008 The Reserve Fund (Notice)

812-13572
IC-28430 Oct. 1, 2008 Prudential Financial, Inc., et al. (Order)
IC-28377 Sep. 5, 2008 Prudential Financial, Inc., et al. (Notice and Temporary Order)

812-13563
IC-28577 Jan. 6, 2009 TIAA-CREF Life Funds, et al. (Order)
IC-28530 Dec. 10, 2008 TIAA-CREF Life Funds, et al. (Notice)

812-13548
IC-28524 Nov. 26, 2008 Wells Fargo Funds Trust, et al. (Order)
IC-28482 Oct. 31, 2008 Wells Fargo Funds Trust, et al. (Notice)

812-13540
IC-28464 Oct. 23, 2008 Eaton Vance Floating-Rate Income Trust, et al. (Order)
IC-28431 Oct. 2, 2008 Eaton Vance Floating-Rate Income Trust, et al. (Notice)

812-13537
IC-28374 Sep. 3, 2008 Advanced Series Trust, et al. (Order)
IC-28355 Aug. 8, 2008 Advanced Series Trust, et al. (Notice)

812-13533
IC-28469 Oct. 27, 2008 Forward Funds and Forward Management, LLC (Order)
IC-28420 Sep. 29, 2008 Forward Funds and Forward Management, LLC (Notice)

812-13532
IC-28373 Sep. 3, 2008 Prudential Annuities Life Assurance Corp., et. al. (Order)
IC-28354 Aug. 8, 2008 Prudential Annuities Life Assurance Corporation, et. al. (Notice)

812-13531
IC-28443 Oct. 21, 2008 Aberdeen Asset Management Inc., et al. (Order)
IC-28407 Sep. 25, 2008 Aberdeen Asset Management Inc., et al. (Notice)

812-13530
IC-28475 Oct. 28, 2008 Aberdeen Asset Management Inc. and Aberdeen Funds (Order)
IC-28429 Sep. 30, 2008 Aberdeen Asset Management Inc. and Aberdeen Funds (Notice)

812-13529
IC-28444 Oct. 21, 2008 Morgan Stanley Series Funds, et al. (Order)
IC-28388 Sep. 23, 2008 Morgan Stanley Series Funds, et al. (Notice)

812-13528
IC-28385 Sep. 22, 2008 Aberdeen Asset Management Inc., et al. (Order)
IC-28364 Aug. 25, 2008 Aberdeen Asset Management Inc. and Aberdeen Funds (Notice)

812-13526
IC-28410 Sep. 29, 2008 Phoenix Equity Trust, et al. (Order)
IC-28375 Sep. 3, 2008 Phoenix Equity Trust, et al. (Notice)

812-13521
IC-28445 Oct. 21, 2008 Delaware Management Business Trust, et al. (Order)
IC-28405 Sep. 24, 2008 Delaware Management Business Trust, et al. (Notice)

812-13520
IC-28294 May 30, 2008 Harris & Harris Group, Inc. (Order)

812-13517
IC-28433 Oct. 3, 2008 Global X Funds and Global X Management Company LLC (Order)
IC-28378 Sep. 10, 2008 Global X Funds and Global X Management Company LLC (Notice)

812-13514
IC-28439 Oct. 15, 2008 Trust for Professional Managers, et al. (Order)
IC-28382 Sep. 19, 2008 Trust for Professional Managers, et al. (Notice)

812-13513
IC-28356 Aug. 12, 2008 PIMCO Funds, et al. (Order)
IC-28331 Jul. 17, 2008 PIMCO Funds, et al. (Notice)

812-13508
IC-28267 May 20, 2008 Thrivent Mutual Funds, et al. (Order)
IC-28252 Apr. 24, 2008 Thrivent Mutual Funds, et al. (Notice)

812-13507
IC-28365 Aug. 25, 2008 Van Eck Associates Corporation, et al. (Order)
IC-28349 Jul. 31, 2008 Van Eck Associates Corporation, et al. (Notice)

812-13506
IC-28406 Sep. 25, 2008 Van Kampen Retirement Strategy Trust, et al. (Notice)

812-13505
IC-28425 Sep. 30, 2008 Fidelity Aberdeen Street Trust, et al. (Order)
IC-28376 Sep. 5, 2008 Fidelity Aberdeen Street Trust, et al. (Notice)

812-13500
IC-28257 Apr. 28, 2008 Franklin California Tax-Free Income Trust, et al. (Order)
IC-28229 Mar. 31, 2008 Franklin California Tax-Free Income Fund, et al. (Notice)

812-13499
IC-28574 Dec. 29, 2008 Franklin Templeton Fund Allocator Series, et al. (Notice)

812-13497
IC-28485 Nov. 17, 2008 The Zweig Total Return Fund, Inc., et al. (Order)
IC-28441 Oct. 20, 2008 The Zweig Total Return Fund, Inc., et al. (Notice)

812-13496
IC-28288 May 28, 2008 The RBB Fund, Inc. and Abundance Technologies, Inc. (Order)
IC-28260 Apr. 30, 2008 The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)

812-13492
IC-28575 Dec. 30, 2008 RiverSource Life Insurance Company, et al. (Order)
IC-28527 Dec. 4, 2008 RiverSource Life Insurance Company, et al. (Notice)

812-13491
IC-28467 Oct. 27, 2008 Invesco PowerShares Capital Management LLC, et al. (Order)
IC-28411 Sep. 29, 2008 Invesco PowerShares Capital Management LLC, et al. (Notice)

812-13488
IC-28568 Dec. 23, 2008 AdvisorShares Investments, LLC and AdvisorShares Trust (Notice)

812-13485
IC-28173 Feb. 27, 2008 Barclays Global Fund Advisors, et al. (Order)
IC-28146 Feb. 6, 2008 Barclays Global Fund Advisors, et al. (Notice)

812-13483
IC-28434 Oct. 6, 2008 Rafferty Asset Management, LLC, et al. (Order)
IC-28379 Sep. 12, 2008 Rafferty Asset Management, LLC, et al. (Notice)

812-13481
IC-28202 Mar. 25, 2008 Eaton Vance Mutual Funds Trust, et al. (Order)
IC-28170 Feb. 26, 2008 Eaton Vance Mutual Funds Trust, et al. (Notice)

812-13480
IC-28470 Oct. 27, 2008 Dodge & Cox Funds and Dodge & Cox Incorporated (Order)
IC-28409 Sep. 29, 2008 Dodge & Cox Funds and Dodge & Cox Incorporated (Notice)

812-13477
IC-28468 Oct. 27, 2008 First Trust Advisors L.P., et al. (Order)
IC-28421 Sep. 29, 2008 First Trust Advisors L.P. (Notice)

812-13476
IC-28287 May 28, 2008 Fidelity Rutland Square Trust, et al. (Order)
IC-28259 Apr. 30, 2008 Fidelity Rutland Square Trust, et al. (Notice)

812-13475
IC-28300 Jun. 17, 2008 Matrix Capital Group, Inc., et al. (Order)
IC-28284 May 22, 2008 Matrix Capital Group, Inc., et al. (Notice)

812-13474
IC-28521 Nov. 25, 2008 Allianz Life Insurance Company of North America, et al. (Order)
IC-28480 Oct. 30, 2008 Allianz Life Insurance Company of North America, et al. (Notice)

812-13473
IC-28201 Mar. 25, 2008 Advisors Series Trust, et al. (Order)
IC-28175 Feb. 27, 2008 Advisors Series Trust, et al. (Notice)

812-13470
IC-28174 Feb. 27, 2008 WisdomTree Trust, et al. (Order)
IC-28147 Feb. 6, 2008 Wisdom Tree Trust, et al. (Notice)

812-13467
IC-28167 Feb. 25, 2008 Schroder Series Trust, et al. (Order)
IC-28133 Jan. 24, 2008 Schroder Series Trust, et al. (Notice)

812-13466
IC-28285 May 23, 2008 ING USA Annuity and Life Insurance Company, et al. (Order)
IC-28256 Apr. 28, 2008 ING USA Annuity and Life Insurance Company, et al. (Notice)

812-13464
IC-28121 Jan. 16, 2008 Millennium India Acquisition Company, Inc. (Order)
See also:  Notice: Rel. No. IC-28083

812-13458
IC-28471 Oct. 27, 2008 WisdomTree Asset Management, Inc. and WisdomTree Trust (Order)
IC-28419 Sep. 29, 2008 WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice)

812-13457
IC-28334 Jul. 22, 2008 Minnesota Life Insurance Company, et al. (Order)
IC-28321 Jun. 27, 2008 Minnesota Life Insurance Company, et al. (Notice)

812-13456
IC-28366 Aug. 26, 2008 Goldman Sachs Trust, et al. (Order)
IC-28347 Jul. 31, 2008 Goldman Sachs Trust, et al. (Notice)

812-13455
IC-28297 Jun. 6, 2008 Prudential Retirement Insurance and Annuity Company, et al. (Order)
IC-28263 May 7, 2008 Prudential Retirement Insurance and Annuity Company, et al. (Notice)

812-13454
IC-28357 Aug. 12, 2008 The Mexico Fund, et al. (Order)
IC-28332 Jul. 17, 2008 The Mexico Fund, et al. (Notice)

812-13453
IC-28122 Jan. 16, 2008 The UBS Funds, et al. (Order)
See also:  Notice: Rel. No. IC-28080

81213452
IC-28234 Apr. 3, 2008 Jefferson National Life Insurance Company, et al. (Order)
IC-28191 Mar. 10, 2008 Jefferson National Life Insurance Company, et al. (Notice)

812-13451
IC-28384 Sep. 19, 2008 Allianz Life Insurance Company of North America, et al. (Order)
IC-28369 Aug. 28, 2008 Allianz Life Insurance Company of North America, et al. (Notice)

812-13447
IC-28196 Mar. 18, 2008 Triangle Capital Corporation (Order)
IC-28165 Feb. 20, 2008 Triangle Capital Corporation (Notice)

812-13446
IC-28233 Apr. 1, 2008 Prudential Annuities Life Assurance Corporation, et al. (Order)
IC-28179 Mar. 4, 2008 Prudential Annuities Life Assurance Corporation, et al. (Notice)

812-13445
IC-28237 Apr. 16, 2008 American Family Life Insurance Company, et al. (Order)
IC-28197 Mar. 19, 2008 American Family Life Insurance Company, et al. (Notice)

812-13444
IC-28195 Mar. 17, 2008 NETS Trust (Order)
IC-28166 Feb. 25, 2008 NETS Trust, et al. (Notice)

812-13440
IC-28571 Dec. 23, 2008 Grail Advisors, LLC and Grail Advisors' Alpha ETF Trust (Notice)

812-13439
IC-28236 Apr. 16, 2008 MetLife Insurance Company of Connecticut, et al. (Order)
IC-28190 Mar. 10, 2008 MetLife Insurance Company of Connecticut, et al. (Notice)

812-13438
IC-28295 Jun. 3, 2008 Main Street Capital Corporation, et al. (Order)
IC-28265 May 8, 2008 Main Street Capital Corporation, et al. (Notice)

812-13437
IC-28231 Apr. 1, 2008 Pruco Life Insurance Company, et al. (Order)
IC-28180 Mar. 4, 2008 Pruco Life Insurance Company, et al. (Notice)

812-13436
IC-28169 Feb. 26, 2008 MLIG Variable Insurance Trust (Order)
IC-28139 Jan. 31, 2008 MLIG Variable Insurance Trust and Roszel Advisors, LLC (Notice)

812-13430
IC-28262 May 1, 2008 ALPS Advisers Inc., et al. (Order)
IC-28235 Apr. 9, 2008 ALPS Advisers, Inc. (Notice)

812-13428
IC-28474 Oct. 28, 2008 MCG Capital Corporation, et al. (Order)
IC-28427 Sep. 30, 2008 MCG Capital Corporation, et al. (Notice)

812-13427
IC-28182 Mar. 4, 2008 Pioneer Bond Fund, et al. (Order)
IC-28144 Feb. 5, 2008 Pioneer Bond Fund, et al. (Notice)

812-13425
IC-28367 Aug. 26, 2008 Javelin Exchange-Traded Trust, et al. (Order)
IC-28350 Jul. 31, 2008 Javelin Exchange-Traded Trust, et al. (Notice)

812-13424
IC-28149 Feb. 12, 2008 Northern Institutional Funds, Northern Funds, Northern Trust Investments, N.A. (Order)
IC-28119 Jan. 16, 2008 Northern Institutional Funds (Notice)

812-13423
IC-28232 Apr. 1, 2008 CUNA Mutual Insurance Society, et al. (Order)
IC-28181 Mar. 4, 2008 CUNA Mutual Insurance Society, et al. (Notice)

812-13418
IC-28183 Mar. 4, 2008 JPMorgan Trust I, et al. (Notice)
IC-28230 Apr. 1, 2008 JPMorgan Trust I, et al. (Order)

812-13411
IC-28120 Jan. 16, 2008 Main Street Capital Corporation, et al. (Order)
See also:  Notice: Rel. No. IC-28082

812-13402
IC-28607 Jan. 22, 2009 Sun Life Assurance Company of Canada (U.S.), et al. (Order)
IC-28570 Dec. 23, 2008 Sun Life Assurance Company of Canada (U.S.), et al. (Notice)

812-13401
IC-28342 Jul. 25, 2008 The Penn Mutual Life Insurance Company, et al. (Order)
IC-28328 Jul. 2, 2008 The Penn Mutual Life Insurance Company, et al. (Notice)

812-13392
IC-28472 Oct. 28, 2008 H&Q Healthcare Investors, et al. (Order)
IC-28426 Sep. 30, 2008 H&Q Healthcare Investors, et al. (Notice)

812-13386
IC-28171 Feb. 27, 2008 PowerShares Capital Management LLC, et al. (Order)
IC-28140 Feb. 1, 2008 PowerShares Capital Management LLC, et al. (Notice)

812-13381
IC-28412 Sep. 29, 2008 PIMCO Municipal Income Fund, et al. (Order)
IC-28370 Aug. 29, 2008 PIMCO Municipal Income Fund, et al. (Notice)

812-13377
IC-28368 Aug. 26, 2008 DNP Select Income Fund Inc. and Duff & Phelps Investment Management Co. (Order)
IC-28348 Jul. 31, 2008 DNP Select Income Fund Inc., et al. (Notice)

812-13368
IC-28239 Apr. 23, 2008 Kohlberg Capital Corporation (Order)
IC-28228 Mar. 28, 2008 Kohlberg Capital Corporation (Notice)

812-13367
IC-28199 Mar. 24, 2008 Kohlberg Capital Corporation (Order)
IC-28168 Feb. 25, 2008 Kohlberg Capital Corporation (Notice)

812-13363
IC-28151 Feb. 13, 2008 The TIGERS Revenue Trust and VTL Associates, LLC (Order)
IC-28123 Jan. 18, 2008 The TIGERS Revenue Trust and VTL Associates, LLC (Notice)

812-13357-01
IC-28389 Sep. 24, 2008 John Hancock Income Securities Trust, John Hancock Investors Trust, John Hancock Patriot Premium Dividend Fund II, John Hancock Preferred Income Fund, John Hancock Preferred Income Fund II, John Hancock Preferred Income Fund III, John Hancock Tax-Advantaged Dividend Income Fund, John Hancock Tax-Advantaged Global Shareholder Yield Fund, and John Hancock Advisers, LLC (Order)
IC-28372 Aug. 29, 2008 John Hancock Income Securities Trust, et al. (Notice)

812-13355
IC-28437 Oct. 14, 2008 Triangle Capital Corporation, et al. (Order)
IC-28383 Sep. 19, 2008 Triangle Capital Corporation, et al. (Notice)

812-13352
IC-28172 Feb. 27, 2008 Bear Stearns Asset Management, Inc., et al. (Order)
IC-28143 Feb. 5, 2008 Bear Stearns Asset Management, Inc., et al. (Notice)

812-13348
IC-28200 Mar. 25, 2008 Patriot Capital Funding, Inc. (Order)
IC-28176 Feb. 28, 2008 Patriot Capital Funding, Inc. (Notice)

812-13246
IC-28264 May 7, 2008 U.S. Bank National Association FAF Advisors, Inc. (Order)
IC-28238 Apr. 16, 2008 U.S. Bank National Association, et al. (Notice)

812-13213
IC-28150 Feb. 13, 2008 Morgan Stanley Investment Management Inc., et al. (Order)
IC-28125 Jan. 18, 2008 Morgan Stanley Investment Management Inc., et al. (Notice)

812-13152
IC-28358 Aug. 19, 2008 Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order)
IC-28341 Jul. 24, 2008 Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Notice)

812-13077
IC-28486 Nov. 17, 2008 Boulder Total Return Fund, Inc., et al. (Order)
IC-28442 Oct. 20, 2008 Boulder Total Return Fund, Inc., et al. (Notice)

812-13074
IC-28352 Aug. 5, 2008 ING Clarion Real Estate Income Fund, et al. (Order)
IC-28329 Jul. 8, 2008 ING Clarion Real Estate Income Fund, et al. (Notice)

812-13063
IC-28483 Nov. 4, 2008 Calamos Convertible Opportunities and Income Fund, et al. (Order)
IC-28435 Oct. 7, 2008 Calamos Convertible Opportunities and Income Fund, et al. (Notice)

812-12903
IC-28573 Dec. 29, 2008 Banc of America Funds Trust, et al. (Order)
IC-28526 Dec. 1, 2008 Banc of America Funds Trust, et al. (Notice)

811-4193
IC-28203 Mar. 26, 2008 RSI Retirement Trust (Order)
IC-28184 Mar. 5, 2008 RSI Retirement Trust (Notice)

 

http://www.sec.gov/rules/ic/icarchive/icarchive2008.shtml


Modified: 01/25/2011