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Investment Company Act Notices and Orders
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Chronological List |
Release No. | Date | Details |
Fourth Quarter | ||
812-13839 | ||
IC-29546 | Dec. 30, 2010 | Nuveen Asset Management, et al. (Order) |
812-13780 | ||
IC-29545 | Dec. 29, 2010 | American United Life Insurance Company, et al. (Order) |
812-13816 | ||
IC-29544 | Dec. 28, 2010 | MetLife Insurance Company of Connecticut, et al. (Notice) |
812-13601 | ||
IC-29543 | Dec. 27, 2010 | iShares Trust et al. (Notice) |
812-13698 | ||
IC-29526 | Dec. 14, 2010 | Fifth Street Finance Corp., et al. (Order) |
812-13774 | ||
IC-29525 | Dec. 14, 2010 | ETSpreads, LLC, et al. (Order) |
812-13487 | ||
IC-29524 | Dec. 13, 2010 | SSgA Funds Management, Inc., et al. (Order) |
812-13839 | ||
IC-29522 | Dec. 8, 2010 | Nuveen Asset Management, et al. (Notice) |
812-13780 | ||
IC-29521 | Nov. 30, 2010 | American United Life Insurance Company, et al. (Notice) |
812-13648 | ||
IC-29505 | Nov. 22, 2010 | Nationwide Life Insurance Company, et al. (Order) |
812-13774 | ||
IC-29501 | Nov. 18, 2010 | ETSpreads, LLC, et al. (Notice) |
812-13698 | ||
IC-29500 | Nov. 18, 2010 | Fifth Street Finance Corp., et al. (Notice) |
812-13487 | ||
IC-29499 | Nov. 17, 2010 | SSgA Funds Management, Inc., et al. (Notice) |
812-13808 | ||
IC-29498 | Nov. 15, 2010 | Citigroup Global Markets Inc., et al. (Order) |
812-13605 | ||
IC-29496 | Nov. 3, 2010 | Van Eck Associates Corporation, et al. (Order) |
812-13657 | ||
IC-29494 | Nov. 2, 2010 | Claymore Exchange-Traded Fund Trust, et al. (Order) |
812-13582 | ||
IC-29492 | Oct. 27, 2010 | Dolby Laboratories, Inc. (Order) |
812-13769 | ||
IC-29491 | Oct. 26, 2010 | Capital Southwest Corporation (Order) |
812-13624 | ||
IC-29490 | Oct. 26, 2010 | Van Eck Associates Corporation, et al. (Order) |
813-00358 | ||
IC-29489 | Oct. 26, 2010 | RIEF RMP LLC and Renaissance Technologies LLC (Order) |
812-13770 | ||
IC-29488 | Oct. 26, 2010 | Highland Capital Management, L.P. and Highland Funds I (Order) |
812-13786 | ||
IC-29487 | Oct. 26, 2010 | Northern Lights Fund Trust, et al. (Order) |
812-13648 | ||
IC-29486 | Oct. 25, 2010 | Nationwide Life Insurance Company, et al. (Notice) |
813-00373 | ||
IC-29485 | Oct. 25, 2010 | Elfun Trusts, et al. (Order) |
812-13765 | ||
IC-29484 | Oct. 25, 2010 | Jackson National Life Insurance Company, et al. (Order) |
812-13708 | ||
IC-29483 | Oct. 25, 2010 | American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company (Order) |
812-13771 | ||
IC-29482 | Oct. 22, 2010 | Triangle Capital Corporation, et al. (Order) |
812-13808 | ||
IC-29464 | Oct. 19, 2010 | Citigroup Global Markets Inc., et al. (Notice) |
812-13714 | ||
IC-29460 | Oct. 8, 2010 | American Capital, Ltd. (Order) |
812-13605 | ||
IC-29459 | Oct. 7, 2010 | Van Eck Associates Corporation, et al. (Notice) |
812-13657 | ||
IC-29458 | Oct. 7, 2010 | Claymore Exchange-Traded Fund Trust, et al. (Notice) |
812-13465 | ||
IC-29457 | Oct. 5, 2010 | Tri-Continental Corporation, et al. (Order) |
812-13624 | ||
IC-29455 | Oct. 1, 2010 | Van Eck Associates Corporation, et al. (Notice) |
812-13582 | ||
IC-29454 | Oct. 1, 2010 | Dolby Laboratories, Inc. (Notice) |
Third Quarter | ||
812-13771 | ||
IC-29453 | Sep. 30, 2010 | Triangle Capital Corporation, et al. (Notice) |
812-13786 | ||
IC-29452 | Sep. 30, 2010 | Northern Lights Fund Trust, et al. (Notice) |
812-13769 | ||
IC-29450 | Sep. 29, 2010 | Capital Southwest Corporation (Notice) |
813-00359 | ||
IC-29449 | Sep. 29, 2010 | Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Order) |
812-13661 | ||
IC-29447 | Sep. 28, 2010 | Transamerica Asset Management, Inc., et al. (Order) |
813-358 | ||
IC-29446 | Sep. 28, 2010 | RIEF RMP LLC and Renaissance Technologies LLC (Notice) |
812-13770 | ||
IC-29445 | Sep. 27, 2010 | Highland Capital Management, L.P. and Highland Funds I (Notice) |
812-13708 | ||
IC-29444 | Sep. 27, 2010 | American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company (Notice) |
812-13775 | ||
IC-29443 | Sep. 27, 2010 | Aston Funds, et al. (Order) |
812-13765 | ||
IC-29442 | Sep. 27, 2010 | Jackson National Life Insurance Company, et al. (Notice) |
813-00373 | ||
IC-29441 | Sep. 27, 2010 | Elfun Trusts, et al. (Notice) |
812-13763 | ||
IC-29418 | Sep. 21, 2010 | The Integrity Funds, et al. (Order) |
812-13714 | ||
IC-29416 | Sep. 14, 2010 | American Capital, Ltd. (Notice) |
812-13465 | ||
IC-29415 | Sep. 10, 2010 | Tri-Continental Corporation, et al. (Notice) |
812-13733 | ||
IC-29412 | Sep 8, 2010 | WisdomTree Asset Management Inc., et al. (Order) |
812-13661 | ||
IC-29410 | Sep. 3, 2010 | Transamerica Asset Management, Inc., et al. (Notice) |
813-359 | ||
IC-29409 | Sep. 3, 2010 | Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Notice) |
812-13623 | ||
IC-29407 | Aug. 31, 2010 | Kohlberg Capital Corporation (Order) |
813-00375 | ||
IC-29406 | Aug. 31, 2010 | Blackstone Group, L.P. (Order) |
812-13775 | ||
IC-29400 | Aug. 26, 2010 | Aston Funds, et al. (Notice) |
812-13763 | ||
IC-29399 | Aug. 25, 2010 | The Integrity Funds, et al. (Notice) |
812-13709-01 | ||
IC-29386 | Aug. 25, 2010 | Millington Securities, Inc., et al. (Order) |
812-13807 | ||
IC-29385 | Aug. 25, 2010 | GE Asset Management Incorporated, et al. (Order) |
812-13751 | ||
IC-29383 | Aug. 23, 2010 | Virtus Opportunities Trust, et al. (Order) |
812-13796 | ||
IC-29382 | Aug. 18, 2010 | Goldman, Sachs & Co., et al. (Order) |
812-13707 | ||
IC-29381 | Aug. 18, 2010 | Northern Funds, et al. (Order) |
812-13733 | ||
IC-29380 | Aug. 13, 2010 | WisdomTree Asset Management Inc, et al. (Notice) |
812-13743 | ||
IC-29379 | Aug. 10, 2010 | Federated Enhanced Treasury Income Fund, et al. (Order) |
813-00375 | ||
IC-29378 | Aug. 5, 2010 | The Blackstone Group, L.P. (Notice) |
812-13623 | ||
IC-29376 | Aug. 3, 2010 | Kohlberg Capital Corporation (Notice) |
812-13709-01 | ||
IC-29375 | Jul. 30, 2010 | Millington Securities, Inc., et al. (Notice) |
812-13807 | ||
IC-29374 | Jul. 30, 2010 | GE Asset Management Incorporated and GE Investment Distributors, Inc. (Notice and Temporary Order) |
812-13686 | ||
IC-29372 | Jul. 29, 2010 | AXA Equitable Life Insurance Company, et al. (Order) |
812-13751 | ||
IC-29370 | Jul. 27, 2010 | Virtus Opportunities Trust, et al. (Notice) |
812-13756 | ||
IC-29369 | Jul. 27, 2010 | Nationwide Life Insurance Company, et. al. (Order) |
812-13707 | ||
IC-29368 | Jul. 23, 2010 | Northern Funds, et al. (Notice) |
812-13796 | ||
IC-29366 | Jul. 21, 2010 | Goldman, Sachs & Co., et al. (Notice and Temporary Order) |
812-13218 | ||
IC-29344 | Jul. 21, 2010 | Lazard Global Total Return and Income Fund, Inc., et al. (Order) |
812-13752 | ||
IC-29343 | Jul. 20, 2010 | Korea Finance Corporation (Order) |
812-13713 | ||
IC-29342 | Jul. 15, 2010 | Pruco Life Insurance Company, et. al. (Order) |
812-13743 | ||
IC-29341 | Jul. 14, 2010 | Federated Enhanced Treasury Income Fund, et al. (Notice) |
812-13539 | ||
IC-29339 | Jul. 7, 2010 | DWS Advisor Funds, et al. (Order) |
812-13686 | ||
IC-29338 | Jul. 7, 2010 | AXA Equitable Life Insurance Company, et al. (Notice) |
812-13756 | ||
IC-29337 | Jul. 2, 2010 | Nationwide Life Insurance Company, et. al. (Notice) |
Second Quarter | ||
812-13706 | ||
IC-29336 | Jun. 30, 2010 | EQ Advisors Trust, et al. (Order) |
812-13748 | ||
IC-29335 | Jun. 29, 2010 | FFCM, LLC and FQF Trust (Order) |
812-13752 | ||
IC-29332 | Jun. 25, 2010 | Korea Finance Corporation (Notice) |
812-13218 | ||
IC-29331 | Jun. 24, 2010 | Lazard Global Total Return and Income Fund, Inc., et al. (Notice) |
812-13716 | ||
IC-29303 | Jun. 22, 2010 | Hercules Technology Growth Capital, Inc. (Order) |
812-13713 | ||
IC-29302 | Jun. 18, 2010 | Pruco Life Insurance Company, et. al. (Notice) |
812-13745 | ||
IC-29297 | Jun. 14, 2010 | Kinetics Mutual Funds, Inc., et al. (Order) |
812-13539 | ||
IC-29295 | Jun. 9, 2010 | DWS Advisor Funds, et al. (Notice) |
812-13706 | ||
IC-29294 | Jun. 4, 2010 | EQ Advisors Trust, et al. (Notice) |
812-13710 | ||
IC-29293 | Jun. 3, 2010 | Jackson National Life Insurance Company of New York, et al. (Order) |
812-13748 | ||
IC-29292 | Jun. 2, 2010 | FFCM, LLC and FQF Trust (Notice) |
812-13677 | ||
IC-29291 | May 28, 2010 | AdvisorShares Investments, LLC and AdvisorShares Trust (Order) |
812-13768 | ||
IC-29289 | May 28, 2010 | Harris & Harris Group, Inc. (Certification) |
812-13716 | ||
IC-29287 | May 26, 2010 | Hercules Technology Growth Capital, Inc. (Notice) |
812-13534 | ||
IC-29271 | May 18, 2010 | Claymore Exchange-Traded Fund Trust 3 et al. (Order) |
812-13745 | ||
IC-29270 | May 17, 2010 | Kinetics Mutual Funds, Inc., et al. (Notice) |
812-13702 | ||
IC-29269 | May 17, 2010 | Pax World Funds Trust II, et al. (Order) |
812-13718 | ||
IC-29268 | May 17, 2010 | Calvert Social Investment Fund, et al. (Order) |
812-13651 | ||
IC-29267 | May 12, 2010 | Northern Lights Fund Trust, et al. (Order) |
812-13710 | ||
IC-29265 | May 10, 2010 | Jackson National Life Insurance Company of New York, et al. (Notice) |
812-13677 | ||
IC-29264 | May 6, 2010 | AdvisorShares Investments, LLC and AdvisorShares Trust (Notice) |
812-13703 | ||
IC-29262 | Apr. 30, 2010 | Jackson National Life Insurance Company, et al. (Order) |
812-13687 | ||
IC-29260 | Apr. 27, 2010 | WNC Tax Credits 38, LLC, et al. (Order) |
812-13727 | ||
IC-29259 | Apr. 27, 2010 | Pioneer Bond Fund, et al. (Order) |
812-13667 | ||
IC-29258 | Apr. 26, 2010 | Medallion Financial Corp. (Order) |
812-13702 | ||
IC-29257 | Apr. 26, 2010 | Pax World Funds Trust II, et al. (Notice) |
812-13534 | ||
IC-29256 | Apr. 23, 2010 | Claymore Exchange-Traded Fund Trust 3 et al. (Notice) |
812-13681 | ||
IC-29255 | Apr. 21, 2010 | Legg Mason Partners Equity Trust, et al. (Order) |
812-13058-06 | ||
IC-29213 | Apr. 20, 2010 | RMR Real Estate Income Fund, et al. (Order) |
812-13685 | ||
IC-29212 | Apr. 20, 2010 | Rydex Series Funds, et al. (Order) |
812-13700 | ||
IC-29211 | Apr. 20, 2010 | MetLife Insurance Company of Connecticut, et al. (Order) |
812-13694 | ||
IC-29210 | Apr. 20, 2010 | MCG Capital Corporation (Order) |
812-13718 | ||
IC-29209 | Apr. 19, 2010 | Calvert Social Investment Fund, et al. (Notice) |
812-13651 | ||
IC-29208 | Apr. 16, 2010 | Northern Lights Fund Trust, et al. (Notice) |
812-13753 | ||
IC-29206 | Apr. 9, 2010 | SeaCo Ltd. (Order) |
812-13703 | ||
IC-29205 | Apr. 7, 2010 | Jackson National Life Insurance Company, et al. (Notice) |
812-13690 | ||
IC-29204 | Apr. 7, 2010 | Integrity Life Insurance Company, et al (Order) |
812-13687 | ||
IC-29202 | Apr. 2, 2010 | WNC Tax Credits 38, LLC, et al. (Notice) |
812-13667 | ||
IC-29201 | Apr. 1, 2010 | Medallion Financial Corp. (Notice) |
First Quarter | ||
812-13727 | ||
IC-29198 | Mar. 31, 2010 | Pioneer Bond Fund, et al. (Notice) |
812-13732 | ||
IC-29197 | Mar. 31, 2010 | Lincoln Investment Advisors Corporation, et al. (Order) |
812-13660 | ||
IC-29196 | Mar. 31, 2010 | Lincoln Variable Insurance Products Trust, et al. (Order) |
812-13676 | ||
IC-29195 | Mar. 30, 2010 | The Chile Fund, et al. (Order) |
812-13749 | ||
IC-29194 | Mar. 30, 2010 | The Chile Fund, Inc. (Order) |
812-13681 | ||
IC-29192 | Mar. 26, 2010 | Legg Mason Partners Equity Trust, et al. (Notice) |
812-13694 | ||
IC-29191 | Mar. 25, 2010 | MCG Capital Corporation (Notice) |
812-13700 | ||
IC-29190 | Mar. 25, 2010 | MetLife Insurance Company of Connecticut, et al. (Notice) |
812-13161-01 | ||
IC-29189 | Mar. 24, 2010 | First Trust/Aberdeen Global Opportunity Income Fund, et al. (Order) |
812-13685 | ||
IC-29179 | Mar. 23, 2010 | Rydex Series Funds, et al. (Notice) |
812-13058-06 | ||
IC-29178 | Mar. 23, 2010 | RMR Real Estate Income Fund, et al. (Notice) |
812-13595 | ||
IC-29177 | Mar. 22, 2010 | Millington Securities, Inc., et al. (Order) |
812-13753 | ||
IC-29176 | Mar. 17, 2010 | SeaCo Ltd. (Notice) |
812-13570 | ||
IC-29172 | Mar. 10, 2010 | iShares Trust et al. (Order) |
812-13690 | ||
IC-29171 | Mar. 10, 2010 | Integrity Life Insurance Company, et al (Notice) |
812-13732 | ||
IC-29170 | Mar. 9, 2010 | Lincoln Investment Advisors Corporation, et al. (Notice) |
812-13749 | ||
IC-29169 | Mar. 8, 2010 | The Chile Fund, Inc. (Notice) |
812-13660 | ||
IC-29168 | Mar. 5, 2010 | Lincoln Variable Insurance Products Trust, et al. (Notice) |
812-13676 | ||
IC-29167 | Mar. 2, 2010 | The Chile Fund, et al. (Notice) |
812-13658-01 | ||
IC-29164 | Mar. 1, 2010 | U.S. One, Inc. and U.S. One Trust (Order) |
812-13161-01 | ||
IC-29163 | Feb. 26, 2010 | First Trust/Aberdeen Global Opportunity Income Fund, et al. (Notice) |
812-13595 | ||
IC-29160 | Feb. 25, 2010 | Millington Securities, Inc., et al. (Notice) |
812-13746 | ||
IC-29133 | Feb. 23, 2010 | Assurant, Inc., et al. (Order) |
812-13559 | ||
IC-29130 | Feb. 22, 2010 | ShariahShares Exchange-Traded Fund Trust, et al. (Order) |
812-13570 | ||
IC-29129 | Feb. 16, 2010 | iShares Trust et al. (Notice) |
812-13658-01 | ||
IC-29128 | Feb. 2, 2010 | U.S. One, Inc. and U.S. One Trust (Notice) |
812-13559 | ||
IC-29127 | Jan. 29, 2010 | ShariahShares Exchange-Traded Fund Trust, et al. (Notice) |
812-13746 | ||
IC-29125 | Jan. 26, 2010 | Assurant, Inc., et al. (Notice) |
812-13549 | ||
IC-29124 | Jan. 26, 2010 | MetLife, Inc. et al. (Order) |
812-13728 | ||
IC-29110 | Jan. 12, 2010 | Investools Inc., et al. (Order) |
812-13678 | ||
IC-29109 | Jan. 12, 2010 | Cash Account Trust, et al. (Order) |
ICA File Number List for 2010 |
Release No. | Date | Details |
813-00375 | ||
IC-29406 | Aug. 31, 2010 | Blackstone Group, L.P. (Order) |
IC-29378 | Aug. 5, 2010 | The Blackstone Group, L.P. (Notice) |
813-00373 | ||
IC-29485 | Oct. 25, 2010 | Elfun Trusts, et al. (Order) |
IC-29441 | Sep. 27, 2010 | Elfun Trusts, et al. (Notice) |
813-359 | ||
IC-29449 | Sep. 29, 2010 | Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Order) |
IC-29409 | Sep. 3, 2010 | Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Notice) |
813-358 | ||
IC-29489 | Oct. 26, 2010 | RIEF RMP LLC and Renaissance Technologies LLC (Order) |
IC-29446 | Sep. 28, 2010 | RIEF RMP LLC and Renaissance Technologies LLC (Notice) |
812-13839 | ||
IC-29546 | Dec. 30, 2010 | Nuveen Asset Management, et al. (Order) |
IC-29522 | Dec. 8, 2010 | Nuveen Asset Management, et al. (Notice) |
812-13816 | ||
IC-29570 | Jan. 24, 2011 | MetLife Insurance Company of Connecticut, et al. (Order) |
IC-29544 | Dec. 28, 2010 | MetLife Insurance Company of Connecticut, et al. (Notice) |
812-13808 | ||
IC-29498 | Nov. 15, 2010 | Citigroup Global Markets Inc., et al. (Order) |
IC-29464 | Oct. 19, 2010 | Citigroup Global Markets Inc., et al. (Notice) |
812-13807 | ||
IC-29385 | Aug. 25, 2010 | GE Asset Management Incorporated, et al. (Order) |
IC-29374 | Jul. 30, 2010 | GE Asset Management Incorporated and GE Investment Distributors, Inc. (Notice and Temporary Order) |
812-13796 | ||
IC-29382 | Aug. 18, 2010 | Goldman, Sachs & Co., et al. (Order) |
IC-29366 | Jul. 21, 2010 | Goldman, Sachs & Co., et al. (Notice and Temporary Order) |
812-13786 | ||
IC-29487 | Oct. 26, 2010 | Northern Lights Fund Trust, et al. (Order) |
IC-29452 | Sep. 30, 2010 | Northern Lights Fund Trust, et al. (Notice) |
812-13780 | ||
IC-29545 | Dec. 29, 2010 | American United Life Insurance Company, et al. (Order) |
IC-29521 | Nov. 30, 2010 | American United Life Insurance Company, et al. (Notice) |
812-13775 | ||
IC-29443 | Sep. 27, 2010 | Aston Funds, et al. (Order) |
IC-29400 | Aug. 26, 2010 | Aston Funds, et al. (Notice) |
812-13774 | ||
IC-29525 | Dec. 14, 2010 | ETSpreads, LLC, et al. (Order) |
IC-29501 | Nov. 18, 2010 | ETSpreads, LLC, et al. (Notice) |
812-13771 | ||
IC-29482 | Oct. 22, 2010 | Triangle Capital Corporation, et al. (Order) |
IC-29453 | Sep. 30, 2010 | Triangle Capital Corporation, et al. (Notice) |
812-13770 | ||
IC-29488 | Oct. 26, 2010 | Highland Capital Management, L.P. and Highland Funds I (Order) |
IC-29445 | Sep. 27, 2010 | Highland Capital Management, L.P. and Highland Funds I (Notice) |
812-13769 | ||
IC-29491 | Oct. 26, 2010 | Capital Southwest Corporation (Order) |
IC-29450 | Sep. 29, 2010 | Capital Southwest Corporation (Notice) |
812-13768 | ||
IC-29289 | May 28, 2010 | Harris & Harris Group, Inc. (Certification) |
812-13765 | ||
IC-29484 | Oct. 25, 2010 | Jackson National Life Insurance Company, et al. (Order) |
IC-29442 | Sep. 27, 2010 | Jackson National Life Insurance Company, et al. (Notice) |
812-13763 | ||
IC-29418 | Sep. 21, 2010 | The Integrity Funds, et al. (Order) |
IC-29399 | Aug. 25, 2010 | The Integrity Funds, et al. (Notice) |
812-13756 | ||
IC-29369 | Jul. 27, 2010 | Nationwide Life Insurance Company, et. al. (Order) |
IC-29337 | Jul. 2, 2010 | Nationwide Life Insurance Company, et. al. (Notice) |
812-13753 | ||
IC-29206 | Apr. 9, 2010 | SeaCo Ltd. (Order) |
IC-29176 | Mar. 17, 2010 | SeaCo Ltd. (Notice) |
812-13752 | ||
IC-29343 | Jul. 20, 2010 | Korea Finance Corporation (Order) |
IC-29332 | Jun. 25, 2010 | Korea Finance Corporation (Notice) |
812-13751 | ||
IC-29383 | Aug. 23, 2010 | Virtus Opportunities Trust, et al. (Order) |
IC-29370 | Jul. 27, 2010 | Virtus Opportunities Trust, et al. (Notice) |
812-13749 | ||
IC-29194 | Mar. 30, 2010 | The Chile Fund, Inc. (Order) |
IC-29169 | Mar. 8, 2010 | The Chile Fund, Inc. (Notice) |
812-13748 | ||
IC-29335 | Jun. 29, 2010 | FFCM, LLC and FQF Trust (Order) |
IC-29292 | Jun. 2, 2010 | FFCM, LLC and FQF Trust (Notice) |
812-13746 | ||
IC-29133 | Feb. 23, 2010 | Assurant, Inc., et al. (Order) |
IC-29125 | Jan. 26, 2010 | Assurant, Inc., et al. (Notice) |
812-13745 | ||
IC-29297 | Jun. 14, 2010 | Kinetics Mutual Funds, Inc., et al. (Order) |
IC-29270 | May 17, 2010 | Kinetics Mutual Funds, Inc., et al. (Notice) |
812-13743 | ||
IC-29379 | Aug. 10, 2010 | Federated Enhanced Treasury Income Fund, et al. (Order) |
IC-29341 | Jul. 14, 2010 | Federated Enhanced Treasury Income Fund, et al. (Notice) |
812-13733 | ||
IC-29412 | Sep 8, 2010 | WisdomTree Asset Management Inc., et al. (Order) |
IC-29380 | Aug. 13, 2010 | WisdomTree Asset Management Inc, et al. (Notice) |
812-13732 | ||
IC-29197 | Mar. 31, 2010 | Lincoln Investment Advisors Corporation, et al. (Order) |
IC-29170 | Mar. 9, 2010 | Lincoln Investment Advisors Corporation, et al. (Notice) |
812-13727 | ||
IC-29259 | Apr. 27, 2010 | Pioneer Bond Fund, et al. (Order) |
IC-29198 | Mar. 31, 2010 | Pioneer Bond Fund, et al. (Notice) |
812-13718 | ||
IC-29268 | May 17, 2010 | Calvert Social Investment Fund, et al. (Order) |
IC-29209 | Apr. 19, 2010 | Calvert Social Investment Fund, et al. (Notice) |
812-13716 | ||
IC-29303 | Jun. 22, 2010 | Hercules Technology Growth Capital, Inc. (Order) |
IC-29287 | May 26, 2010 | Hercules Technology Growth Capital, Inc. (Notice) |
812-13714 | ||
IC-29460 | Oct. 8, 2010 | American Capital, Ltd. (Order) |
IC-29416 | Sep. 14, 2010 | American Capital, Ltd. (Notice) |
812-13713 | ||
IC-29342 | Jul. 15, 2010 | Pruco Life Insurance Company, et. al. (Order) |
IC-29302 | Jun. 18, 2010 | Pruco Life Insurance Company, et. al. (Notice) |
812-13710 | ||
IC-29265 | May 10, 2010 | Jackson National Life Insurance Company of New York, et al. (Notice) |
812-13709-01 | ||
IC-29386 | Aug. 25, 2010 | Millington Securities, Inc., et al. (Order) |
IC-29375 | Jul. 30, 2010 | Millington Securities, Inc., et al. (Notice) |
812-13708 | ||
IC-29483 | Oct. 25, 2010 | American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company (Order) |
IC-29444 | Sep. 27, 2010 | American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company (Notice) |
812-13707 | ||
IC-29381 | Aug. 18, 2010 | Northern Funds, et al. (Order) |
IC-29368 | Jul. 23, 2010 | Northern Funds, et al. (Notice) |
812-13706 | ||
IC-29336 | Jun. 30, 2010 | EQ Advisors Trust, et al. (Order) |
IC-29294 | Jun. 4, 2010 | EQ Advisors Trust, et al. (Notice) |
812-13703 | ||
IC-29262 | Apr. 30, 2010 | Jackson National Life Insurance Company, et al. (Order) |
IC-29205 | Apr. 7, 2010 | Jackson National Life Insurance Company, et al. (Notice) |
812-13702 | ||
IC-29269 | May 17, 2010 | Pax World Funds Trust II, et al. (Order) |
IC-29257 | Apr. 26, 2010 | Pax World Funds Trust II, et al. (Notice) |
812-13700 | ||
IC-29211 | Apr. 20, 2010 | MetLife Insurance Company of Connecticut, et al. (Order) |
IC-29190 | Mar. 25, 2010 | MetLife Insurance Company of Connecticut, et al. (Notice) |
812-13698 | ||
IC-29526 | Dec. 14, 2010 | Fifth Street Finance Corp., et al. (Order) |
IC-29500 | Nov. 18, 2010 | Fifth Street Finance Corp., et al. (Notice) |
812-13694 | ||
IC-29210 | Apr. 20, 2010 | MCG Capital Corporation (Order) |
IC-29191 | Mar. 25, 2010 | MCG Capital Corporation (Notice) |
812-13690 | ||
IC-29204 | Apr. 7, 2010 | Integrity Life Insurance Company, et al (Order) |
IC-29171 | Mar. 10, 2010 | Integrity Life Insurance Company, et al (Notice) |
812-13687 | ||
IC-29260 | Apr. 27, 2010 | WNC Tax Credits 38, LLC, et al. (Order) |
IC-29202 | Apr. 2, 2010 | WNC Tax Credits 38, LLC, et al. (Notice) |
812-13686 | ||
IC-29372 | Jul. 29, 2010 | AXA Equitable Life Insurance Company, et al. (Order) |
IC-29338 | Jul. 7, 2010 | AXA Equitable Life Insurance Company, et al. (Notice) |
812-13685 | ||
IC-29212 | Apr. 20, 2010 | Rydex Series Funds, et al. (Order) |
IC-29179 | Mar. 23, 2010 | Rydex Series Funds, et al. (Notice) |
812-13681 | ||
IC-29255 | Apr. 21, 2010 | Legg Mason Partners Equity Trust, et al. (Order) |
IC-29192 | Mar. 26, 2010 | Legg Mason Partners Equity Trust, et al. (Notice) |
812-13677 | ||
IC-29291 | May 28, 2010 | AdvisorShares Investments, LLC and AdvisorShares Trust (Order) |
IC-29264 | May 6, 2010 | AdvisorShares Investments, LLC and AdvisorShares Trust (Notice) |
812-13676 | ||
IC-29195 | Mar. 30, 2010 | The Chile Fund, et al. (Order) |
IC-29167 | Mar. 2, 2010 | The Chile Fund, et al. (Notice) |
812-13667 | ||
IC-29258 | Apr. 26, 2010 | Medallion Financial Corp. (Order) |
IC-29201 | Apr. 1, 2010 | Medallion Financial Corp. (Notice) |
812-13661 | ||
IC-29447 | Sep. 28, 2010 | Transamerica Asset Management, Inc., et al. (Order) |
IC-29410 | Sep. 3, 2010 | Transamerica Asset Management, Inc., et al. (Notice) |
812-13660 | ||
IC-29196 | Mar. 31, 2010 | Lincoln Variable Insurance Products Trust, et al. (Order) |
IC-29168 | Mar. 5, 2010 | Lincoln Variable Insurance Products Trust, et al. (Notice) |
812-13658-01 | ||
IC-29164 | Mar. 1, 2010 | U.S. One, Inc. and U.S. One Trust (Order) |
IC-29128 | Feb. 2, 2010 | U.S. One, Inc. and U.S. One Trust (Notice) |
812-13657 | ||
IC-29458 | Oct. 7, 2010 | Claymore Exchange-Traded Fund Trust, et al. (Notice) |
812-13651 | ||
IC-29267 | May 12, 2010 | Northern Lights Fund Trust, et al. (Order) |
IC-29208 | Apr. 16, 2010 | Northern Lights Fund Trust, et al. (Notice) |
812-13648 | ||
IC-29505 | Nov. 22, 2010 | Nationwide Life Insurance Company, et al. (Order) |
IC-29486 | Oct. 25, 2010 | Nationwide Life Insurance Company, et al. (Notice) |
812-13624 | ||
IC-29490 | Oct. 26, 2010 | Van Eck Associates Corporation, et al. (Order) |
IC-29455 | Oct. 1, 2010 | Van Eck Associates Corporation, et al. (Notice) |
812-13623 | ||
IC-29407 | Aug. 31, 2010 | Kohlberg Capital Corporation (Order) |
IC-29376 | Aug. 3, 2010 | Kohlberg Capital Corporation (Notice) |
812-13605 | ||
IC-29496 | Nov. 3, 2010 | Van Eck Associates Corporation, et al. (Order) |
IC-29459 | Oct. 7, 2010 | Van Eck Associates Corporation, et al. (Notice) |
812-13601 | ||
IC-29571 | Jan. 24, 2011 | iShares Trust et al. (Order) |
IC-29543 | Dec. 27, 2010 | iShares Trust et al. (Notice) |
812-13595 | ||
IC-29177 | Mar. 22, 2010 | Millington Securities, Inc., et al. (Order) |
IC-29160 | Feb. 25, 2010 | Millington Securities, Inc., et al. (Notice) |
812-13582 | ||
IC-29492 | Oct. 27, 2010 | Dolby Laboratories, Inc. (Order) |
IC-29454 | Oct. 1, 2010 | Dolby Laboratories, Inc. (Notice) |
812-13570 | ||
IC-29172 | Mar. 10, 2010 | iShares Trust et al. (Order) |
IC-29129 | Feb. 16, 2010 | iShares Trust et al. (Notice) |
812-13559 | ||
IC-29130 | Feb. 22, 2010 | ShariahShares Exchange-Traded Fund Trust, et al. (Order) |
IC-29127 | Jan. 29, 2010 | ShariahShares Exchange-Traded Fund Trust, et al. (Notice) |
812-13539 | ||
IC-29339 | Jul. 7, 2010 | DWS Advisor Funds, et al. (Order) |
IC-29295 | Jun. 9, 2010 | DWS Advisor Funds, et al. (Notice) |
812-13534 | ||
IC-29271 | May 18, 2010 | Claymore Exchange-Traded Fund Trust 3 et al. (Order) |
IC-29256 | Apr. 23, 2010 | Claymore Exchange-Traded Fund Trust 3 et al. (Notice) |
812-13487 | ||
IC-29524 | Dec. 13, 2010 | SSgA Funds Management, Inc., et al. (Order) |
IC-29499 | Nov. 17, 2010 | SSgA Funds Management, Inc., et al. (Notice) |
812-13465 | ||
IC-29457 | Oct. 5, 2010 | Tri-Continental Corporation, et al. (Order) |
IC-29415 | Sep. 10, 2010 | Tri-Continental Corporation, et al. (Notice) |
812-13218 | ||
IC-29344 | Jul. 21, 2010 | Lazard Global Total Return and Income Fund, Inc., et al. (Order) |
IC-29331 | Jun. 24, 2010 | Lazard Global Total Return and Income Fund, Inc., et al. (Notice) |
812-13161-01 | ||
IC-29189 | Mar. 24, 2010 | First Trust/Aberdeen Global Opportunity Income Fund, et al. (Order) |
IC-29163 | Feb. 26, 2010 | First Trust/Aberdeen Global Opportunity Income Fund, et al. (Notice) |
812-13058-06 | ||
IC-29213 | Apr. 20, 2010 | RMR Real Estate Income Fund, et al. (Order) |
IC-29178 | Mar. 23, 2010 | RMR Real Estate Income Fund, et al. (Notice) |
http://www.sec.gov/rules/ic/icarchive/icarchive2010.shtml
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