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Investment Company Act Notices and Orders
Archive: 2010

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 2010

Additional Archives


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


Modified: 01/25/2011