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Investment Company Act Notices and Orders
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A | |||
| File No. | Release No. | Date | Investment Company |
|---|---|---|---|
| 812-14682 | IC-32735 | Jul. 18, 2017 | 1889 BDC, Inc., et al. (Order) |
| 812-14682 | IC-32687 | Jun. 21, 2017 | 1889 BDC, Inc., et al. (Notice) |
| 812-13251 | IC-27918 | Jul. 31, 2007 | AARP Funds, et al. (Notice) |
| 812-13251 | IC-27956 | Aug. 28, 2007 | AARP Funds, et al. (Order) |
| 812-14677 | IC-32600 | Apr. 18, 2017 | AB Bond Fund, Inc., et al. (Order) |
| 812-14677 | IC-32540 | Mar. 22, 2017 | AB Bond Fund Inc., et al. (Notice) |
| 812-14235 | IC-31496 | Mar. 3, 2015 | AB Cap Fund, Inc., Alliancebernstein L.P. (Order) |
| 812-14235 | IC-31449 | Feb. 6, 2015 | AB Cap Fund, Inc., et al. (Notice) |
| 812-14925 | IC-33191 | Aug. 6, 2018 | AB Private Credit Investors Corp., et al. (Order) |
| 812-14925 | IC-33152 | Jul. 9, 2018 | AB Private Credit Investors Corp., et al. (Notice) |
| 812-14670 | IC-33080 | Apr. 24, 2018 | Aberdeen Asset Management Inc., et al. (Order) |
| 812-14670 | IC-33058 | Mar. 27, 2018 | Aberdeen Asset Management Inc., et al. (Notice) |
| 812-13530 | IC-28429 | Sep. 30, 2008 | Aberdeen Asset Management Inc. and Aberdeen Funds (Notice) |
| 812-13528 | IC-28364 | Aug. 25, 2008 | Aberdeen Asset Management Inc. and Aberdeen Funds (Notice) |
| 812-13530 | IC-28475 | Oct. 28, 2008 | Aberdeen Asset Management Inc. and Aberdeen Funds (Order) |
| 812-13531 | IC-28407 | Sep. 25, 2008 | Aberdeen Asset Management Inc., et al. (Notice) |
| 812-13531 | IC-28443 | Oct. 21, 2008 | Aberdeen Asset Management Inc., et al. (Order) |
| 812-13528 | IC-28385 | Sep. 22, 2008 | Aberdeen Asset Management Inc., et al. (Order) |
| 812-14453 | IC-32310 | Oct. 11, 2016 | AB Private Credit Investors Corporation, et al. (Order) |
| 812-14453 | IC-32261 | Sep. 13, 2016 | AB Private Credit Investors Corporation, et al. (Notice) |
| 812-14587 | IC-32116 | May 18, 2016 | ABS Long/Short Strategies Fund and ABS Investment Management LLC (Order) |
| 812-14587 | IC-32090 | Apr. 21, 2016 | ABS Long/Short Strategies Fund and ABS Investment Management LLC (Notice) |
| 812-14274 | IC-31079 | Jun. 12, 2014 | Absolute Shares Trust, et al. (Notice) |
| 812-14274 | IC-31150 | Jul. 8, 2014 | Absolute Shares Trust, et al. (Order) |
| 812-14237 | IC-30915 | Feb. 11, 2014 | Acacia Asset Management LLC and Acacia Trust (Notice) |
| 812-14237 | IC-30978 | Mar. 11, 2014 | Acacia Asset Management LLC and Acacia Trust (Order) |
| 812-14358 | IC-31711 | Jul. 9, 2015 | Academy Funds Trust and Innovator Management LLC (Order) |
| 812-14358 | IC-31679 | Jun. 17, 2015 | Academy Funds Trust and Innovator Management LLC (Notice) |
| 812-14333 | IC-31406 | Jan. 6, 2015 | ACAP Strategic Fund Silverbay Capital Management LLC (Order) |
| 812-14333 | IC-31372 | Dec. 11, 2014 | ACAP Strategic Fund and SilverBay Capital Management LLC (Notice) |
| 812-14066 | IC-30602 | Jul. 19, 2013 | ACS Wireless, Inc. (Order) |
| 812-14066 | IC-30567 | Jun. 25, 2013 | ACS Wireless, Inc (Notice) |
| 812-14696 | IC-32859 | Oct. 11, 2017 | Active Weighting Funds ETF Trust and Active Weighting Advisors LLC (Order) |
| 812-14697 | IC-32848 | Oct. 3, 2017 | Active Weighting Funds ETF Trust and Active Weighting Advisors LLC (Order) |
| 812-14696 | IC-32820 | Sep. 18, 2017 | Active Weighting Funds ETF Trust and Active Weighting Advisors LLC (Notice) |
| 812-14697 | IC-32808 | Sep. 6, 2017 | Active Weighting Funds ETF Trust and Active Weighting Advisors LLC (Notice) |
| 812-14300 | IC-31452 | Feb. 9, 2015 | The Adams Express Company and Petroleum & Resources Corporation (Notice) |
| 812-14064 | IC-30304 | Dec. 13, 2012 | The Adams Express Company and Petroleum & Resources Corporation (Notice) |
| 812-14064 | IC-30344 | Jan. 8, 2013 | The Adams Express Company and Petroleum & Resources Corporation (Order) |
| 812-14748 | IC-32817 | Sep. 12, 2017 | Advanced Series Trust, et al. (Order) |
| 812-14748 | IC-32778 | Aug. 15, 2017 | Advanced Series Trust, et al. (Notice) |
| 812-14608 | IC-32593 | Apr. 5, 2017 | Advanced Series Trust, et al. (Order) |
| 812-14608 | IC-32523 | Mar. 7, 2017 | Advanced Series Trust, et al. (Notice) |
| 812-14159 | IC-31342 | Nov. 20, 2014 | Advanced Series Trust, et al. (Notice) |
| 812-14159 | IC-31377 | Dec. 16, 2014 | Advanced Series Trust, et al. (Order) |
| 812-13537 | IC-28355 | Aug. 8, 2008 | Advanced Series Trust, et al. (Notice) |
| 812-13537 | IC-28374 | Sep. 3, 2008 | Advanced Series Trust, et al. (Order) |
| 812-14686 | IC-32729 | Jul. 10, 2017 | Advent/Claymore Enhanced Growth & Income Fund (Order) |
| 812-14686 | IC-32537 | Mar. 20, 2017 | Advent/Claymore Enhanced Growth & Income Fund (Notice) See also: requests and additional information |
| 812-13643 | IC-28894 | Aug. 31, 2009 | AdvisorOne Funds and CLS Investments, LLC (Notice) |
| 812-13643 | IC-28932 | Sep. 28, 2009 | AdvisorOne Funds and CLS Investments, LLC (Order) |
| 812-14537 | IC-32096 | Apr. 26, 2016 | Advisors Asset Management, Inc. and AAM ETF Trust (Order) |
| 812-14537 | IC-32063 | Mar. 31, 2016 | Advisors Asset Management, Inc. and AAM ETF Trust (Notice) |
| 812-14535 | IC-32055 | Mar. 29, 2016 | Advisors Asset Management, Inc. and AAM ETF Trust (Order) |
| 812-14535 | IC-32015 | Mar. 1, 2016 | Advisors Asset Management, Inc. and AAM ETF Trust (Notice) |
| 812-14536 | IC-31902 | Nov. 16, 2015 | Advisors Asset Management, Inc. AAM ETF Trust (Order) |
| 812-14536 | IC-31870 | Oct. 19, 2015 | Advisors Asset Management, Inc. and AAM ETF Trust (Notice) |
| 812-13536 | IC-28613 | Feb. 6, 2009 | Advisors Asset Management, Inc. and Advisors Disciplined Trust (Notice) |
| 812-13536 | IC-28641 | Mar. 4, 2009 | Advisors Asset Management, Inc. and Advisors Disciplined Trust (Order) |
| 812-14833 | IC-33169 | Jul. 24, 2018 | Advisors Asset Management, Inc. and ETF Series Solutions (Notice) |
| 812-14065 | IC-30412 | Mar. 4, 2013 | The Advisors’ Inner Circle Fund, et al. (Notice) |
| 812-14065 | IC-30443 | Apr. 1, 2013 | The Advisors’ Inner Circle Fund, et al. (Order) |
| 812-14299 | IC-32378 | Dec. 5, 2016 | Advisors Series Trust and Vivaldi Asset Management, LLC (Order) |
| 812-14299 | IC-31226 | Aug. 27, 2014 | Advisors Series Trust and Vivaldi Asset Management, LLC (Notice) See also requests and additional information |
| 812-13889 | IC-32302 | Oct. 4, 2016 | Advisors Series Trust and Orinda Asset Management, LLC (Order Rescinding a Prior Order) |
| 812-13889 | IC-32254 | Sep. 8, 2016 | Advisors Series Trust and Orinda Asset Management, LLC (Notice of Intention to Rescind an Order) See also: Notice, Rel. No. IC-30065 |
| 812-13889 | IC-30065 | May 21, 2012 | Advisors Series Trust and Orinda Asset Management, LLC (Order) See also: Notice, Rel. No. IC-32302 |
| 812-13889 | IC-30043 | Apr. 23, 2012 | Advisors Series Trust and Orinda Asset Management, LLC (Notice) |
| 812-13473 | IC-28175 | Feb. 27, 2008 | Advisors Series Trust, et al. (Notice) |
| 812-13473 | IC-28201 | Mar. 25, 2008 | Advisors Series Trust, et al. (Order) |
| 812-14027 | IC-30381 | Feb. 12, 2013 | AdvisorShares Investments, LLC and AdvisorShares Trust (Notice) |
| 812-14027 | IC-30421 | Mar. 11, 2013 | AdvisorShares Investments, LLC and AdvisorShares Trust (Order) |
| 812-13677 | IC-29264 | May 6, 2010 | AdvisorShares Investments, LLC and AdvisorShares Trust (Notice) |
| 812-13488 | IC-28568 | Dec. 23, 2008 | AdvisorShares Investments, LLC and AdvisorShares Trust (Notice) (Comments received are available.) |
| 812-13677 | IC-29291 | May 28, 2010 | AdvisorShares Investments, LLC and AdvisorShares Trust (Order) |
| 812-13488 | IC-28822 | Jul. 20, 2009 | AdvisorShares Investments, LLC, et al. (Order) |
| 812-14204 | IC-30785 | Nov. 15, 2013 | AIM Growth Series (Invesco Growth Series), et al. (Notice) |
| 812-14204 | IC-30827 | Dec. 11, 2013 | AIM Growth Series (Invesco Growth Series), et al. (Order) |
| 812-14092 | IC-30420 | Mar. 11, 2013 | AIP Series Trust and Morgan Stanley AIP GP LP (Notice) |
| 812-14092 | IC-30450 | Apr. 8, 2013 | AIP Series Trust and Morgan Stanley AIP GP LP (Order) |
| 812-14543 | IC-32410 | Jan. 4, 2017 | ALAIA Market Linked Trust and Beech Hill Securities, Inc. (Order) |
| 812-14543 | IC-32384 | Dec. 8, 2016 | ALAIA Market Linked Trust and Beech Hill Securities, Inc. (Notice) |
| 812-14542 | IC-32361 | Nov. 18, 2016 | ALAIA Market Linked Trust and Beech Hill Securities, Inc. (Order) |
| 812-14542 | IC-32324 | Oct. 24, 2016 | ALAIA Market Linked Trust and Beech Hill Securities, Inc. (Notice) |
| 812-14760 | IC-33038 | Feb. 28, 2018 | Alcentra Capital Corporation, et al. (Notice) |
| 812-14760 | IC-33059 | Mar. 27, 2018 | Alcentra Capital Corporation, et al. (Order) |
| 812-14374 | IC-31951 | Dec. 30, 2015 | Alcentra Capital Corporation., et al. (Order) |
| 812-14374 | IC-31927 | Dec. 4, 2015 | Alcentra Capital Corporation, et al. (Notice) |
| 812-13578 | IC-28819 | Jul. 16, 2009 | The Alger Funds, et al. (Notice) |
| 812-13578 | IC-28844 | Aug. 11, 2009 | The Alger Funds, et al. (Order) |
| 812-14227 | IC-31322 | Oct. 31, 2014 | Alliancebernstein Multi-Manager Alternative Fund, et al. (Notice) |
| 812-14227 | IC-31345 | Nov. 24, 2014 | Alliancebernstein Multi-Manager Alternative Fund, et al. (Order) |
| 812-13797 | IC-30305 | Dec. 13, 2012 | AllianceBernstein Active ETFs, Inc., et al. (Notice) |
| 812-13797 | IC-30343 | Jan. 8, 2013 | AllianceBernstein Active ETFs, Inc., et al. (Order) |
| 812-14236 | IC-31332 | Nov. 6, 2014 | AllianceBernstein Cap Fund, Inc., et al. (Notice) |
| 812-14236 | IC-31364 | Dec. 3, 2014 | AllianceBernstein Cap Fund, Inc., et al. (Order) |
| 812-13939 | IC-29876 | Nov. 29, 2011 | AllianceBernstein Cap Fund, Inc., et al. (Notice) |
| 812-13939 | IC-29892 | Dec. 21, 2011 | AllianceBernstein Cap Fund, Inc., et al. (Order) |
| 813-00384 | IC-32121 | May 23, 2016 | AllianceBernstein L.P. And AllianceBernstein U.S. Real Estate (Employee) Fund II, L.P. (Order) |
| 813-00384 | IC-32095 | Apr. 25, 2016 | AllianceBernstein L.P. and AllianceBernstein U.S. Real Estate (Employee) Fund II, L.P. (Notice) |
| 812-14227 | IC-31322 | Oct. 31, 2014 | Alliancebernstein Multi-Manager Alternative Fund, et al. (Notice) |
| 812-14455 | IC-32671 | Jun. 6, 2017 | Allianz Funds, et al. (Order) |
| 812-14455 | IC-32631 | May 10, 2017 | Allianz Funds, et al. (Notice) |
| 812-14255 | IC-32598 | Apr. 11, 2017 | Allianz Funds Multi-Strategy Trust and Allianz Global Investors U.S. LLC (Order) |
| 812-14255 | IC-32533 | Mar. 15, 2017 | Allianz Funds Multi-Strategy Trust and Allianz Global Investors U.S. LLC (Notice) |
| 812-14580 | IC-32242 | Aug. 29, 2016 | Allianz Life Insurance Company of North America, et al. (Order) |
| 812-14580 | IC-32207 | Aug. 3, 2016 | Allianz Life Insurance Company of North America, et al. (Notice) |
| 812-13821 | IC-29693 | Jun. 10, 2011 | Allianz Life Insurance Company of North America, et al. (Notice) |
| 812-13474 | IC-28480 | Oct. 30, 2008 | Allianz Life Insurance Company of North America, et al. (Notice) |
| 812-13451 | IC-28369 | Aug. 28, 2008 | Allianz Life Insurance Company of North America, et al. (Notice) |
| 812-13821 | IC-29716 | Jul. 6, 2011 | Allianz Life Insurance Company of North America, et al. (Order) |
| 812-13474 | IC-28521 | Nov. 25, 2008 | Allianz Life Insurance Company of North America, et al. (Order) |
| 812-13451 | IC-28384 | Sep. 19, 2008 | Allianz Life Insurance Company of North America, et al. (Order) |
| 812-13364 | IC-27936 | Aug. 23, 2007 | Allianz RCM Global EcoTrends Fund, et al. (Notice) |
| 812-13364 | IC-27971 | Sep. 18, 2007 | Allianz RCM Global EcoTrends Fund, et al. (Order) |
| 812-14084 | IC-30371 | Jan. 29, 2013 | Allianz Variable Insurance Products Fund of Funds Trust, et al. (Notice) |
| 812-14084 | IC-30406 | Feb. 26, 2013 | Allianz Variable Insurance Products Fund of Funds Trust, et al. (Order) |
| 812-14149 | IC-32457 | Jan. 27, 2017 | Allstate Assurance Company, et al (Notice) |
| 812-14149 | IC-32506 | Feb. 22, 2017 | Allstate Assurance Company, et al. (Order) |
| 812-13523 | IC-28581 | Jan. 12, 2009 | Allstate Financial Investment Trust, et al. (Notice) |
| 812-13523 | IC-28614 | Feb. 9, 2009 | Allstate Financial Investment Trust, et al. (Order) |
| 812-14663 | IC-32418 | Jan. 9, 2017 | Alpha Architect ETF Trust, et al. (Order) |
| 812-14663 | IC-32389 | Dec. 12, 2016 | Alpha Architect ETF Trust, et al. (Notice) |
| 812-14474 | IC-31820 | Sep. 11, 2015 | AlphaClone, Inc., et al. (Notice) |
| 812-14474 | IC-31858 | Oct. 5, 2015 | AlphaClone, Inc., et al. (Order) |
| 812-14402 | IC-31469 | Feb. 24, 2015 | Alphamark Advisors, LLC et al. (Order) |
| 812-14402 | IC-31430 | Jan. 28, 2015 | Alphamark Advisors, LLC, et al. (Notice) |
| 812-13630 | IC-28897 | Sep. 4, 2009 | Alpine Global Dynamic Dividend Fund, et al. (Notice) |
| 812-13630 | IC-28937 | Sep. 30, 2009 | Alpine Global Dynamic Dividend Fund, et al. (Order) |
| 812-13430 | IC-28235 | Apr. 9, 2008 | ALPS Advisers, Inc., et al. (Notice) |
| 812-13430 | IC-28262 | May 1, 2008 | ALPS Advisers, Inc., et al. (Order) |
| 812-14225 | IC-31011 | Apr. 8, 2014 | ALPS ETF Trust, ALPS Advisors, Inc., ALPS Distributors, Inc., and ALPS Portfolio Solutions Distributor, Inc. (Notice) |
| 812-14225 | IC-31039 | May 6, 2014 | ALPS ETF Trust, ALPS Advisors, Inc., ALPS Distributors, Inc., and ALPS Portfolio Solutions Distributor, Inc. (Order) |
| 812-14517 | IC-31759 | Aug. 13, 2015 | ALPS ETMF Trust, et al. (Notice) |
| 812-14517 | IC-31815 | Sep. 9, 2015 | ALPS ETMF Trust, et al. (Order) |
| 812-13884 | IC-30553 | Jun. 11, 2013 | ALPS ETF Trust, et al. (Order) |
| 812-13884 | IC-30519 | May 14, 2013 | ALPS ETF Trust, et al. (Notice) |
| 812-14218 | IC-30858 | Jan. 15, 2014 | ALPS Series Trust, Brinker Capital, Inc. and ALPS Distributors, Inc. (Notice) |
| 812-14218 | IC-30917 | Feb. 11, 2014 | ALPS Series Trust, Brinker Capital, Inc. and ALPS Distributors, Inc. (Order) |
| 812-14921 | IC-33187 | Jul. 31, 2018 | Altaba Inc. (Order) |
| 812-14921 | IC-33146 | Jul. 3, 2018 | Altaba Inc. (Notice) |
| 812-13851 | IC-29689 | Jun. 1, 2011 | Altegris Advisors, L.L.C. and Northern Lights Fund Trust (Notice) |
| 812-13851 | IC-29710 | Jun. 28, 2011 | Altegris Advisors, L.L.C. and Northern Lights Fund Trust (Order) |
| 812-14196 | IC-31189 | Jul. 28, 2014 | Altegris Advisors L.L.C. and Northern Lights Fund Trust (Notice) |
| 812-14196 | IC-31221 | Aug. 22, 2014 | Altegris Advisors L.L.C. and Northern Lights Fund Trust (Order) |
| 812-14130 | IC-30779 | Nov. 12, 2013 | Altegris Advisors, L.L.C., et al. (Notice) |
| 812-14130 | IC-30823 | Dec. 9, 2013 | Altegris Advisors, L.L.C., et al. (Order) |
| 812-14196 | IC-31189 | Jul. 28, 2014 | Altegris Advisors L.L.C. and Northern Lights Fund Trust (Notice) |
| 812-14410 | IC-32319 | Oct. 17, 2016 | Altegris KKR Commitments Master Fund, et al. (Order) |
| 812-14410 | IC-32265 | Sep. 19, 2016 | Altegris KKR Commitments Master Fund, et al. (Notice) |
| 812-14415 | IC-31955 | Jan. 12, 2016 | Altegris KKR Commitments Master Fund, et al (Order) |
| 812-14415 | IC-31944 | Dec. 17, 2015 | Altegris KKR Commitments Master Fund, et al. (Notice) |
| 812-14328 | IC-31400 | Dec. 24, 2014 | Alternative Strategies Fund Ladenburg Thalmann Asset Management, Inc. (Order) |
| 812-14328 | IC-31360 | Dec. 1, 2014 | Alternative Strategies Fund and Ladenburg Thalmann Asset Management, Inc. (Notice) |
| 813-379 | IC-30183 | Aug. 28, 2012 | Alvarez & Marsal, Inc., et al. (Notice) |
| 813-379 | IC-30214 | Sep. 25, 2012 | Alvarez & Marsal, Inc., et al. (Order) |
| 812-14384 | IC-32077 | Apr. 19, 2016 | AMCAP Fund, et al. (Order) |
| 812-14384 | IC-32049 | Mar. 24, 2016 | AMCAP Fund, et al. (Notice) |
| 812-14005 | IC-30134 | Jul. 10, 2012 | AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. (Notice) |
| 812-14005 | IC-30162 | Aug. 6, 2012 | AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. (Order) |
| 812-14417 | IC-31498 | Mar. 6, 2015 | American Beacon Nextshares Trust, et al. (Notice) |
| 812-14417 | IC-31542 | Apr. 1, 2015 | American Beacon Nextshares Trust, et al. (Order) |
| 812-13825 | IC-30819 | Dec. 5, 2013 | American Beacon Funds, et al. (Notice) |
| 812-13825 | IC-30848 | Dec. 30, 2013 | American Beacon Funds, et al. (Order) |
| 812-13853 | IC-29744 | Aug. 3, 2011 | American Capital, Ltd. (Notice) |
| 812-13714 | IC-29416 | Sep. 14, 2010 | American Capital, Ltd. (Notice) |
| 812-13535 | IC-28895 | Sep. 3, 2009 | American Capital, Ltd. (Notice) |
| 812-13853 | IC-29774 | Aug. 30, 2011 | American Capital, Ltd. (Order) |
| 812-13714 | IC-29460 | Oct. 8, 2010 | American Capital, Ltd. (Order) |
| 812-13535 | IC-28935 | Sep. 30, 2009 | American Capital, Ltd. (Order) |
| 812-14222 | IC-31148 | Jul. 3, 2014 | American Capital, Ltd., et al. (Notice) |
| 812-14222 | IC-31191 | Jul. 29, 2014 | American Capital, Ltd., et al. (Order) |
| 812-13493 | IC-29973 | Mar. 1, 2012 | American Capital, Ltd., et al. (Notice) |
| 812-13493 | IC-29973 | Mar. 1, 2012 | American Capital, Ltd., et al. (Notice) |
| 812-13493 | IC-30010 | Mar. 27, 2012 | American Capital, Ltd., et al. (Order) |
| 812-13308 | IC-27669 | Jan. 19, 2007 | American Capital Strategies, Ltd. (Notice) |
| 812-13398 | IC-28020 | Oct. 24, 2007 | American Capital Strategies, Ltd. (Order) |
| 812-13308 | IC-27702 | Feb. 22, 2007 | American Capital Strategies, Ltd. (Order) |
| 812-14329 | IC-31328 | Nov. 4, 2014 | American Century Capital Portfolios, Inc. and American Century Investment Management, Inc. (Notice) |
| 812-14329 | IC-31362 | Dec. 2, 2014 | American Century Capital Portfolios, Inc. and American Century Investment Management, Inc. (Order) |
| 812-14794 | IC-32955A | Jan. 2, 2018 | American Century ETF Trust and American Century Investment Management, Inc. (Order) |
| 812-14794 | IC-32955 | Dec. 27, 2017 | American Century ETF Trust and American Century Investment Management, Inc. (Order) |
| 812-14794 | IC-32928 | Nov. 29, 2017 | American Century ETF Trust and American Century Investment Management, Inc. (Notice) |
| 812-14793 | IC-32871 | Oct. 25, 2017 | American Century ETF Trust and American Century Investment Management, Inc. (Order) |
| 812-14793 | IC-32838 | Sep. 28, 2017 | American Century ETF Trust and American Century Investment Management, Inc. (Notice) |
| 812-14754 | IC-32833 | Sep. 26, 2017 | American Century International Bond Funds, et al. (Order) |
| 812-14754 | IC-32805 | Aug. 31, 2017 | American Century International Bond Funds, et al. (Notice) |
| 812-13930 | IC-29916 | Jan. 10, 2012 | American Century Strategic Asset Allocations, Inc. (Order) |
| 812-13930 | IC-29916 | Jan. 10, 2012 | American Century Strategic Asset Allocations, Inc. (Order) |
| 812-13930 | IC-29883 | Dec. 13, 2011 | American Century Strategic Asset Allocations, Inc., et al. (Notice) |
| 812-14109 | IC-30564 | Jun. 20, 2013 | American Family Life Insurance Company, et al. (Notice) |
| 812-14109 | IC-30601 | Jul. 16, 2013 | American Family Life Insurance Company, et al. (Order) |
| 812-13842 | IC-29617 | Mar. 24, 2011 | American Family Life Insurance Company, et al. (Notice) |
| 812-13445 | IC-28197 | Mar. 19, 2008 | American Family Life Insurance Company, et al. (Notice) |
| 812-13842 | IC-29656 | Apr. 21, 2011 | American Family Life Insurance Company, et al. (Order) |
| 812-13445 | IC-28237 | Apr. 16, 2008 | American Family Life Insurance Company, et al. (Order) |
| 812-14288 | IC-31251 | Sep. 16, 2014 | American Fidelity Assurance Company, et al. (Order) |
| 812-14288 | IC-31217 | Aug. 19, 2014 | American Fidelity Assurance Company, et al. (Notice) |
| 812-13708 | IC-29483 | Oct. 25, 2010 | American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company (Order) |
| 812-13708 | IC-29444 | Sep. 27, 2010 | American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company (Notice) |
| 812-14325 | IC-31677 | Jun. 17, 2015 | American Funds Insurance Series, et al. (Notice) |
| 812-14325 | IC-31715 | Jul. 14, 2015 | American Funds Insurance Series, et al. (Order) |
| 812-13973 | IC-30681 | Aug. 29, 2013 | American General Life Insurance Company, et al. (Notice) |
| 812-13973 | IC-30699 | Sep. 24, 2013 | American General Life Insurance Company, et al. (Order) |
| 812-14666 | IC-32237 | Aug. 25, 2016 | American Independence Funds Trust, et al. (Order) |
| 812-14666 | IC-32206 | Aug. 3, 2016 | American Independence Funds Trust, et al. (Notice) |
| 812-13259 | IC-27700 | Feb. 16, 2007 | American International Group, Inc. et al. (Order) |
| 813-369 | IC-28286 | May 23, 2008 | American International Group, Inc., et al. (Notice) |
| 812-13259 | IC-27931 | Aug. 20, 2007 | American International Group, Inc., et al. (Notice) |
| 813-369 | IC-28301 | Jun. 18, 2008 | American International Group, Inc., et al. (Order) |
| 812-13259 | IC-27970 | Sep. 17, 2007 | American International Group, Inc., et al. (Order) |
| 812-14181 | IC-30885 | Jan. 16, 2014 | American Pension Investors Trust, et al. (Notice) |
| 812-14181 | IC-30914 | Feb. 11, 2014 | American Pension Investors Trust, et al. (Order) |
| 812-13780 | IC-29521 | Nov. 30, 2010 | American United Life Insurance Company, et al. (Notice) |
| 812-13780 | IC-29545 | Dec. 29, 2010 | American United Life Insurance Company, et al. (Order) |
| 812-13332 | IC-27847 | May 30, 2007 | Ameristock ETF Trust, et al. (Notice) |
| 812-13332 | IC-27874 | Jun. 26, 2007 | Ameristock ETF Trust, et al. (Order) |
| 812-14189 | IC-30764 | Oct. 25, 2013 | Ameritas Life Insurance Corp., et al. (Notice) |
| 812-14189 | IC-30787 | Nov. 15, 2013 | Ameritas Life Insurance Corp., et al. (Order) |
| 812-14337 | IC-31767 | Aug. 24, 2015 | AMG Pantheon Private Equity Fund, LLC, et al. (Order) |
| 812-14337 | IC-31728 | Jul. 29, 2015 | AMG Pantheon Private Equity Fund, LLC, et al. (Notice) |
| 812-14591 | IC-32054 | Mar. 29, 2016 | Amplify ETF Trust and Amplify Investments LLC (Order) |
| 812-14591 | IC-32022 | Mar. 3, 2016 | Amplify ETF Trust and Amplify Investments LLC (Notice) |
| 812-14424 | IC-31822 | Sep. 14, 2015 | Amplify Investments LLC and Amplify ETF Trust (Order) |
| 812-14424 | IC-31764 | Aug. 17, 2015 | Amplify Investments LLC and Amplify ETF Trust (Notice) |
| 812-14425 | IC-31716 | Jul. 15, 2015 | Amplify Investments LLC and Amplify ETF Trust (Order) |
| 812-14425 | IC-31683 | Jun. 18, 2015 | Amplify Investments LLC and Amplify ETF Trust (Notice) |
| 812-14423 | IC-31545 | Apr. 1, 2015 | Amplify Investments LLC and Amplify ETF Trust (Notice) |
| 812-14423 | IC-31582 | Apr. 28, 2015 | Amplify Investments LLC and Amplify ETF Trust (Order) |
| 812-14636 | IC-32611 | Apr. 25, 2017 | Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC (Order) |
| 812-14636 | IC-32584 | Mar. 30, 2017 | Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC (Notice) |
| 812-14332 | IC-31302 | Oct. 22, 2014 | Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC (Notice) |
| 812-14332 | IC-31339 | Nov. 18, 2014 | Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC (Order) |
| 812-14851 | IC-33089 | May 1, 2018 | Angel Oak Strategic Credit Fund and Angel Oak Capital Advisors, LLC (Order) |
| 812-14851 | IC-33066 | Apr. 5, 2018 | Angel Oak Strategic Credit Fund and Angel Oak Capital Advisors, LLC (Notice) |
| 812-13612 | IC-28909 | Sep. 22, 2009 | Annuity Investors Life Insurance Company, et al. (Notice) |
| 812-13612 | IC-28948 | Oct. 20, 2009 | Annuity Investors Life Insurance Company, et al. (Order) |
| 812-13754 | IC-32057 | Mar. 29, 2016 | Apollo Investment Corporation, et al. (Order) |
| 812-13754 | IC-32019 | Mar. 2, 2016 | Apollo Investment Corporation, et al. (Notice) |
| 812-14880 | IC-33154 | Jul. 10, 2018 | Aptus Capital Advisors, LLC and ETF Series Solutions (Order) |
| 812-14880 | IC-33120 | Jun. 12, 2018 | Aptus Capital Advisors, LLC and ETF Series Solutions (Notice) |
| 812-14604 | IC-32110 | May 10, 2016 | Aptus Capital Advisors, LLC, et al. (Order) |
| 812-14604 | IC-32071 | Apr. 13, 2016 | Aptus Capital Advisors, LLC, et al. (Notice) |
| 812-13833 | IC-30153 | Jul. 26, 2012 | AQR Capital Management, LLC (Order) |
| 812-13833 | IC-30128 | Jul. 3, 2012 | AQR Capital Management, LLC, et al. (Notice) |
| 812-14741 | IC-32863 | Oct. 19, 2017 | AQR Funds and AQR Capital Management, LLC (Order) |
| 812-14741 | IC-32821 | Sep. 18, 2017 | AQR Funds, et al. (Notice) |
| 812-14321 | IC-33078 | Apr. 24, 2018 | Aquila Funds Trust, et al. (Order) |
| 812-14321 | IC-33061 | Mar. 28, 2018 | Aquila Funds Trust, et al. (Notice) |
| 812-14434 | IC-31817 | Sep. 10, 2015 | Archstone Alternative Solutions Fund A.P. Management Company, LLC (Order) |
| 812-14434 | IC-31761 | Aug. 14, 2015 | Archstone Alternative Solutions Fund and A.P. Management Company, LLC (Notice) |
| 812-14062 | IC-30255 | Nov. 2, 2012 | Arden Investment Series Trust and Arden Asset Management LLC (Notice) |
| 812-14062 | IC-30283 | Nov. 28, 2012 | Arden Investment Series Trust and Arden Asset Management LLC (Order) |
| 812-14152 | IC-30745 | Oct. 17, 2013 | Arden Investment Series Trust, et al. (Notice) |
| 812-14152 | IC-30781 | Nov. 12, 2013 | Arden Investment Series Trust, et al. (Order) |
| 812-13603 | IC-32427 | Jan. 18, 2017 | Ares Capital Corporation, et al. (Order) |
| 812-13603 | IC-32399 | Dec. 21, 2016 | Ares Capital Corporation, et al. (Notice) |
| 812-13847 | IC-29977 | Mar. 9, 2012 | Ares Capital Corporation et al. (Notice) |
| 812-14399 | IC-32127 | May 26, 2016 | Ares Capital Corporation, et al. (Notice) |
| 812-14399 | IC-32154 | Jun. 21, 2016 | Ares Capital Corporation, et al. (Order) |
| 812-13847 | IC-30024 | Mar. 30, 2012 | Ares Capital Corporation, Ares Capital Management LLC, and Ivy Hill Asset Management, L.P. (Order) |
| 812-14272 | IC-31708 | Jul. 7, 2015 | Ares Dynamic Credit Allocation Fund, Inc., et al. (Order) | 812-14272 | IC-31665 | Jun. 9, 2015 | Ares Dynamic Credit Allocation Fund, Inc., et al. (Notice) |
| 813-00385 | IC-32058 | Mar. 29, 2016 | Ares Management LLC (Order) |
| 813-00385 | IC-32020 | Mar. 2, 2016 | Ares Management LLC (Notice) |
| 812-14479 | IC-31864 | Oct. 7, 2015 | ARK ETF Trust, et al. (Notice) |
| 812-14479 | IC-31889 | Nov. 2, 2015 | ARK ETF Trust, et al. (Order) |
| 812-14172 | IC-31009 | Apr. 7, 2014 | ARK ETF Trust, et al. (Notice) |
| 812-14172 | IC-31034 | Apr. 29, 2014 | ARK ETF Trust, et al. (Order) |
| 812-14157 | IC-30813 | Nov. 26, 2013 | Arrow Investment Advisors, LLC, and Arrow Investments Trust (Notice) |
| 812-14157 | IC-30846 | Dec. 24, 2013 | Arrow Investment Advisors, LLC and Arrow Investments Trust (Order) |
| 812-13937 | IC-30127 | Jul. 3, 2012 | Arrow Investment Advisers, LLC, et al. (Order) |
| 812-13937 | IC-30100 | June 6, 2012 | Arrow Investment Advisers, LLC, et al. (Notice) |
| 812-13405 | IC-28852 | Aug. 25, 2009 | Arrow Investment Advisers, LLC, et al. (Notice) |
| 812-13405 | IC-28910 | Sep. 22, 2009 | Arrow Investment Advisers, LLC, et al. (Order) |
| 812-13877 | IC-30539 | May 22, 2013 | ASA Gold and Precious Metals Limited (Notice) |
| 812-13877 | IC-30561 | Jun. 18, 2013 | ASA Gold and Precious Metals Limited (Order) |
| 812-13866 | IC-29793 | Sep. 19, 2011 | ASGI Agility Income Fund, et al. (Notice) |
| 812-13866 | IC-29837 | Oct. 17, 2011 | ASGI Agility Income Fund, et al. (Order) |
| 812-14389 | IC-32432 | Jan. 24, 2017 | Aspiration Funds and Aspiration Fund Adviser, LLC (Notice) |
| 812-14389 | IC-32504 | Feb. 22, 2017 | Aspiration Funds and Aspiration Fund Adviser, LLC (Order) |
| 812-14155 | IC-30640 | Aug. 5, 2013 | Aspiriant Global Equity Trust and Aspiriant, LLC (Notice) |
| 812-14155 | IC-30684 | Sep. 3, 2013 | Aspiriant Global Equity Trust and Aspiriant, LLC (Order) |
| 812-14467 | IC-32672 | Jun. 6, 2017 | Aspiriant Trust, et al. (Order) |
| 812-14467 | IC-32634 | May 11, 2017 | Aspiriant Trust, et al. (Notice) |
| 812-13746 | IC-29125 | Jan. 26, 2010 | Assurant, Inc., et al. (Notice) |
| 812-13746 | IC-29133 | Feb. 23, 2010 | Assurant, Inc., et al. (Order) |
| 812-13375 | IC-27910 | Jul. 25, 2007 | Aston Funds and Aston Asset Management LLC (Order) |
| 812-13375 | IC-27879 | Jun. 29, 2007 | Aston Funds et al. (Notice) |
| 812-13775 | IC-29400 | Aug. 26, 2010 | Aston Funds, et al. (Notice) |
| 812-13775 | IC-29443 | Sep. 27, 2010 | Aston Funds, et al. (Order) |
| 812-14785 | IC-32964 | Jan. 9, 2018 | Ausdal Financial Partners, Inc. and Ausdal Unit Investment Trust (Order) |
| 812-14785 | IC-32939 | Dec. 14, 2017 | Ausdal Financial Partners, Inc. and Ausdal Unit Investment Trust (Notice) |
| 812-14786 | IC-32953 | Dec. 26, 2017 | Ausdal Unit Investment Trust and Ausdal Financial Partners, Inc. (Order) |
| 812-14786 | IC-32922 | Nov. 27, 2017 | Ausdal Unit Investment Trust and Ausdal Financial Partners, Inc. (Notice) |
| 812-13641 | IC-28647 | Mar. 12, 2009 | Automated Trading Desk Specialists, LLC, et al. (Notice) |
| 812-13641 | IC-28688 | Apr. 7, 2009 | Automated Trading Desk Specialists, LLC, et al. (Order) |
| 812-14831 | IC-33201 | Aug. 15, 2018 | AXA Equitable Life Insurance Company, et al. (Notice) |
| 812-14734 | IC-33161 | Jul. 17, 2018 | AXA Equitable Life Insurance Company, et al. (Order) |
| 812-14734 | IC-33126 | Jun. 19, 2018 | AXA Equitable Life Insurance Company, et al. (Notice) |
| 812-14036 | IC-30373 | Jan. 31, 2013 | AXA Equitable Life Insurance Company, et al. (Notice) |
| 812-14036 | IC-30405 | Feb. 26, 2013 | AXA Equitable Life Insurance Company, et al. (Order) |
| 812-13686 | IC-29338 | Jul. 7, 2010 | AXA Equitable Life Insurance Company, et al. (Notice) |
| 812-13686 | IC-29372 | Jul. 29, 2010 | AXA Equitable Life Insurance Company, et al. (Order) |
B | |||
| File No. | Release No. | Date | Investment Company |
| 812-13910 | IC-29726 | Jul. 18, 2011 | BAC Home Loans Servicing, LP, et al. (Notice and Temporary Order) |
| 812-13910 | IC-29753 | Aug. 15, 2011 | BAC Home Loans Servicing, LP, et al. (Order) |
| 812-13910 | IC-29688 | Jun. 1, 2011 | BAC Home Loans Servicing, LP, et al. (Temporary Order) |
| 812-14766 | IC-33051 | Mar. 22, 2018 | Bain Capital Specialty Finance, Inc., et al. (Order) |
| 812-14766 | IC-33031 | Feb. 23, 2018 | Bain Capital Specialty Finance, Inc., et al. (Notice) |
| 812-14575 | IC-32226 | Aug. 23, 2016 | Bain Capital Specialty Finance, Inc., et al. (Order) |
| 812-14575 | IC-32197 | Jul. 29, 2016 | Bain Capital Specialty Finance, Inc., et al. (Notice) |
| 812-12903 | IC-28526 | Dec. 1, 2008 | Banc of America Funds Trust, et al. (Notice) |
| 812-12903 | IC-28573 | Dec. 29, 2008 | Banc of America Funds Trust, et al. (Order) |
| 812-14390 | IC-31359 | Nov. 25, 2014 | Banc of America Mortgage Securities, Inc, et al. (Notice and Temporary Order) |
| 812-14390 | IC-31397 | Dec. 23, 2014 | Banc of America Mortgage Securities, Inc., et al. (Order) |
| 812-13662 | IC-28764 | Jun. 9, 2009 | Banc of America Securities LLC, et al. (Notice and Temporary Order) |
| 812-13662 | IC-28810 | Jul. 7, 2009 | Banc of America Securities LLC, et al. (Order) |
| 812-13936 | IC-29864 | Nov. 17, 2011 | Bandon Capital Management, LLC and Northern Lights Fund Trust (Notice) |
| 812-13936 | IC-29882 | Dec. 13, 2011 | Bandon Capital Management, LLC and Northern Lights Fund Trust (Order) |
| 812-14680-01 | IC-32348 | Nov. 1, 2016 | The Bank of New York Mellon Trust Company, National Association and The Bank of New York Mellon (Order) |
| 812-14680-01 | IC-32309 | Oct. 7, 2016 | The Bank of New York Mellon Trust Company, National Association and The Bank of New York Mellon (Notice) |
| 812-13391 | IC-27851 | Jun. 6, 2007 | Barclays Global Fund Advisors (Notice) |
| 812-13391 | IC-27882 | Jul. 5, 2007 | Barclays Global Fund Advisors (Order) |
| 812-13485 | IC-28146 | Feb. 6, 2008 | Barclays Global Fund Advisors, et al. (Notice) |
| 812-13485 | IC-28173 | Feb. 27, 2008 | Barclays Global Fund Advisors, et al. (Order) |
| 812-13208 | IC-27608 | Dec. 21, 2006 | Barclays Global Fund Advisors, et al. (Notice) |
| 812-13208 | IC-27661 | Jan. 17, 2007 | Barclays Global Fund Advisors, iShares, Inc., iShares Trust, SEI Investments Distribution Co. (Order) |
| 812-14689 | IC-32864 | Oct. 19, 2017 | Barings Corporate Investors, et al., (Order) |
| 812-14689 | IC-32822 | Sep. 20, 2017 | Barings Corporate Investors, et al. (Notice) |
| 812-14607 | IC-32786 | Aug. 21, 2017 | Barings LLC, et al. (Order) |
| 812-14607 | IC-32734 | Jul. 18, 2017 | Barings LLC, et al. (Notice) |
| 812-13352 | IC-28143 | Feb. 5, 2008 | Bear Stearns Asset Management, Inc., et al. (Notice) |
| 812-13352 | IC-28172 | Feb. 27, 2008 | Bear Stearns Asset Management, Inc., et al. (Order) |
| 812-14601 | IC-33090 | May 1, 2018 | Benefit Street Partners BDC, Inc., et al. (Order) |
| 812-14601 | IC-33068 | Apr. 6, 2018 | Benefit Street Partners BDC, Inc., et al. (Notice) |
| 812-14126 | IC-31686 | Jun. 23, 2015 | Benefit Street Partners BDC, Inc., et al. (Order) |
| 812-14126 | IC-31651 | May 27, 2015 | Benefit Street Partners BDC, Inc., et al. (Notice) |
| 813-362 | IC-28289 | May 28, 2008 | The Bessemer Group, Inc., et al. (Order) |
| 813-362 | IC-28258 | Apr. 29, 2008 | The Bessemer Group, Incorporated, et al. (Notice) |
| 812-14280 | IC-31054 | May 21, 2014 | Beverly Hills Bancorp Inc. (Notice) |
| 812-14280 | IC-31083 | Jun. 16, 2014 | Beverly Hills Bancorp Inc. (Order) |
| 812-14135 | IC-30497 | Apr. 30, 2013 | Beverly Hills Bancorp Inc. (Notice) |
| 812-14135 | IC-30541 | May 24, 2013 | Beverly Hills Bancorp Inc. (Order) |
| 812-13767 | IC-30064 | May 15, 2012 | Beverly Hills Bancorp Inc. (Order) |
| 812-13767 | IC-30036 | Apr. 18, 2012 | Beverly Hills Bancorp Inc. (Notice) |
| 812-13394 | IC-27915 | Jul. 27, 2007 | The BISYS Group Inc., et al. (Order) |
| 812-14582 | IC-32968 | Jan. 16, 2018 | BlackRock Capital Investment Corporation, et al. (Order) |
| 812-14582 | IC-32943 | Dec. 19, 2017 | BlackRock Capital Investment Corporation, et al. (Notice) |
| 812-14497 | IC-32252 | Sep. 6, 2016 | BlackRock, et al. (Order) |
| 812-14497 | IC-32209 | Aug. 8, 2016 | Blackrock Funds, et al. (Notice) |
| 813-366 | IC-31341 | Nov. 20, 2014 | BlackRock, Inc., et al. (Notice) |
| 813-366 | IC-31376 | Dec. 16, 2014 | BlackRock, Inc., et al. (Order) |
| 812-13784 | IC-31335 | Nov. 12, 2014 | BlackRock Advisors, LLC BlackRock Funds FDP Series, Inc. (Order) |
| 812-13784 | IC-31291 | Oct. 16, 2014 | BlackRock Advisors, LLC, et al. (Notice) |
| 812-13235 | IC-28719 | May 5, 2009 | BlackRock International Growth and Income Trust et al. (Order) |
| 812-13235 | IC-28690 | Apr. 7, 2009 | Blackrock International Growth and Income Trust, et al. (Notice) |
| 812-13964 | IC-30160 | Aug. 2, 2012 | BlackRock Preferred Partners LLC, et al. (Notice) |
| 812-13964 | IC-30182 | Aug. 28, 2012 | BlackRock Preferred Partners LLC, et al. (Order) |
| 812-14901 | IC-33119 | Jun. 6, 2018 | BlackRock Variable Series Funds, Inc., et al. (Notice) |
| 812-14901 | IC-33145 | Jul. 3, 2018 | BlackRock Variable Series Funds, Inc., et al. (Order) |
| 812-14835 | IC-33186 | Jul. 31, 2018 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al., (Order) |
| 812-14835 | IC-33149 | Jul. 6, 2018 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Notice) |
| 812-14796 | IC-32866 | Oct. 23, 2017 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Notice) |
| 812-14796 | IC-32902 | Nov. 20, 2017 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Order) |
| 812-14795 | IC-32865 | Oct. 23, 2017 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Notice) |
| 812-14795 | IC-32901 | Nov. 20, 2017 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Order) |
| 812-14026 | IC-30280 | Nov. 26, 2012 | Blackstone Alternative Alpha Fund, et al. (Notice) |
| 812-14026 | IC-30317 | Dec. 26, 2012 | Blackstone Alternative Alpha Fund, et al. (Order) |
| 812-14076 | IC-30416 | Mar. 7, 2013 | Blackstone Alternative Investment Funds, et al. (Notice) |
| 812-14076 | IC-30444 | Apr. 2, 2013 | Blackstone Alternative Investment Funds, et al. (Order) |
| 812-14590 | IC-32530 | Mar. 13, 2017 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order) |
| 812-14590 | IC-32481 | Feb. 16, 2017 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Notice) |
| 813-375 | IC-29378 | Aug. 5, 2010 | The Blackstone Group, L.P. (Notice) |
| 813-375 | IC-29406 | Aug. 31, 2010 | Blackstone Group, L.P. (Order) |
| 812-13344 | IC-27745 | Feb. 28, 2007 | BLDRS Index Funds Trust, et al. (Notice) |
| 812-13344 | IC-27768 | Mar. 21, 2007 | BLDRS Index Funds Trust, PowerShares Capital Management LLC, and ALPS Distributors, Inc. (Order) |
| 812-14521 | IC-33102 | May 21, 2018 | BMO Exchange Traded Funds, et al. (Order) |
| 812-14521 | IC-33079 | Apr. 24, 2018 | BMO Exchange Traded Funds, et al. (Notice) |
| 812-14370 | IC-31603 | May 15, 2015 | BMO Funds, Inc. and BMO Asset Management Corp. (Notice) |
| 812-14370 | IC-31666 | Jun. 10, 2015 | BMO Funds, Inc. and BMO Asset Management Corp. (Order) |
| 812-14217 | IC-31146 | Jul. 2, 2014 | BMO Funds, Inc., et al. (Notice) |
| 812-14217 | IC-31193 | Jul. 30, 2014 | BMO Funds, Inc., et al. (Order) |
| 812-14273 | IC-31064 | May 30, 2014 | BMO Funds, Inc., et al. (Notice) |
| 812-14273 | IC-31132 | Jun. 25, 2014 | BMO Funds, Inc. et al. (Order) |
| 812-14874 | IC-33033 | Feb. 23, 2018 | BNP Paribas USA Inc., et al. (Order) |
| 812-14874 | IC-32995 | Jan. 26, 2018 | BNP Paribas USA, Inc., et al. (Notice and Temporary Order) |
| 812-14327 | IC-31188 | Jul. 28, 2014 | BNP Paribas S.A. (Order) |
| 812-14327 | IC-31140 | Jun. 30, 2014 | BNP Paribas S.A., et al. (Notice) |
| 812-14240 | IC-31279 | Oct. 7, 2014 | BNY Mellon Funds Trust et al. (Order) |
| 812-14240 | IC-31245 | Sep. 9, 2014 | BNY Mellon Funds Trust, et al. (Notice) |
| 812-14096 | IC-30590 | Jul. 3, 2013 | BofA Funds Series Trust, et al. (Notice) |
| 812-14096 | IC-30638 | Jul. 30, 2013 | BofA Funds Series Trust, et al. (Order) |
| 812-13916 | IC-29741 | Aug. 1, 2011 | BofA Funds Series Trust, et al. (Notice) |
| 812-13916 | IC-29769 | Aug. 24, 2011 | BofA Funds Series Trust, et al. (Order) |
| 813-00386 | IC-32739 | Jul. 25, 2017 | The Boston Consulting Group, Inc. and Green Falcon Investors L.P. (Order) |
| 813-00386 | IC-32713 | Jun. 27, 2017 | The Boston Consulting Group, Inc. and Green Falcon Investors I, L.P. (Notice) |
| 812-14654 | IC-32377 | Dec. 2, 2016 | The Boston Trust & Walden Funds, et al. (Order) |
| 812-14654 | IC-32353 | Nov. 7, 2016 | The Boston Trust & Walden Funds, et al. (Notice) |
| 812-13077 | IC-28442 | Oct. 20, 2008 | Boulder Total Return Fund, Inc., et al. (Notice) |
| 812-13077 | IC-28486 | Nov. 17, 2008 | Boulder Total Return Fund, Inc., et al. (Order) |
| 812-14413 | IC-31765 | Aug. 18, 2015 | BPV Family of Funds, BPV Capital Management, LLC (Order) |
| 812-14413 | IC-31721 | Jul. 21, 2015 | BPV Capital Management, LLC and BPV Family of Funds (Notice) |
| 812-14809 | IC-32925 | Nov. 28, 2017 | Brandes Investment Trust, et al. (Order) |
| 812-14809 | IC-32893 | Nov. 2, 2017 | Brandes Investment Trust, et al. (Notice) |
| 812-14492 | IC-32103 | May 4, 2016 | Bridge Builder Trust, et al. (Notice) |
| 812-14118 | IC-30592 | Jul. 9, 2013 | Bridge Builder Trust, et al. (Notice) |
| 812-14118 | IC-30641 | Aug. 6, 2013 | Bridge Builder Trust, et al. (Order) |
| 812-13525 | IC-28685 | Apr. 1, 2009 | Bridgeway Capital Management, Inc. (Notice) |
| 812-14718 | IC-32535 | Mar. 16, 2017 | Brinker Capital Destinations Trust and Brinker Capital, Inc. (Order) |
| 812-14718 | IC-32479 | Feb. 14, 2017 | Brinker Capital Destinations Trust, et al. (Notice) |
| 812-13525 | IC-28716 | Apr. 28, 2009 | Bridgeway Capital Management, Inc. (Order) |
| 812-14724 | IC-32534 | Mar. 16, 2017 | Brinker Capital Destinations Trust and Brinker Capital, Inc. (Order) |
| 812-14724 | IC-32478 | Feb. 14, 2017 | Brinker Capital Destinations Trust, et al. (Notice) |
| 812-14503 | IC-31755 | Aug. 13, 2015 | Broms Asset Management NextShares Trust, Broms Asset Management LLC and Foreside Fund Services, LLC (Order) |
| 812-14503 | IC-31717 | Jul. 16, 2015 | Broms Asset Management NextShares Trust (Notice) |
| 812-14456 | IC-31802 | Sep. 1, 2015 | Brookfield Global Listed Infrastructure Income Fund Inc., et al. (Notice) |
| 812-14456 | IC-31855 | Sep. 30, 2015 | Brookfield Global Listed Infrastructure Income Fund Inc., et al. (Order) |
| 812-12984 | IC-28045 | Nov. 8, 2007 | BTOP50 Managed Futures Fund and Asset Alliance Advisors, Inc. (Notice) |
| 812-12984 | IC-28074 | Dec. 4, 2007 | BTOP50 Managed Futures Fund and Asset Alliance Advisors, Inc. (Order) |
| 812-14368 | IC-31738 | Aug. 5, 2015 | Business Development Corporation of America, et al. (Order) |
| 812-14368 | IC-31598 | May 11, 2015 | Business Development Corporation of America, et al. (Notice) See also: requests and additional information |
C | |||
| File No. | Release No. | Date | Investment Company |
| 812-14169 | IC-30628 | Jul. 24, 2013 | Calamos Advisors LLC, et al. (Notice) |
| 812-14169 | IC-30653 | Aug. 20, 2013 | Calamos Advisors LLC, et al. (Order) |
| 812-13063 | IC-28435 | Oct. 7, 2008 | Calamos Convertible Opportunities and Income Fund, et al. (Notice) |
| 812-13552 | IC-28615 | Feb. 10, 2009 | Calamos Convertible Opportunities and Income Fund, et al. (Order) |
| 812-13063 | IC-28483 | Nov. 4, 2008 | Calamos Convertible Opportunities and Income Fund, et al. (Order) |
| 812-13552 | IC-28603 | Jan. 14, 2009 | Calamos Convertible Opportunities and Income Fund, et al.(Notice) |
| 812-14820 | IC-32959 | Jan. 3, 2018 | Calvert Research and Management and Calvert ETF Trust (Order) |
| 812-14820 | IC-32935 | Dec. 6, 2017 | Calvert Research and Management and Calvert ETF Trust (Notice) |
| 812-14529 | IC-32234 | Aug. 24, 2016 | Calvert Social Investment Fund, et al. (Notice) |
| 812-14529 | IC-32270 | Sep. 20, 2016 | Calvert Social Investment Fund, et al. (Order) |
| 812-13718 | IC-29209 | Apr. 19, 2010 | Calvert Social Investment Fund, et al. (Notice) |
| 812-13718 | IC-29268 | May 17, 2010 | Calvert Social Investment Fund, et al. (Order) |
| 812-14202 | IC-30768 | Oct. 28, 2013 | Cambria ETF Trust, et al. (Notice) |
| 812-14202 | IC-30806 | Nov. 25, 2013 | Cambria ETF Trust, et al. (Order) |
| 812-13959 | IC-30302 | Dec. 12, 2012 | Cambria Investment Management, L.P. and Cambria ETF Trust (Notice)
See also IC-30286 |
| 812-13959 | IC-30286 | Nov. 30, 2012 | Cambria Investment Management, L.P. and Cambria ETF Trust (Notice)
See also IC-30302 |
| 812-13959 | IC-30340 | Jan. 4, 2013 | Cambria Investment Management, L.P. and Cambria ETF Trust (Order) |
| 812-13781 | IC-29896 | Dec. 29, 2011 | Cantilever Capital, LLC and Cantilever Group, LLC (Notice) |
| 812-13781 | IC-29925 | Jan. 24, 2012 | Cantilever Capital, LLC and Cantilever Group, LLC (Order) |
| 812-13781 | IC-29925 | Jan. 24, 2012 | Cantilever Capital, LLC and Cantilever Group, LLC (Order) |
| 812-14338 | IC-31441 | Feb. 2, 2015 | Capital Group ETF Trust, et al. (Notice) |
| 812-14338 | IC-31491 | Mar. 2, 2015 | Capital Group ETF Trust, et al. (Order) |
| 813-353 | IC-29596 | Mar. 8, 2011 | Capital International, Inc. (Order) |
| 813-353 | IC-29577 | Feb. 10, 2011 | Capital International, Inc., et al. (Notice) |
| 812-13616-09 | IC-30150 | Jul. 25, 2012 | Capital Research and Management Company, et al. (Notice) |
| 812-13616-09 | IC-30173 | Aug. 20, 2012 | Capital Research and Management Company, et al. (Order) |
| 812-14007 | IC-29981 | Mar. 14, 2012 | Capital Research and Management Company, et al. (Notice) |
| 812-14007 | IC-30033 | Apr. 10, 2012 | Capital Research and Management Company, et al. (Order) |
| 812-14740 | IC-32742 | Jul. 25, 2017 | Capital Southwest Corporation (Notice) |
| 812-14740 | IC-32787 | Aug. 22, 2017 | Capital Southwest Corporation (Order) |
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| 812-14544 | IC-32136 | Jun. 1, 2016 | Capitala Finance Corp., et al. (Order) |
| 812-14239 | IC-31050 | May 19, 2014 | Capitala Finance Corp., et al. (Notice) |
| 812-14239 | IC-31074 | Jun. 10, 2014 | Capitala Finance Corp., et al. (Order) |
| 812-14426 | IC-32138 | Jun. 2, 2016 | Carey Credit Income Fund, et al. (Notice) |
| 812-14426 | IC-32164 | Jun. 28, 2016 | Carey Credit Income Fund, et al. (Order) |
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| 812-14101 | IC-30832 | Dec. 16, 2013 | Catalyst Capital Advisors LLC and Mutual Fund Series Trust (Notice) |
| 812-14101 | IC-30854 | Jan. 13, 2014 | Catalyst Capital Advisors LLC and Mutual Fund Series Trust (Order) |
| 812-14729 | IC-32435 | Jan. 25, 2017 | Causeway ETMF Trust, et al. (Notice) |
| 812-14729 | IC-32485 | Feb. 22, 2017 | Causeway ETMF Trust, Causeway Capital Management LLC and SEI Investments Distribution Co. (Order) |
| 812-14800 | IC-32991 | Jan. 25, 2018 | CBOE Vest Financial, LLC, et al. (Order) |
| 812-14800 | IC-32933 | Dec. 4, 2017 | CBOE Vest Financial, LLC, et al. (Notice) |
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| 812-14801 | IC-32932 | Dec. 4, 2017 | CBOE Vest Financial, LLC, et al. (Order) |
| 812-13857 | IC-29915 | Jan. 6, 2012 | Central Securities Corporation (Notice) |
| 812-13857 | IC-29915 | Jan. 6, 2012 | Central Securities Corporation (Notice) |
| 812-13857 | IC-29940 | Feb. 1, 2012 | Central Securities Corporation (Order) |
| 812-13857 | IC-29940 | Feb. 1, 2012 | Central Securities Corporation (Order) |
| 812-14746 | IC-32763 | Jul. 27, 2017 | Change Finance, PBC, et al. (Notice) |
| 812-14746 | IC-32793 | Aug. 23, 2017 | Change Finance, PBC, et al. (Order) |
| 812-14926 | IC-33157 | Jul. 10, 2018 | Charles Schwab & Co., Inc. and Charles Schwab Investment Management, Inc. (Notice) |
| 812-14926 | IC-33195 | Aug. 7, 2018 | Charles Schwab & Co., Inc. and Charles Schwab Investment Management, Inc. (Order) |
| 812-14481 | IC-32052 | Mar. 25, 2016 | Charles Schwab Investment Management, Inc., et al. (Order) |
| 812-14481 | IC-32014 | Feb. 29, 2016 | Charles Schwab Investment Management, Inc., et al. (Notice) |
| 812-14009 | IC-30584 | Jun. 27, 2013 | Charles Schwab Investment Management, Inc., et al. (Notice) |
| 812-14009 | IC-30606 | Jul. 23, 2013 | Charles Schwab Investment Management, Inc., et al. (Order) |
| 812-13628 | IC-28933 | Sep. 28, 2009 | Charles Schwab Investment Management, Inc., et al. (Notice) |
| 812-13628 | IC-28983 | Oct. 23, 2009 | Charles Schwab Investment Management, Inc., et al. (Order) |
| 812-13676 | IC-29167 | Mar. 2, 2010 | The Chile Fund, et al. (Notice) |
| 812-13676 | IC-29195 | Mar. 30, 2010 | The Chile Fund, et al. (Order) |
| 812-13749 | IC-29169 | Mar. 8, 2010 | The Chile Fund, Inc. (Notice) |
| 812-13749 | IC-29194 | Mar. 30, 2010 | The Chile Fund, Inc. (Order) |
| 812-14711 | IC-32731 | Jul. 11, 2017 | CION Ares Diversified Credit Fund and CION Ares Management, LLC (Order) |
| 812-14711 | IC-32678 | Jun. 13, 2017 | CION Ares Diversified Credit Fund, et al. (Notice) |
| 813-383 | IC-30589 | Jul. 3, 2013 | Citadel LLC, et al. (Notice) |
| 813-383 | IC-30637 | Jul. 30, 2013 | Citadel LLC, et al. (Order) |
| 813-377 | IC-29851 | Oct. 27, 2011 | Citadel LLC, et al. (Notice) |
| 813-377 | IC-29869 | Nov. 22, 2011 | Citadel LLC, et al. (Order) |
| 812-13394 | IC-28017 | Oct. 22, 2007 | Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al. (Order) |
| 812-13394 | IC-27978 | Sep. 24, 2007 | Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al. (Notice and Order) |
| 812-14468 | IC-31675 | Jun. 16, 2015 | Citicorp, et al. (Order) |
| 812-14468 | IC-31615 | May 20, 2015 | Citicorp, et al. (Notice) |
| 812-13970 | IC-31199 | Aug. 6, 2014 | Citigroup Global Markets Inc., et al. (Notice of Application and Temporary Order) |
| 812-13970 | IC-31238 | Sep. 3, 2014 | Citigroup Global Markets Inc., et al. (Order) |
| 812-13808 | IC-29464 | Oct. 19, 2010 | Citigroup Global Markets Inc., et al. (Notice) |
| 812-13808 | IC-29498 | Nov. 15, 2010 | Citigroup Global Markets Inc., et al. (Order) |
| 812-13615 | IC-28605 | Jan. 16, 2009 | Citigroup Global Markets Inc., et al. (Order) |
| 812-13615 | IC-28572 | Dec. 23, 2008 | Citigroup Global Markets Inc., et al. (Notice and Temporary Order) |
| 812-13618 | IC-28717 | Apr. 29, 2009 | Citibank, N.A. (Notice) |
| 812-13618 | IC-28746 | May 26, 2009 | Citibank, N.A. (Order) |
| 812-14533 | IC-31890 | Nov. 3, 2015 | CLA Strategic Allocation Fund and CLA Asset Management, LLC (Order) |
| 812-14533 | IC-31863 | Oct. 7, 2015 | CLA Strategic Allocation Fund and CLA Asset Management, LLC (Notice) |
| 812-13534 | IC-29256 | Apr. 23, 2010 | Claymore Exchange-Traded Fund Trust 3 et al. (Notice) |
| 812-13534 | IC-29271 | May 18, 2010 | Claymore Exchange-Traded Fund Trust 3 et al. (Order) |
| 812-13657 | IC-29458 | Oct. 7, 2010 | Claymore Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13396 | IC-27982 | Sep. 26, 2007 | Claymore Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13657 | IC-29494 | Nov. 2, 2010 | Claymore Exchange-Traded Fund Trust, et al. (Order) |
| 812-13396 | IC-28019 | Oct. 23, 2007 | Claymore Exchange-Traded Fund Trust, et al. (Order) |
| 812-14739 | IC-32665 | May 30, 2017 | ClearShares, LLC et al. (Order) |
| 812-14739 | IC-32620 | May 1, 2017 | ClearShares, LLC et al. (Notice) |
| 812-13105 | IC-28850 | Aug. 24, 2009 | Clough Global Allocation Fund, et al. (Notice) |
| 812-13105 | IC-28904 | Sep. 21, 2009 | Clough Global Allocation Fund, et al. (Order) |
| 812-14554 | IC-32053 | Mar. 25, 2016 | CLS Investments, LLC, et al. (Order) |
| 812-14554 | IC-32011 | Feb. 29, 2016 | CLS Investments, LLC, et al. (Notice) |
| 812-13594 | IC-28721 | May 8, 2009 | Cohen & Steers Advantage Income Realty Fund, et al. (Notice) |
| 812-13152 | IC-28341 | Jul. 24, 2008 | Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Notice) |
| 812-13594 | IC-28753 | Jun. 1, 2009 | Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order) |
| 812-13152 | IC-28358 | Aug. 19, 2008 | Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order) |
| 812-14229 | IC-30987 | Mar. 21, 2014 | Cohen & Steers Capital Management, Inc., Cohen & Steers ETF Trust, Cohen & Steers Securities, LLC (Order) |
| 812-14229 | IC-30924 | Feb. 24, 2014 | Cohen & Steers Capital Management, Inc., et al. (Notice) |
| 812-14230 | IC-31090 | Jun. 20, 2014 | Cohen & Steers ETF Trust, et al. (Notice) |
| 812-14230 | IC-31157 | Jul. 15, 2014 | Cohen & Steers ETF Trust, et al. (Order) |
| 812-14003 | IC-30413 | Mar. 4, 2013 | Cohen & Steers Real Assets Fund, Inc., et al. (Notice) |
| 812-14003 | IC-30442 | Mar. 29, 2013 | Cohen & Steers Real Assets Fund, Inc., et al. (Order) |
| 812-14305 | IC-31092 | Jun. 23, 2014 | College Retirement Equities Fund, et al. (Notice) |
| 812-14305 | IC-31204 | Aug. 11, 2014 | College Retirement Equities Fund, et al. (Order) |
| 812-14037 | IC-30260 | Nov. 13, 2012 | Columbia ETF Trust, et al. (Notice) |
| 812-14037 | IC-30301 | Dec. 11, 2012 | Columbia ETF Trust, et al. (Order) |
| 812-14552 | IC-32107 | May 5, 2016 | Columbia ETF Trust I, et al. (Notice) |
| 812-14552 | IC-32134 | May 31, 2016 | Columbia ETF Trust I, et al. (Order) |
| 812-13955 | IC-29980 | Mar. 13, 2012 | Columbia Funds Master Investment Trust, LLC, et al. (Notice) |
| 812-13955 | IC-29980 | Mar. 13, 2012 | Columbia Funds Master Investment Trust, LLC, et al. (Notice) |
| 812-13955 | IC-30030 | Apr. 10, 2012 | Columbia Funds Master Investment Trust, LLC, et al. (Order) |
| 812-14842 | IC-33036 | Feb. 27, 2018 | Columbia Funds Series Trust, et al. (Order) |
| 812-14842 | IC-32998 | Jan. 30, 2018 | Columbia Funds Series Trust, et al. (Notice) |
| 812-13631 | IC-28896 | Sep. 4, 2009 | Columbia Funds Series Trust, et al. (Notice) |
| 812-13631 | IC-28936 | Sep. 30, 2009 | Columbia Funds Series Trust, et al. (Order) |
| 812-14411 | IC-31981 | Feb. 3, 2016 | Columbia Funds Series Trust I, et. al. (Order) |
| 812-14411 | IC-31953 | Jan. 7, 2016 | Columbia Funds Series Trust I, et al. (Notice) |
| 812-14553 | IC-31898 | Nov. 10, 2015 | Columbia Trust, et al. (Order) |
| 812-14553 | IC-31866 | Oct. 13, 2015 | Columbia Trust, et al. (Notice) |
| 812-14646 | IC-32644 | May 23, 2017 | Commonwealth Annuity and Life Insurance Company et al. (Order) |
| 812-14646 | IC-32615 | Apr. 27, 2017 | Commonwealth Annuity and Life Insurance Company, et al. (Notice) |
| 812-13573 | IC-28835 | Jul. 22, 2009 | Compagnie de Financement Foncier (Notice) |
| 812-13573 | IC-28848 | Aug. 13, 2009 | Compagnie de Financement Foncier (Order) |
| 812-14154 | IC-30852 | Dec. 31, 2013 | Compass Efficient Model Portfolios, LLC, Compass EMP Funds Trust, Northern Lights Distributors, LLC (Order) |
| 812-14154 | IC-30817 | Dec. 4, 2013 | Compass Efficient Model Portfolios, LLC (Notice) |
| 812-13881 | IC-30550 | Jun. 4, 2013 | Compass Efficient Model Portfolios, LLC and Compass EMP Funds Trust (Notice) |
| 812-13881 | IC-30588 | Jul. 2, 2013 | Compass Efficient Model Portfolios, LLC and Compass EMP Funds Trust (Order) |
| 812-14779 | IC-32966 | Jan. 9, 2018 | Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC (Order) |
| 812-14779 | IC-32940 | Dec. 15, 2017 | Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC (Notice) |
| 812-14392 | IC-31720 | Jul. 21, 2015 | Context Capital Advisers, LLC, et al. (Order) |
| 812-14392 | IC-31689 | Jun. 24, 2015 | Context Capital Advisers, LLC, et al. (Notice) |
| 812-14266 | IC-31445 | Feb. 3, 2015 | Context Capital Advisers, LLC and Context Capital Funds (Order) |
| 812-14266 | IC-31408 | Jan. 6, 2015 | Context Capital Advisers, LLC and Context Capital Funds (Notice) |
| 811-02815 | 34-72173 | May 15, 2014 | Copley Fund, Inc. (Notice) See also Application and Exhibits |
| 811-02815 | IC-31088 | Jun. 19, 2014 | Copley Fund, Inc. (Order) |
| 812-14060 | IC-30916 | Feb. 11, 2014 | Cornerstone Advisors Inc. and The Advisors’ Inner Circle Fund (Order) |
| 812-14882 | IC-33064 | Apr. 3, 2018 | Corporate Capital Trust, Inc., et al. (Order) |
| 812-14882 | IC-33043 | Mar. 8, 2018 | Corporate Capital Trust, Inc., et al. (Notice) |
| 812-14408 | IC-32683 | Jun. 19, 2017 | Corporate Capital Trust, Inc., et al., (Order) |
| 812-14408 | IC-32642 | May 22, 2017 | Corporate Capital Trust, Inc., et al. (Notice) |
| 812-13844 | IC-30494 | Apr. 25, 2013 | Corporate Capital Trust, Inc., et al. (Notice) |
| 812-13844 | IC-30526 | May 21, 2013 | Corporate Capital Trust, Inc., et al. (Order) |
| 812-14326 | IC-31501 | Mar. 10, 2015 | Corsair Opportunity Fund Corsair Capital Management, L.P. (Order) |
| 812-14326 | IC-31454 | Feb. 10, 2015 | Corsair Opportunity Fund, et al. (Notice) |
| 812-13865 | IC-29691 | Jun. 9, 2011 | COUNTRY Investors Life Assurance Company, et al. (Notice) |
| 812-13325 | IC-27695 | Feb. 2, 2007 | Country Investors Life Assurance Company, et al. (Notice) |
| 812-13865 | IC-29717 | Jul. 7, 2011 | COUNTRY Investors Life Assurance Company, et al. (Order) |
| 812-13325 | IC-27744 | Feb. 28, 2007 | COUNTRY Investors Life Assurance Company, et al. (Order) |
| 812-14089 | IC-30512 | May 9, 2013 | CPG Carlyle Private Equity Fund, LLC, et al. (Notice) |
| 812-14089 | IC-30547 | Jun. 4, 2013 | CPG Carlyle Private Equity Fund, LLC, et al. (Order) |
| 812-14313 | IC-31051 | May 19, 2014 | Credit Suisse Asset Management, LLC, et al. (Notice and Temporary Order) |
| 812-14313 | IC-31082 | Jun. 16, 2014 | Credit Suisse Asset Management, LLC, et al. (Order) |
| 812-13966 | IC-30144 | Jul. 20, 2012 | Credit Suisse Asset Management, LLC, et al. (Notice) |
| 812-13966 | IC-30169 | Aug. 15, 2012 | Credit Suisse Asset Management, LLC, et al. (Order) |
| 812-14015 | IC-30342 | Jan. 7, 2013 | Credit Suisse Opportunity Funds, et al. (Notice) |
| 812-14015 | IC-30376 | Feb. 4, 2013 | Credit Suisse Opportunity Funds, et al. (Order) |
| 812-14454 | IC-32056 | Mar. 29, 2016 | Crescent Capital BDC, Inc., et al. (Order) |
| 812-14454 | IC-32018 | Mar. 2, 2016 | Crescent Capital BDC Inc., et al. (Notice) |
| 812-13858 | IC-31470 | Feb. 24, 2015 | Crow Point Partners, LLC and Northern Lights Fund Trust (Order) |
| 812-13858 | IC-31431 | Jan. 28, 2015 | Crow Point Partners, LLC and Northern Lights Fund Trust (Notice) |
| 812-14650 | IC-32225 | Aug. 23, 2016 | CSat Investment Advisory, L.P., et al. (Order) |
| 812-14650 | IC-32196 | Jul. 28, 2016 | CSat Investment Advisory, L.P., et al. (Notice) |
| 812-14353 | IC-31471 | Feb. 24, 2015 | CSOP ETF Trust, et al. (Order) |
| 812-14353 | IC-31432 | Jan. 28, 2015 | CSOP ETF Trust and CSOP Asset Management Limited (Notice) |
| 812-13423 | IC-28181 | Mar. 4, 2008 | CUNA Mutual Insurance Society, et al. (Notice) |
| 812-13423 | IC-28232 | Apr. 1, 2008 | CUNA Mutual Insurance Society, et al. (Order) |
| 812-13855 | IC-29794 | Sep. 19, 2011 | Curian Series Trust and Curian Capital, LLC (Notice) |
| 812-13855 | IC-29836 | Oct. 17, 2011 | Curian Series Trust and Curian Capital, LLC (Order) |
| 812-14685 | IC-32375 | Dec. 1, 2016 | CWM Advisors, LLC, et al. (Notice) |
| 812-14685 | IC-32404 | Dec. 28, 2016 | CWM Advisors, LLC, et al. (Order) |
D | |||
| File No. | Release No. | Date | Investment Company |
| 812-14632 | IC-32219 | Aug. 16, 2016 | Davis Fundamental ETF Trust, et al. (Notice) |
| 812-14632 | IC-32260 | Sep. 13, 2016 | Davis Fundamental ETF Trust, et al. (Order) |
| 812-14177 | IC-31326 | Nov. 3, 2014 | DBX ETF Trust, et al. (Order) |
| 812-14177 | IC-31276 | Oct. 6, 2014 | DBX ETF Trust, et al. (Notice) |
| 812-14004 | IC-30811 | Nov. 26, 2013 | DBX ETF Trust, et al. (Order) |
| 812-14004 | IC-30770 | Oct. 29, 2013 | DBX ETF Trust, et al. (Notice) |
| 812-14879 | IC-33165 | Jul. 23, 2018 | Defiance ETFs, LLC, et al. (Order) |
| 812-14879 | IC-33136 | Jun. 27, 2018 | Defiance ETFs, LLC, et al. (Notice) |
| 812-14595 | IC-32423 | Jan. 17, 2017 | Delaware Management Business Trust, et al. (Order) |
| 812-14595 | IC-32395 | Dec. 19, 2016 | Delaware Management Business Trust, et al. (Notice) |
| 812-13521 | IC-28405 | Sep. 24, 2008 | Delaware Management Business Trust, et al. (Notice) |
| 812-13521 | IC-28445 | Oct. 21, 2008 | Delaware Management Business Trust, et al. (Order) |
| 812-13333 | IC-27886 | Jul. 16, 2007 | Delaware VIP Trust et al. (Notice) |
| 812-13333 | IC-27926 | Aug. 9, 2007 | Delaware VIP Trust, et al. (Order) |
| 812-14629 | IC-32510 | Feb. 27, 2017 | Destra Capital Advisors LLC, et al. (Order) |
| 812-14629 | IC-32458 | Jan. 30, 2017 | Destra Capital Advisors LLC, et al. (Notice) |
| 812-14628 | IC-32459 | Jan. 30, 2017 | Destra Capital Advisors LLC, et al. (Order) |
| 812-14628 | IC-32308 | Oct. 7, 2016 | Destra Capital Advisors LLC, et al. (Notice) |
| 812-13574-01 | IC-30087 | May 30, 2012 | Destra Capital Investments LLC and Destra Unit Investment Trust (Order) |
| 812-13574-01 | IC-30059 | May 3, 2012 | Destra Capital Investments LLC and Destra Unit Investment Trust (Notice) |
| 812-13575 | IC-29842 | Oct. 25, 2011 | Destra Capital Investments LLC and Destra Unit Investment Trust (Order) |
| 812-13575 | IC-29825 | Sep. 29, 2011 | Destra Capital Investments LLC and Destra Unit Investment Trust (Notice) |
| 812-14789 | IC-33069 | Apr. 10, 2018 | Destra Exchange-Traded Fund Trust, et al. (Order) |
| 812-14789 | IC-33049 | Mar. 14, 2018 | Destra Exchange-Traded Fund Trust, et al. (Notice) |
| 812-14788 | IC-33071 | Apr. 10, 2018 | Destra Exchange-Traded Fund Trust, et al. (Order) |
| 812-14788 | IC-33048 | Mar. 14, 2018 | Destra Exchange-Traded Fund Trust, et al. (Notice) |
| 812-14448 | IC-31606 | May 19, 2015 | Deutsche Bank AG, et al. (Order) |
| 812-14448 | IC-31577 | Apr. 23, 2015 | Deutsche Bank AG, et al. (Notice) |
| 812-13664 | IC-28763 | Jun. 9, 2009 | Deutsche Bank Securities Inc., et al. (Notice and Temporary Order) |
| 812-13664 | IC-28811 | Jul. 7, 2009 | Deutsche Bank Securities Inc., et al. (Order) |
| 812-13212 | IC-27644 | Dec. 28, 2006 | Deutsche Bank Trust Company Americas (Notice) |
| 812-13212 | IC-27673 | Jan. 23, 2007 | Deutsche Bank Trust Company Americas (Order) |
| 812-14622 | IC-32433 | Jan. 24, 2017 | DFA Investment Dimensions Group Inc., et al. (Order) |
| 812-14622 | IC-32406 | Dec. 29, 2016 | DFA Investment Dimensions Group Inc., et al. (Notice) |
| 812-14208 | IC-31001 | Apr. 2, 2014 | DFA Investment Dimensions Group Inc., et al. (Order) |
| 812-14208 | IC-30976 | Mar. 7, 2014 | DFA Investment Dimensions Group Inc., et al. (Notice) |
| 812-13943 | IC-29820 | Sep. 22, 2011 | DFA Investment Dimensions Group Inc., et al. (Notice) |
| 812-13541 | IC-28637 | Feb. 26, 2009 | DFA Investment Dimensions Group Inc., et al. (Notice) |
| 812-13943 | IC-29838 | Oct. 18, 2011 | DFA Investment Dimensions Group Inc., et al. (Order) |
| 812-13541 | IC-28654 | Mar. 24, 2009 | DFA Investment Dimensions Group Inc., et al. (Order) |
| 812-14665 | IC-32305 | Oct. 5, 2016 | Dhandho ETF Trust and Dhandho Funds LLC (Order) |
| 812-14665 | IC-32255 | Sep. 9, 2016 | Dhandho ETF Trust and Dhandho Funds LLC (Notice) |
| 812-14398 | IC-31472 | Feb. 24, 2015 | Diamond Hill Capital Management, Inc., et al. (Order) |
| 812-14398 | IC-31433 | Jan. 28, 2015 | Diamond Hill Capital Management, Inc., et al. (Notice) |
| 812-14269 | IC-31002 | Apr. 3, 2014 | Direxion Shares ETF Trust, et al (Notice) |
| 812-14269 | IC-31032 | Apr. 29, 2014 | Direxion Shares ETF Trust, et al (Order) |
| 812-14211 | IC-30908 | Feb. 6, 2014 | The Dividend & Income Trust, et al. (Notice) |
| 812-14211 | IC-30970 | Feb. 28, 2014 | The Dividend & Income Trust, et al. (Order) |
| 812-14884 | IC-33196 | Aug. 7, 2018 | DMS ETF Trust I, et al. (Order) |
| 812-14884 | IC-33156 | Jul. 10, 2018 | DMS ETF Trust I, et al. (Notice) |
| 812-14886 | IC-33189 | Aug. 1, 2018 | DMS ETF Trust I, et al. (Order) |
| 812-14886 | IC-33148 | Jul. 6, 2018 | DMS ETF Trust I, et al. (Notice) |
| 812-14885 | IC-33103 | May 22, 2018 | DMS ETF Trust I, et al. (Notice) |
| 812-14885 | IC-33125 | Jun. 19, 2018 | DMS ETF Trust I, et al. (Order) |
| 812-13377 | IC-28368 | Aug. 26, 2008 | DNP Select Income Fund Inc. and Duff & Phelps Investment Management Co. (Order) |
| 812-13617 | IC-28891 | Aug. 27, 2009 | DNP Select Income Fund Inc., et al. (Notice) |
| 812-13377 | IC-28348 | Jul. 31, 2008 | DNP Select Income Fund Inc., et al. (Notice) |
| 812-13617 | IC-28906 | Sep. 22, 2009 | DNP Select Income Fund Inc., et al. (Order) |
| 812-13480 | IC-28409 | Sep. 29, 2008 | Dodge & Cox Funds and Dodge & Cox Incorporated (Notice) |
| 812-13480 | IC-28470 | Oct. 27, 2008 | Dodge & Cox Funds and Dodge & Cox Incorporated (Order) |
| 812-13582 | IC-29454 | Oct. 1, 2010 | Dolby Laboratories, Inc. (Notice) |
| 812-13582 | IC-29492 | Oct. 27, 2010 | Dolby Laboratories, Inc. (Order) |
| 812-13971 | IC-30035 | Apr. 17, 2012 | Domini Social Investment Trust and Domini Social Investments LLC (Order) |
| 812-13971 | IC-29984 | Mar. 21, 2012 | Domini Social Investment Trust and Domini Social Investments LLC (Notice) |
| 812-13971 | IC-29984 | Mar. 21, 2012 | Domini Social Investment Trust and Domini Social Investments LLC (Notice) |
| 812-13983 | IC-29943 | Feb. 2, 2012 | DoubleLine Capital LP and DoubleLine Funds Trust (Notice) |
| 812-13983 | IC-29943 | Feb. 2, 2012 | DoubleLine Capital LP and DoubleLine Funds Trust (Notice) |
| 812-13983 | IC-29971 | Feb. 28, 2012 | DoubleLine Funds Trust, et al. (Order) |
| 812-13983 | IC-29971 | Feb. 28, 2012 | DoubleLine Funds Trust, et al. (Order) |
| 812-14703 | IC-32711 | Jun. 26, 2017 | Dreyfus ETF Trust, The Dreyfus Corporation and Mellon Capital Management Corporation, (Order) |
| 812-14703 | IC-32666 | May 30, 2017 | Dreyfus ETF Trust (Notice) |
| 812-14283 | IC-31403 | Dec. 30, 2014 | Dreyfus ETF Trust, et al. (Order) |
| 812-14283 | IC-31365 | Dec. 3, 2014 | Dreyfus ETF Trust, et al. (Notice) |
| 812-13637 | IC-30580 | Jun. 26, 2013 | The Dreyfus Corporation, et al. (Notice) |
| 812-13637 | IC-30608 | Jul. 23, 2013 | The Dreyfus Corporation, et al. (Order) |
| 812-13906 | IC-30137 | Jul. 12, 2012 | The Dreyfus Corporation, et al. (Notice) |
| 812-13906 | IC-30163 | Aug. 7, 2012 | The Dreyfus Corporation, et al. (Order) |
| 812-14357 | IC-31593 | May 5, 2015 | Dreyfus TMT Opportunities Fund, Inc. and The Dreyfus Corporation (Order) |
| 812-14357 | IC-31549 | Apr. 7, 2015 | Dreyfus TMT Opportunities Fund, Inc., et al. (Notice) |
| 812-13539 | IC-29295 | Jun. 9, 2010 | DWS Advisor Funds, et al. (Notice) |
| 812-13383 | IC-27919 | Jul. 31, 2007 | DWS Advisor Funds, et al. (Notice) |
| 812-13539 | IC-29339 | Jul. 7, 2010 | DWS Advisor Funds, et al. (Order) |
| 812-13383 | IC-27954 | Aug. 27, 2007 | DWS Advisor Funds, et al. (Order) |
E | |||
| File No. | Release No. | Date | Investment Company |
| 812-13639 | IC-28645 | Mar. 12, 2009 | E*TRADE Capital Markets LLC, et al. (Notice) |
| 812-13639 | IC-28689 | Apr. 7, 2009 | E*TRADE Capital Markets LLC, et al. (Order) |
| 812-14173 | IC-31269 | Sep. 29, 2014 | Eagle Capital Appreciation Fund, et al. (Order) |
| 812-14173 | IC-31239 | Sep. 3, 2014 | Eagle Capital Appreciation Fund, et al. (Notice) |
| 812-14330 | IC-31507 | Mar. 17, 2015 | Eagle Point Credit Company Inc., et al. (Order) |
| 812-14330 | IC-31457 | Feb. 18, 2015 | Eagle Point Credit Company Inc., et al. (Notice) |
| 812-14777-01 | IC-32861 | Oct. 16, 2017 | Eagle Series Trust, et al. (Order) |
| 812-14777-01 | IC-32802A | Sep. 18, 2017 | Eagle Series Trust, et al. (Notice) |
| 812-14777 | IC-32802 | Aug. 31, 2017 | Eagle Series Trust, et al. (Notice) |
| 812-14139 | IC-31361 | Dec. 2, 2014 | Eaton Vance Management, et al. (Order) |
| 812-14304 | IC-31327 | Nov. 4, 2014 | Eaton Vance Distributors, Inc. Eaton Vance Unit Trust (Order) |
| 812-14304 | IC-31280 | Oct. 8, 2014 | Eaton Vance Distributors, Inc. and Eaton Vance Unit Trust (Notice) |
| 812-13586 | IC-28616 | Feb. 10, 2009 | Eaton Vance Enhanced Equity Income Fund, et al. (Notice) |
| 812-13586 | IC-28643 | Mar. 10, 2009 | Eaton Vance Enhanced Equity Income Fund, et al. (Order) |
| 812-13540 | IC-28431 | Oct. 2, 2008 | Eaton Vance Floating-Rate Income Trust, et al. (Notice) |
| 812-13540 | IC-28464 | Oct. 23, 2008 | Eaton Vance Floating-Rate Income Trust, et al. (Order) |
| 812-14139 | IC-31333 | Nov. 6, 2014 | Eaton Vance Management, et al. (Notice) |
| 812-13759 | IC-29591 | Mar. 1, 2011 | Eaton Vance Management, et al. (Notice) |
| 812-13759 | IC-29620 | Mar. 30, 2011 | Eaton Vance Management, et al. (Order) |
| 812-13481 | IC-28170 | Feb. 26, 2008 | Eaton Vance Mutual Funds Trust, et al. (Notice) |
| 812-13481 | IC-28202 | Mar. 25, 2008 | Eaton Vance Mutual Funds Trust, et al. (Order) |
| 813-373 | IC-29441 | Sep. 27, 2010 | Elfun Trusts, et al. (Notice) |
| 813-373 | IC-29485 | Oct. 25, 2010 | Elfun Trusts, et al. (Order) |
| 812-14264 | IC-31401 | Dec. 29, 2014 | Elkhorn Investments, LLC Elkhorn Etf Trust (Order) |
| 812-14264 | IC-31363 | Dec. 2, 2014 | Elkhorn Investments, LLC and Elkhorn ETF Trust (Notice) |
| 812-14262 | IC-31089 | Jun. 19, 2014 | Elkhorn Investments, LLC and Elkhorn ETF Trust (Notice) |
| 812-14262 | IC-31158 | Jul. 15, 2014 | Elkhorn Investments, LLC and Elkhorn ETF Trust (Order) |
| 812-14263 | IC-31085 | Jun. 17, 2014 | Elkhorn Investments, LLC and Elkhorn ETF Trust (Notice) |
| 812-14263 | IC-31155 | Jul. 15, 2014 | Elkhorn Investments, LLC and Elkhorn ETF Trust (Order) |
| 812-14261 | IC-31043 | May 13, 2014 | Elkhorn Securities, LLC and Elkhorn Unit Trust (Order) |
| 812-14261 | IC-31022 | Apr. 17, 2014 | Elkhorn Securities, LLC and Elkhorn Unit Trust (Notice) |
| 812-14260 | IC-30902 | Feb. 3, 2014 | Elkhorn Securities, LLC and Elkhorn Unit Trust (Notice) |
| 812-14260 | IC-30974 | Mar. 5, 2014 | Elkhorn Securities, LLC and Elkhorn Unit Trust (Order) |
| 812-13633 | IC-28769 | Jun. 22, 2009 | Embarcadero Funds, Inc., et al. (Notice) |
| 812-13633 | IC-28820 | Jul. 20, 2009 | Embarcadero Funds, Inc., et al. (Order) |
| 812-14205 | IC-30910 | Feb. 10, 2014 | Emerging Global Advisors, LLC, et al. (Notice) |
| 812-14205 | IC-30975 | Mar. 7, 2014 | Emerging Global Advisors, LLC, et al. (Order) |
| 812-14117 | IC-30423 | Mar. 12, 2013 | Emerging Global Advisors, LLC, et al. (Order) |
| 812-14117 | IC-30382 | Feb. 13, 2013 | Emerging Global Advisors, LLC, et al. (Notice) |
| 812-13954 | IC-30184 | Aug. 28, 2010 | Emerging Global Advisors, LLC, et al. (Notice) |
| 812-13954 | IC-30212 | Sep. 25, 2010 | Emerging Global Advisors, LLC, et al. (Order) |
| 812-14245 | IC-30988 | Mar. 21, 2014 | Empowered Funds, LLC and Empowered Funds ETF Trust (Notice) |
| 812-14245 | IC-31018 | Apr. 16, 2014 | Empowered Funds, LLC and Empowered Funds ETF Trust (Order) |
| 812-14803 | IC-32887 | Oct. 30, 2017 | EntrepreneurShares Series Trust, et al. (Order) |
| 812-14803 | IC-32847 | Oct. 3, 2017 | EntrepreneurShares Series Trust, et al. (Notice) |
| 812-14438 | IC-31575 | Apr. 23, 2015 | ETMF Trust, et al. (Notice) |
| 812-13706 | IC-29294 | Jun. 4, 2010 | EQ Advisors Trust, et al. (Notice) |
| 812-13706 | IC-29336 | Jun. 30, 2010 | EQ Advisors Trust, et al. (Order) |
| 812-14858 | IC-33009 | Feb. 21, 2018 | EquBot LLC and ETF Series Solutions (Order) |
| 812-14858 | IC-32993 | Jan. 26, 2018 | EquBot LLC and ETF Series Solutions (Notice) |
| 812-14129 | IC-30673 | Aug. 23, 2013 | Equinox Funds Trust, et al. (Notice) |
| 812-14129 | IC-30691 | Sep. 19, 2013 | Equinox Funds Trust, et al. (Order) |
| 812-13373 | IC-27808 | Apr. 30, 2007 | The Equity Trust Inc., et al. (Notice) |
| 812-13373 | IC-27823 | May 22, 2007 | The Equity Trust Inc., et al. (Order) |
| 812-14653 | IC-32421 | Jan. 10, 2017 | Equus Total Return, Inc. (Order) |
| 812-14653 | IC-32392 | Dec. 14, 2016 | Equus Total Return, Inc. (Notice) |
| 812-14145 | IC-30636 | Jul. 30, 2013 | ERNY Financial ETF Trust, et al. (Notice) |
| 812-14145 | IC-30678 | Aug. 27, 2013 | ERNY Financial ETF Trust, et al. (Order) |
| 812-14146 | IC-30514 | May 13, 2013 | ERNY Financial ETF Trust and ERNY Financial Advisors, LLC (Notice) |
| 812-14146 | IC-30552 | Jun. 10, 2013 | ERNY Financial ETF Trust and ERNY Financial Advisors, LLC (Order) |
| 812-14080 | IC-30568 | Jun. 26, 2013 | ETF Issuer Solutions Inc., et al. (Notice) |
| 812-14080 | IC-30607 | Jul. 23, 2013 | ETF Issuer Solutions Inc., et al. (Order) |
| 812-14508 | IC-32358 | Nov. 10, 2016 | ETF Managers Group LLC et al. (Order) |
| 812-14508 | IC-32317 | Oct. 13, 2016 | ETF Managers Group, et al. (Notice) |
| 812-14598 | IC-32171 | Jul. 6, 2016 | ETF Managers Group LLC, et al. (Order) |
| 812-14598 | IC-32142 | Jun. 8, 2016 | ETF Managers Group LLC, et al. (Notice) |
| 812-14292 | IC-31346 | Nov. 24, 2014 | ETF Securities Advisors LLC, et al. (Notice) |
| 812-14292 | IC-31395 | Dec. 22, 2014 | ETF Securities Advisors LLC, et al. (Order) |
| 812-14271 | IC-31319 | Oct. 24, 2014 | ETF Securities Advisors LLC, et al. (Notice) |
| 812-14271 | IC-31340 | Nov. 19, 2014 | ETF Securities Advisors LLC, et al. (Order) |
| 812-14475 | IC-31906 | Nov. 19, 2015 | ETF Series Solutions and AlphaClone, Inc. (Notice) |
| 812-14475 | IC-31938 | Dec. 15, 2015 | ETF Series Solutions and AlphaClone, Inc. (Order) |
| 812-14451 | IC-31937 | Dec. 15, 2015 | ETF Series Solutions and U.S. Global Investors, Inc. (Order) |
| 812-14212 | IC-30786 | Nov. 15, 2013 | ETFis Series Trust I, et al. (Notice) |
| 812-14212 | IC-30825 | Dec. 11, 2013 | ETFis Series Trust I, et al. (Order) |
| 812-14346 | IC-31557 | Apr. 20, 2015 | ETFS Trust and ETF Securities Advisors LLC (Order) |
| 812-14346 | IC-31511 | Mar. 25, 2015 | ETFS Trust and ETF Securities Advisors LLC (Notice) |
| 812-13774 | IC-29501 | Nov. 18, 2010 | ETSpreads, LLC, et al. (Notice) |
| 812-13774 | IC-29525 | Dec. 14, 2010 | ETSpreads, LLC, et al. (Order) |
| 812-14293 | IC-31285 | Oct. 14, 2014 | Evanston Alternative Opportunities Fund Evanston Capital Management, LLC (Order) |
| 812-14293 | IC-31250 | Sep. 15, 2014 | Evanston Alternative Opportunities Fund and Evanston Capital Management, LLC. (Notice) |
| 812-13030 | IC-28938 | Sep. 30, 2009 | Evergreen Income Advantage Fund, et al. (Notice) |
| 812-13030 | IC-28985 | Oct. 27, 2009 | Evergreen Income Advantage Fund, et al. (Order) |
| 812-14234 | IC-31446 | Feb. 4, 2015 | Exceed Advisory LLC and Exceed ETFs (Notice) |
| 812-14234 | IC-31494 | Mar. 3, 2015 | Exceed Advisory LLC and Exceed ETFs (Order) |
| 812-14548-05 | IC-32628 | May 8, 2017 | Excelsior Private Markets Fund II (Master), et al. (Order) |
| 812-14548-05 | IC-32597 | Apr. 10, 2017 | Excelsior Private Markets Fund II (Master), LLC, et al. (Notice) |
| 812-14334 | IC-31502 | Mar. 10, 2015 | Exchange Traded Concepts, LLC et al. (Order) |
| 812-14334 | IC-31453 | Feb. 10, 2015 | Exchange Traded Concepts, LLC et al. (Notice) |
| 812-13963 | IC-30634 | Jul. 29, 2013 | Exchange Traded Concepts, LLC, et al. (Notice) |
| 812-13963 | IC-30674 | Aug. 26, 2013 | Exchange Traded Concepts, LLC, et al. (Order) |
| 812-13969 | IC-30415 | Mar. 7, 2013 | Exchange Traded Concepts Trust, et al. (Notice) |
| 812-13969 | IC-30445 | Apr. 2, 2013 | Exchange Traded Concepts Trust, et al. (Order) |
| 812-13486 | IC-30346 | Jan. 9, 2013 | Exchange Traded Spreads Trust, et al. (Notice) |
| 812-13486 | IC-30378 | Feb. 5, 2013 | Exchange Traded Spreads Trust, et al. (Order) |
F | |||
| File No. | Release No. | Date | Investment Company |
| 812-13934 | IC-30204 | Sep. 17, 2012 | Factor Advisors, LLC, et al. (Notice) |
| 812-13934 | IC-30230 | Oct. 10, 2012 | Factor Advisors, LLC, et al. (Order) |
| 812-14511 | IC-32098 | Apr. 26, 2016 | FactorShares Trust, et al. (Order) |
| 812-14511 | IC-32062 | Mar. 30, 2016 | FactorShares Trust, et al. (Notice) |
| 812-13854 | IC-29619 | Mar. 28, 2011 | Fairholme VP Series Fund, Inc. et al. (Notice) |
| 812-13854 | IC-29661 | Apr. 26, 2011 | Fairholme VP Series Fund, Inc. et al. (Order) |
| 812-13638 | IC-28991 | Nov. 5, 2009 | FaithShares Trust, et al. (Notice) |
| 812-13638 | IC-29065 | Dec. 1, 2009 | FaithShares Trust, et al. (Order) |
| 812-13351 | IC-27676 | Jan. 24, 2007 | FBR Fund Advisers, Inc., FBR Investment Services, Inc., and FBR Investment Management, Inc. (Order) |
| 812-13421 | IC-28837 | Jul. 27, 2009 | Federated Core Trust III and Federated Investment Management Company (Order) |
| 812-13421 | IC-28806 | Jun. 30, 2009 | Federated Core Trust III, et al. (Notice) |
| 812-13743 | IC-29341 | Jul. 14, 2010 | Federated Enhanced Treasury Income Fund, et al. (Notice) |
| 812-13743 | IC-29379 | Aug. 10, 2010 | Federated Enhanced Treasury Income Fund, et al. (Order) |
| 812-13946 | IC-30093 | Jun. 1, 2012 | Federated Investment Management Company and Federated ETF Trust (Notice) |
| 812-13946 | IC-30123 | Jun. 26, 2012 | Federated Investment Management Company and Federated ETF Trust (Order) |
| 812-14352 | IC-31758 | Aug. 13, 2015 | FEG Absolute Access TEI Fund LLC and FEG Investors, LLC (Notice) |
| 812-14352 | IC-31814 | Sep. 9, 2015 | FEG Absolute Access TEI Fund LLC, et al. (Order) |
| 812-13748 | IC-29292 | Jun. 2, 2010 | FFCM, LLC and FQF Trust (Notice) |
| 812-13748 | IC-29335 | Jun. 29, 2010 | FFCM, LLC and FQF Trust (Order) |
| 812-14440 | IC-31669 | Jun. 15, 2015 | FFI Advisors, LLC, et al. (Notice) |
| 812-14440 | IC-31713 | Jul. 13, 2015 | FFI Advisors, LLC, et al. (Order) |
| 812-13731 | IC-30258 | Nov. 6, 2012 | Fidelity Aberdeen Street Trust, et al. (Notice) |
| 812-13731 | IC-30288 | Dec. 3, 2012 | Fidelity Aberdeen Street Trust, et al. (Order) |
| 812-13505 | IC-28376 | Sep. 5, 2008 | Fidelity Aberdeen Street Trust, et al. (Notice) |
| 812-13505 | IC-28425 | Sep. 30, 2008 | Fidelity Aberdeen Street Trust, et al. (Order) |
| 812-14651 | IC-32191 | Jul. 26, 2016 | Fidelity Commonwealth Trust, et al. (Order) |
| 812-14651 | IC-32166 | Jun. 29, 2016 | Fidelity Commonwealth Trust, et al. (Notice) |
| 812-13984 | IC-30341 | Jan. 7, 2013 | Fidelity Commonwealth Trust, et al. (Notice) |
| 812-13984 | IC-30375 | Feb. 1, 2013 | Fidelity Commonwealth Trust, et al. (Order) |
| 812-14104 | IC-30464 | Apr. 16, 2013 | Fidelity Merrimack Street Trust, et al. (Notice) |
| 812-14104 | IC-30513 | May 10, 2013 | Fidelity Merrimack Street Trust, et al. (Order) |
| 812-13476 | IC-28259 | Apr. 30, 2008 | Fidelity Rutland Square Trust, et al. (Notice) |
| 812-13232 | IC-28008 | Sep. 28, 2007 | Fidelity Rutland Square Trust, et al. (Notice) |
| 812-13476 | IC-28287 | May 28, 2008 | Fidelity Rutland Square Trust, et al. (Order) |
| 812-13232 | IC-28023 | Oct. 24, 2007 | Fidelity Rutland Square Trust, et al. (Order) |
| 812-14605 | IC-32411 | Jan. 4, 2017 | Fidus Investment Corporation, et al. (Order) |
| 812-14605 | IC-32381 | Dec. 7, 2016 | Fidus Investment Corporation, et al. (Notice) |
| 812-14156 | IC-31137 | Jun. 30, 2014 | Fidus Investment Corporation, et al. (Order) |
| 812-14156 | IC-31067 | Jun. 2, 2014 | Fidus Investment Corporation, et al. (Notice) |
| 812-13879 | IC-29974 | Mar. 1, 2012 | Fidus Investment Corporation, et al. (Notice) |
| 812-13879 | IC-29974 | Mar. 1, 2012 | Fidus Investment Corporation, et al. (Notice) |
| 812-13879 | IC-30012 | Mar. 27, 2012 | Fidus Investment Corporation, et al. (Order) |
| 812-14132 | IC-31247 | Sep. 9, 2014 | Fifth Street Finance Corp., et al. (Order) |
| 812-14132 | IC-31212 | Aug. 14, 2014 | Fifth Street Finance Corp., et al. (Notice) |
| 812-13698 | IC-29500 | Nov. 18, 2010 | Fifth Street Finance Corp., et al. (Notice) |
| 812-13698 | IC-29526 | Dec. 14, 2010 | Fifth Street Finance Corp., et al. (Order) |
| 812-13893 | IC-29819 | Sep. 22, 2011 | Fifth Third Funds and Fifth Third Asset Management, Inc. (Notice) |
| 812-13893 | IC-29839 | Oct. 18, 2011 | Fifth Third Funds and Fifth Third Asset Management, Inc. (Order) |
| 812-14098 | IC-30521 | May 15, 2013 | Financial Investors Trust and Hanson McClain Strategic Advisors, Inc. (Notice) |
| 812-14098 | IC-30554 | Jun. 11, 2013 | Financial Investors Trust and Hanson McClain Strategic Advisors, Inc. (Order) |
| 812-13985 | IC-30205 | Sep. 18, 2012 | Financial Investors Trust, et al. (Notice) |
| 812-13985 | IC-30233 | Oct. 16, 2012 | Financial Investors Trust, et al. (Order) |
| 812-13359 | IC-27965 | Sep. 4, 2007 | Financial Investors Variable Insurance Trust et al. (Notice) |
| 812-13359 | IC-27999 | Sep. 27, 2007 | Financial Investors Variable Insurance Trust, et al. (Order) |
| 812-13268 | IC-27846 | May 30, 2007 | First American Investment Funds, Inc. et al. (Order) |
| 812-13268 | IC-27818 | May 4, 2007 | First American Investment Funds, Inc., et al. (Notice) |
| 812-13602 | IC-28683 | Mar. 31, 2009 | First American Strategy Funds, Inc. (Notice) |
| 812-13602 | IC-28715 | Apr. 28, 2009 | First American Strategy Funds, Inc., et al. (Order) |
| 812-13350 | IC-27868 | Jun. 20, 2007 | First Investors Equity Funds (Order) |
| 812-14594 | IC-32355 | Nov. 9, 2016 | First Investors Equity Funds, et al. (Order) |
| 812-14594 | IC-32318 | Oct. 14, 2016 | First Investors Equity Funds, et al. (Notice) |
| 812-13350 | IC-27826 | May 23, 2007 | First Investors Equity Funds, et al. (Notice) |
| 812-13477 | IC-28421 | Sep. 29, 2008 | First Trust Advisors L.P. (Notice) |
| 812-13477 | IC-28468 | Oct. 27, 2008 | First Trust Advisors L.P., et al. (Order) |
| 812-14088 | IC-30582 | Jun. 26, 2013 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 812-14088 | IC-30610 | Jul. 23, 2013 | First Trust Exchange-Traded Fund, et al. (Order) |
| 812-14070 | IC-30546 | Jun. 3, 2013 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 812-14070 | IC-30587 | Jul. 1, 2013 | First Trust Exchange-Traded Fund, et al. (Order) |
| 812-13895 | IC-30345 | Jan. 8, 2013 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 812-13895 | IC-30377 | Feb. 5, 2013 | First Trust Exchange-Traded Fund, et al. (Order) |
| 812-13795 | IC-29983 | Mar. 15, 2012 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 812-13795 | IC-29983 | Mar. 15, 2012 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 812-13795 | IC-30029 | Apr. 10, 2012 | First Trust Exchange-Traded Fund, et al. (Order) |
| 812-13340 | IC-27812 | Apr. 30, 2007 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 812-13340 | IC-27845 | May 30, 2007 | First Trust Exchange-Traded Fund, et al. (Order) |
| 812-13262 | IC-27772 | Mar. 30, 2007 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 812-13262 | IC-27784 | Apr. 25, 2007 | First Trust Exchange-Traded Fund, et al. (Order) |
| 812-13161-01 | IC-29163 | Feb. 26, 2010 | First Trust/Aberdeen Global Opportunity Income Fund, et al. (Notice) |
| 812-13161-01 | IC-29189 | Mar. 24, 2010 | First Trust/Aberdeen Global Opportunity Income Fund, et al. (Order) |
| 812-13598 | IC-28722 | May 8, 2009 | Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Notice) |
| 812-13598 | IC-28754 | Jun. 1, 2009 | Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Order) |
| 812-14150 | IC-30593 | Jul. 9, 2013 | FlexShares Trust, et al. (Notice) |
| 812-14150 | IC-30645 | Aug. 6, 2013 | FlexShares Trust, et al. (Order) |
| 812-13376 | IC-28066 | Nov. 27, 2007 | FocusShares Trust F/N/A MyShares Trust, et al. (Order) |
| 812-14659 | IC-32304 | Oct. 5, 2016 | Foreside Advisor Services, LLC, et al. (Order) |
| 812-14659 | IC-32256 | Sep. 9, 2016 | Foreside Advisor Services, LLC, et al. (Notice) |
| 812-14023 | IC-30284 | Nov. 29, 2012 | Foreside Advisor Services, LLC, et al. (Notice) |
| 812-14023 | IC-30318 | Dec. 27, 2012 | Foreside Advisor Services, LLC, et al. (Order) |
| 812-14660 | IC-32323 | Oct. 24, 2016 | Foreside ETF Trust, et al. (Order) |
| 812-14660 | IC-32284 | Sep. 26, 2016 | Foreside ETF Trust, et al. (Notice) |
| 812-14198 | IC-30840 | Dec. 19, 2013 | Forethought Variable Insurance Trust, et al. (Notice) |
| 812-14198 | IC-30857 | Jan. 14, 2014 | Forethought Variable Insurance Trust, et al. (Order) |
| 812-14183 | IC-30716 | Sep. 25, 2013 | Forethought Variable Insurance Trust, et al. (Notice) |
| 812-14183 | IC-30750 | Oct. 22, 2013 | Forethought Variable Insurance Trust, et al. (Order) |
| 812-14695 | IC-32637 | May 16, 2017 | Formula Folio Investments, LLC et al. (Order) |
| 812-14695 | IC-32607 | Apr. 20, 2017 | Formula Folio Investments, LLC and Northern Lights Fund Trust IV (Notice) |
| 812-14345 | IC-31385 | Dec. 18, 2014 | Forum Funds II and Acuitas Investments, LLC (Notice) |
| 812-14345 | IC-31413 | Jan. 13, 2015 | Forum Funds II and Acuitas Investments, LLC (Order) |
| 812-14344 | IC-31386 | Dec. 18, 2014 | Forum Funds II and CVR Portfolio Funds LLC (Notice) |
| 812-14344 | IC-31414 | Jan. 13, 2015 | Forum Funds II and CVR Portfolio Funds LLC (Order) |
| 812-14355 | IC-31443 | Feb. 3, 2015 | Forum Funds II, et al. (Order) |
| 812-14355 | IC-31407 | Jan. 6, 2015 | Forum Funds II, et al. (Notice) |
| 812-13265 | IC-27605 | Dec. 20, 2006 | Forum Funds, et al. (Notice) |
| 812-13265 | IC-27665 | Jan. 18, 2007 | Forum Funds and Absolute Investment Advisers (Order) |
| 812-14531 | IC-31893 | Nov. 5, 2015 | Forum Funds and Exceed Advisory LLC (Notice) |
| 812-14531 | IC-31919 | Dec. 1, 2015 | Forum Funds and Exceed Advisory LLC (Order) |
| 812-13915 | IC-30507 | May 6, 2013 | Forum Investment Advisors, LLC, et al. (Notice) |
| 812-13915 | IC-30549 | Jun. 4, 2013 | Forum Investment Advisors, LLC, et al. (Order) |
| 812-13249 | IC-27814 | May 1, 2007 | Forward Funds (Order) |
| 812-13533 | IC-28420 | Sep. 29, 2008 | Forward Funds and Forward Management, LLC (Notice) |
| 812-13533 | IC-28469 | Oct. 27, 2008 | Forward Funds and Forward Management, LLC (Order) |
| 812-14043 | IC-30411 | Feb. 28, 2013 | Forward Funds, et al. (Notice) |
| 812-14043 | IC-30437 | Mar. 26, 2013 | Forward Funds, et al. (Order) |
| 812-13996 | IC-29982 | Mar. 15, 2012 | Forward Funds, et al. (Notice) |
| 812-13996 | IC-30031 | Apr. 10, 2012 | Forward Funds, et al. (Order) |
| 812-13543 | IC-28640 | Mar. 3, 2009 | Forward Funds, et al. (Notice) |
| 812-13543 | IC-28682 | Mar. 30, 2009 | Forward Funds, et al. (Order) |
| 812-13249 | IC-27777 | Apr. 5, 2007 | Forward Funds, et al. (Notice) |
| 812-14742 | IC-32970 | Jan. 17, 2018 | FQF Trust, et al. (Order) |
| 812-14742 | IC-32942 | Dec. 19, 2017 | FQF Trust, et al. (Notice) |
| 812-13741 | IC-29720 | Jul. 11, 2011 | FQF Trust, et al. (Notice) |
| 812-13741 | IC-29747 | Aug. 5, 2011 | FQF Trust, et al. (Order) |
| 812-13783 | IC-30524 | May 17, 2013 | Frank Russell Company, et al. (Notice) |
| 812-13783 | IC-30556 | Jun. 12, 2013 | Frank Russell Company, et al. (Order) |
| 812-14042 | IC-30312 | Dec. 19, 2012 | Franklin Advisers, Inc., et al. (Notice) |
| 812-14042 | IC-30350 | Jan. 15, 2013 | Franklin Advisers, Inc., et al. (Order) |
| 812-13900 | IC-30138 | Jul. 17, 2012 | Franklin Advisers, Inc. and Franklin Templeton International Trust (Order) |
| 812-13900 | IC-30105 | Jun. 18, 2012 | Franklin Advisers, Inc. and Franklin Templeton International Trust (Notice) |
| 812-14819 | IC-33117 | Jun. 5, 2018 | Franklin Alternative Strategies Funds, et al. (Order) |
| 812-14819 | IC-33095 | May 10, 2018 | Franklin Alternative Strategies Funds, et al. (Notice) |
| 812-13500 | IC-28229 | Mar. 31, 2008 | Franklin California Tax-Free Income Fund, et al. (Notice) |
| 812-13500 | IC-28257 | Apr. 28, 2008 | Franklin California Tax-Free Income Trust, et al. (Order) |
| 812-14611 | IC-32722 | Jul. 3, 2017 | Franklin Fund Allocator Series, et al. (Order) |
| 812-14611 | IC-32669 | Jun. 5, 2017 | Franklin Fund Allocator Series, et al. (Notice) |
| 812-14566 | IC-32105 | May 5, 2016 | Franklin Templeton ETF Trust, et al. (Notice) |
| 812-14566 | IC-32133 | May 31, 2016 | Franklin Templeton ETF Trust, et al. (Order) |
| 812-13499 | IC-28574 | Dec. 29, 2008 | Franklin Templeton Fund Allocator Series, et al. (Notice) |
| 812-13499 | IC-28608 | Jan. 26, 2009 | Franklin Templeton Fund Allocator Series, et al. (Order) |
| 812-14167 | IC-30679 | Aug. 27, 2013 | Franklin Templeton International Trust, et al. (Notice) |
| 812-14167 | IC-30698 | Sep. 24, 2013 | Franklin Templeton International Trust, et al. (Order) |
| 812-14567 | IC-32221 | Aug. 17, 2016 | FS Global Credit Opportunities Fund, et al. (Notice) |
| 812-14567 | IC-32257 | Sep. 12, 2016 | FS Global Credit Opportunities Fund, et al. (Order) |
| 812-13665 | IC-30511 | May 9, 2013 | FS Investment Corporation, et al. (Notice) |
| 812-13665 | IC-30548 | Jun. 4, 2013 | FS Investment Corporation, et al. (Order) |
| 812-14762 | IC-33006 | Feb. 20, 2018 | FS Series Trust and FS Fund Advisor, LLC (Order) |
| 812-14762 | IC-32992 | Jan. 25, 2018 | FS Series Trust and FS Fund Advisor, LLC (Notice) |
| 812-14396 | IC-31799 | Aug. 28, 2015 | Full Circle Capital Corporation et al. (Notice) |
| 812-14396 | IC-31837 | Sep. 23, 2015 | Full Circle Capital Corporation, et al. (Order) |
| 812-14253 | IC-31161 | Jul. 17, 2014 | FundVantage Trust, et al. (Notice) |
| 812-14253 | IC-31207 | Aug. 12, 2014 | FundVantage Trust et al. (Order) |
| 812-14197 | IC-31003 | Apr. 3, 2014 | FundVantage Trust, et al (Notice) |
| 812-14197 | IC-31033 | Apr. 29, 2014 | FundVantage Trust, et al (Order) |
G | |||
| File No. | Release No. | Date | Investment Company |
| 812-14438 | IC-31608 | May 19, 2015 | Gabelli ETMF Trust, Gabelli Funds, LLC, and G. distributors, LLC (Order) |
| 812-14859 | IC-33040 | Mar. 7, 2018 | Gadsden ETF Trust and Gadsden, LLC (Order) |
| 812-14859 | IC-32999 | Jan. 30, 2018 | Gadsden ETF Trust and Gadsden, LLC (Notice) |
| 812-14097 | IC-31409 | Jan. 12, 2015 | Garrison Capital Inc., et al. (Order) |
| 812-14097 | IC-31373 | Dec. 15, 2014 | Garrison Capital Inc., et al. (Notice) |
| 812-14320 | IC-31270 | Sep. 30, 2014 | Garrison Capital Inc., et al. (Order) |
| 812-14320 | IC-31240 | Sep. 3, 2014 | Garrison Capital, Inc., et al. (Notice) |
| 812-13807 | IC-29374 | Jul. 30, 2010 | GE Asset Management Incorporated and GE Investment Distributors, Inc. (Notice and Temporary Order) |
| 812-13680 | IC-28899 | Sep. 9, 2009 | GE Asset Management Incorporated and GE Investment Distributors, Inc. (Order) |
| 812-13680 | IC-28845 | Aug. 11, 2009 | GE Asset Management Incorporated, et al. (Notice and Temporary Order) |
| 812-13994 | IC-29926 | Jan. 24, 2012 | GE Asset Management Incorporated, et al. (Notice) |
| 812-13994 | IC-29926 | Jan. 24, 2012 | GE Asset Management Incorporated, et al. (Notice) |
| 812-13807 | IC-29385 | Aug. 25, 2010 | GE Asset Management Incorporated, et al. (Order) |
| 812-13994 | IC-29952 | Feb. 22, 2012 | GE Asset Management Incorporated, et al.(Order) |
| 812-13994 | IC-29952 | Feb. 22, 2012 | GE Asset Management Incorporated, et al.(Order) |
| 812-13545 | IC-28808 | Jul. 2, 2009 | GE Funds, et al. (Notice) |
| 812-13545 | IC-28839 | Jul. 28, 2009 | GE Funds, et al. (Order) |
| 812-14048 | IC-30635 | Jul. 30, 2013 | GENCAP Strategies LLC, et al. (Notice) |
| 812-14048 | IC-30676 | Aug. 27, 2013 | GENCAP Strategies LLC, et al. (Order) |
| 812-14743 | IC-32532 | Mar. 13, 2017 | General Electric Company and GE Capital International Holdings Limited (Order) |
| 812-14743 | IC-32477 | Feb. 13, 2017 | General Electric Company and GE Capital International Holdings Limited (Notice) |
| 812-14550 | IC-31871 | Oct. 19, 2015 | General Electric Company and GE Capital International Funding Company (Order) |
| 812-14550 | IC-31833 | Sep. 21, 2015 | General Electric Company and GE Capital International Funding Company (Notice) |
| 812-13935 | IC-29867 | Nov. 21, 2011 | Genesis Capital, LLC and Northern Lights Fund Trust (Notice) |
| 812-13935 | IC-29888 | Dec. 19, 2011 | Genesis Capital, LLC and Northern Lights Fund Trust (Order) |
| 812-13878 | IC-30154 | Jul. 26, 2012 | Gladstone Capital Corporation, et al. (Order) |
| 812-13878 | IC-30125 | Jun. 29, 2012 | Gladstone Capital Corporation, et al. (Notice) |
| 812-14484 | IC-31851 | Sep. 28, 2015 | The Glenmede Portfolios and Glenmede Investment Management LP (Order) |
| 812-14484 | IC-31801 | Aug. 31, 2015 | The Glenmede Portfolios and Glenmede Investment Management LP (Notice) |
| 812-13517 | IC-28378 | Sep. 10, 2008 | Global X Funds and Global X Management Company LLC (Notice) |
| 812-13517 | IC-28433 | Oct. 3, 2008 | Global X Funds and Global X Management Company LLC (Order) |
| 812-14241 | IC-31084 | Jun. 17, 2014 | Global X Funds, Global X Management Company LLC, and Sei Investments Distribution Company (Notice) |
| 812-14241 | IC-31153 | Jul. 14, 2014 | Global X Funds, Global X Management Company LLC, and Sei Investments Distribution Company (Order) |
| 812-14549 | IC-32311 | Oct. 12, 2016 | Global X Funds, et al. (Order) |
| 812-14549 | IC-32262 | Sep. 14, 2016 | Global X Funds, et al. (Notice) |
| 812-14079 | IC-30426 | Mar. 14, 2013 | Global X Funds, et al. (Notice) |
| 812-14079 | IC-30454 | Apr. 9, 2013 | Global X Funds, et al. (Order) |
| 812-13830 | IC-29829 | Sep. 30, 2011 | Global X Funds, et al. (Notice) |
| 812-13830 | IC-29852 | Oct. 28, 2011 | Global X Funds, et al. (Order) |
| 812-14219 | IC-32409 | Jan. 4, 2017 | Goldman Sachs BDC, Inc., et al. (Order) |
| 812-14219 | IC-32382 | Dec. 7, 2016 | Goldman Sachs BDC, Inc., et al. (Notice) |
| 812-14361 | IC-31465 | Feb. 23, 2015 | Goldman Sachs ETF Trust, et al. (Order) |
| 812-14361 | IC-31428 | Jan. 26, 2015 | Goldman Sachs ETF Trust, et al. (Notice) |
| 812-14362 | IC-31427 | Jan. 26, 2015 | Goldman Sachs ETF Trust, et al. (Notice) |
| 812-14362 | IC-31466 | Feb. 23, 2015 | Goldman Sachs ETF Trust, et al. (Order) |
| 812-14764 | IC-33166 | Jul. 24, 2018 | Goldman Sachs Trust, et al. (Order) |
| 812-14764 | IC-33137 | Jun. 27, 2018 | Goldman Sachs Trust, et al. (Notice) |
| 812-14075 | IC-30471 | Apr. 19, 2013 | Goldman Sachs Trust, et al. (Notice) |
| 812-14075 | IC-30522 | May 15, 2013 | Goldman Sachs Trust, et al. (Order) |
| 812-13456 | IC-28347 | Jul. 31, 2008 | Goldman Sachs Trust, et al. (Notice) |
| 812-13456 | IC-28366 | Aug. 26, 2008 | Goldman Sachs Trust, et al. (Order) |
| 812-14078 | IC-30496 | Apr. 29, 2013 | Goldman Sachs Trust II, et al. (Notice) |
| 812-14078 | IC-30542 | May 29, 2013 | Goldman Sachs Trust II, et al. (Order) |
| 812-13796 | IC-29366 | Jul. 21, 2010 | Goldman, Sachs & Co., et al. (Notice and Temporary Order) |
| 812-13796 | IC-29382 | Aug. 18, 2010 | Goldman, Sachs & Co., et al. (Order) |
| 812-14702 | IC-32460 | Jan. 31, 2017 | Goldman, Sachs & Co. (Notice) |
| 812-14702 | IC-32514 | Feb. 28, 2017 | Goldman, Sachs & Co. (Order) |
| 812-13764 | IC-32509 | Feb. 27, 2017 | Golub Capital BDC, Inc., et al. (Order) |
| 812-13764 | IC-32461 | Jan. 31, 2017 | Golub Capital BDC, Inc., et al. (Notice) |
| 812-13794 | IC-29756 | Aug. 16, 2011 | Golub Capital BDC, Inc., et al. (Notice) |
| 812-13794 | IC-29786 | Sep. 13, 2011 | Golub Capital BDC, Inc., et al. (Order) |
| 812-14507 | IC-31897 | Nov. 6, 2015 | Good Hill ETF Trust (Notice) |
| 812-14507 | IC-31923 | Dec. 2, 2015 | Good Hill Partners LP, Good Hill ETF Trust, (Order) |
| 812-14505 | IC-32021 | Mar. 2, 2016 | Good Hill Partners LP and Good Hill ETF Trust (Order) |
| 812-14505 | IC-31986 | Feb. 5, 2016 | Good Hill Partners LP and Good Hill ETF Trust (Notice) |
| 812-14506 | IC-31904 | Nov. 17, 2015 | Good Hill Partners LP and Good Hill ETF Trust (Order) |
| 812-14506 | IC-31878 | Oct. 22, 2015 | Good Hill Partners LP and Good Hill ETF Trust (Notice) |
| 812-14507 | IC-31897 | Nov. 6, 2015 | Good Hill Partners LP and Good Hill ETF Trust (Notice) |
| 812-13986 | IC-30067 | May 22, 2012 | GPS Funds I, et al. (Order) |
| 812-13986 | IC-30067 | May 22, 2012 | GPS Funds I, et al. (Order) |
| 812-13986 | IC-30044 | Apr. 24, 2012 | GPS Funds I, et al. (Notice) |
| 812-13516-01 | IC-28900 | Sep. 14, 2009 | Grail Advisors LLC and Grail Advisors ETF Trust (Notice) |
| 812-13440 | IC-28571 | Dec. 23, 2008 | Grail Advisors, LLC and Grail Advisors' Alpha ETF Trust (Notice) |
| 812-13440 | IC-28604 | Jan. 16, 2009 | Grail Advisors, LLC and Grail Advisors ETF Trust (formerly known as Grail Advisors' Alpha ETF Trust) (Order) |
| 812-13516-01 | IC-28944 | Oct. 8, 2009 | Grail Advisors, LLC and Grail Advisors ETF Trust (Order) |
| 812-14252 | IC-31295 | Oct. 20, 2014 | Great-West Funds, Inc., Great-West Capital Management, LLC, and Gwfs Equities, Inc. (Order) |
| 812-14252 | IC-31262 | Sep. 24, 2014 | Great-West Funds, Inc., et al. (Notice) |
| 812-14373 | IC-31559 | Apr. 20, 2015 | Griffin Institutional Access Real Estate Fund et al. (Order) |
| 812-14373 | IC-31509 | Mar. 23, 2015 | Griffin Institutional Access Real Estate Fund and Griffin Capital Advisor, LLC (Notice) |
| 812-14110 | IC-30599 | Jul. 15, 2013 | Grosvenor Alternative Funds Master Trust, et al. (Notice) |
| 812-14110 | IC-30648 | Aug. 12, 2013 | Grosvenor Alternative Funds Master Trust, et al. (Order) |
| 812-14714 | IC-33003 | Feb. 7, 2018 | The Guardian Insurance & Annuity Company, Inc., et al. (Order) |
| 812-14714 | IC-32967 | Jan. 10, 2018 | The Guardian Insurance & Annuity Company, Inc., et al. (Notice) |
| 812-14449 | IC-31993 | Feb. 10, 2016 | The Guardian Insurance & Annuity Company, Inc., et al. (Order) |
| 812-14449 | IC-31958 | Jan. 15, 2016 | The Guardian Insurance & Annuity Company, Inc., et al. (Notice) |
| 812-14627 | IC-32468 | Feb. 6, 2017 | Guardian Variable Products Trust and Park Avenue Institutional Advisers LLC (Order) |
| 812-14627 | IC-32420 | Jan. 9, 2017 | Guardian Variable Products Trust and Park Avenue Institutional Advisers LLC (Notice) |
| 812-14821 | IC-32996 | Jan. 30, 2018 | Guggenheim Credit Income Fund, et al. (Order) |
| 812-14821 | IC-32960 | Jan. 3, 2018 | Guggenheim Credit Income Fund, et al. (Notice) |
| 812-14151-04 | IC-30780 | Nov. 12, 2013 | Guggenheim Equal Weight Enhanced Equity Income Fund and Guggenheim Funds Investment Advisers, LLC (Notice) |
| 812-14151-04 | IC-30822 | Dec. 9, 2013 | Guggenheim Equal Weight Enhanced Equity Income Fund and Guggenheim Funds Investment Advisers, LLC (Order) |
| 812-13991 | IC-30560 | Jun. 14, 2013 | Guggenheim Funds Investment Advisors, LLC, et al. (Notice) |
| 812-13991 | IC-30598 | Jul. 10, 2013 | Guggenheim Funds Investment Advisors, LLC, et al. (Order) |
| 812-14525 | IC-32170 | Jul. 5, 2016 | Guggenheim Funds Trust, et al. (Order) |
| 812-14525 | IC-32140 | Jun. 6, 2016 | Guggenheim Funds Trust, et al. (Notice) |
| 812-14137 | IC-30735 | Sep. 26, 2013 | Guinness Atkinson Asset Management, Inc., et al. (Notice) |
| 812-14137 | IC-30751 | Oct. 22, 2013 | Guinness Atkinson Asset Management, Inc., et al. (Order) |
H | |||
| File No. | Release No. | Date | Investment Company |
| 812-14306 | IC-31224 | Aug. 27, 2014 | H&Q Healthcare Investors, H&Q Life Sciences Investors, Tekla Healthcare Opportunities Fund, and Tekla Capital Management, LLC : (Order) |
| 812-14306 | IC-31197 | Aug. 5, 2014 | H&Q Healthcare Investors, et al. (Notice) |
| 812-13392 | IC-28426 | Sep. 30, 2008 | H&Q Healthcare Investors, et al. (Notice) |
| 812-13392 | IC-28472 | Oct. 28, 2008 | H&Q Healthcare Investors, et al. (Order) |
| 812-14784 | IC-33000 | Feb. 5, 2018 | Harbor Funds and Harbor Capital Advisors, Inc. (Order) |
| 812-14784 | IC-32965 | Jan. 9, 2018 | Harbor Funds and Harbor Capital Advisors, Inc. (Notice) |
| 812-14669 | IC-32285 | Sep. 26, 2016 | Harris & Harris Group, Inc. (Order) |
| 812-14515 | IC-31891 | Nov. 4, 2015 | Harris & Harris Group, Inc. (Order) |
| 812-14317 | IC-31271 | Sep. 30, 2014 | Harris & Harris Group, Inc. (Certification) |
| 812-14164 | IC-30604 | Jul. 22, 2013 | Harris & Harris Group, Inc. (Certification) |
| 812-14029 | IC-30104 | Jun. 15, 2012 | Harris & Harris Group, Inc. (Certification) |
| 812-13896 | IC-29736 | Jul. 22, 2011 | Harris & Harris Group, Inc. (Certification) |
| 812-13768 | IC-29289 | May 28, 2010 | Harris & Harris Group, Inc. (Certification) |
| 812-13655 | IC-28761 | Jun. 9, 2009 | Harris & Harris Group, Inc. (Certification) |
| 812-13374 | IC-27870 | Jun. 20, 2007 | Harris & Harris Group, Inc. (Certification) |
| 812-13313 | IC-29976 | Mar. 7, 2012 | Harris & Harris Group, Inc. (Notice) |
| 812-13313 | IC-29976 | Mar. 7, 2012 | Harris & Harris Group, Inc. (Notice) |
| 812-13520 | IC-28294 | May 30, 2008 | Harris & Harris Group, Inc. (Order) |
| 812-13313 | IC-30027 | Apr. 3, 2012 | Harris & Harris Group, Inc. (Order) |
| 812-14609 | IC-32347 | Nov. 1, 2016 | Harris Associates Investment Trust, et al. (Order) |
| 812-14609 | IC-32306 | Oct. 5, 2016 | Harris Associates Investment Trust, et al. (Notice) |
| 812-13828-01 | IC-32413 | Jan. 4, 2017 | Hartford Funds Exchange-Traded Trust, et al. (Notice) |
| 812-13828-01 | IC-32454 | Jan. 27, 2017 | Hartford Funds Exchange-Traded Trust, et al. (Order) |
| 812-14592 | IC-32350 | Nov. 1, 2016 | Hartford Funds Exchange-Traded Trust, et. al. (Order) |
| 812-14592 | IC-32307 | Oct. 6, 2016 | Hartford Funds Exchange-Traded Trust, et. al. (Notice) |
| 812-14439 | IC-31607 | May 19, 2015 | Hartford Funds NextShares Trust, et al. (Order) |
| 812-14439 | IC-31576 | Apr. 23, 2015 | Hartford Funds NextShares Trust, et al. (Notice) |
| 812-14447 | IC-32570 | Mar. 23, 2017 | Hartford Life Insurance Company, et al. (Order) |
| 812-14447 | IC-32386 | Dec. 8, 2016 | Hartford Life Insurance Company, et al (Notice)
See also: requests and additional information |
| 812-14446 | IC-32569 | Mar. 23, 2017 | Hartford Life Insurance Company, et al. (Order) |
| 812-14446 | IC-32385 | Dec. 8, 2016 | Hartford Life Insurance Company, et al (Notice)
See also: requests and additional information |
| 812-13267 | IC-27933 | Aug. 22, 2007 | Hartford Life Insurance Company, et al. (Notice) |
| 812-13267 | IC-27972 | Sep. 18, 2007 | Hartford Life Insurance Company, et al. (Order) |
| 812-14652 | IC-32364 | Nov. 22, 2016 | Hartford Mutual Funds, Inc., et al. (Order) |
| 812-14652 | IC-32338 | Oct. 26, 2016 | Hartford Mutual Funds Inc., et al. (Notice) |
| 812-14564 | IC-32971 | Jan. 17, 2018 | The Hartford Mutual Funds, et al. (Order) |
| 812-14564 | IC-32944 | Dec. 20, 2017 | The Hartford Mutual Funds, Inc., et al. (Notice) |
| 812-14024 | IC-30164 | Aug. 8, 2012 | The Hartford Mutual Funds, Inc., et al. (Notice) |
| 812-14024 | IC-30194 | Sep. 5, 2012 | The Hartford Mutual Funds, Inc., et al. (Order) |
| 812-14365 | IC-31930 | Dec. 10, 2015 | Harvest Capital Credit Corporation, et al. (Order) |
| 812-14365 | IC-31860 | Oct. 5, 2015 | Harvest Capital Credit Corporation, et al. (Notice) |
| 812-14282 | IC-30969 | Feb. 26, 2014 | Hatteras Alternative Mutual Funds Trust, et al. (Notice) |
| 812-14282 | IC-30991 | Mar. 25, 2014 | Hatteras Alternative Mutual Funds Trust, et al. (Order) |
| 812-14040 | IC-30338 | Jan. 2, 2013 | Hatteras Variable Trust, et al. (Order) |
| 812-14040 | IC-30296 | Dec. 6, 2012 | Hatteras Variable Trust, et al. (Notice) |
| 812-13358 | IC-27916 | Jul. 27, 2007 | HealthShares, Inc. (Notice) |
| 812-13358 | IC-27930 | Aug. 20, 2007 | HealthShares, Inc. et al. (Order) |
| 812-13288 | IC-27844 | May 29, 2007 | HealthShares™, Inc. and XShares Advisors LLC (Notice) |
| 812-13288 | IC-27871 | Jun. 21, 2007 | HealthShares™, Inc. and XShares Advisors LLC (Order) |
| 812-13950 | IC-29970 | Feb. 28, 2012 | Henderson Global Funds et al. (Order) |
| 812-13950 | IC-29970 | Feb. 28, 2012 | Henderson Global Funds et al. (Order) |
| 812-13950 | IC-29942 | Feb. 1, 2012 | Henderson Global Funds, et al. (Notice) |
| 812-13950 | IC-29942 | Feb. 1, 2012 | Henderson Global Funds, et al. (Notice) |
| 812-14001 | IC-30092 | May 31, 2012 | Hennion & Walsh, Inc. and Smart Trust (Notice) |
| 812-14001 | IC-30122 | Jun. 26, 2012 | Hennion & Walsh, Inc. and Smart Trust (Order) |
| 812-13716 | IC-29287 | May 26, 2010 | Hercules Technology Growth Capital, Inc. (Notice) |
| 812-13388 | IC-27968 | Sep. 12, 2007 | Hercules Technology Growth Capital, Inc. (Notice) |
| 812-13312 | IC-27815 | May 2, 2007 | Hercules Technology Growth Capital, Inc. (Notice) |
| 812-13201 | IC-27668 | Jan. 19, 2007 | Hercules Technology Growth Capital, Inc. (Notice) |
| 812-13716 | IC-29303 | Jun. 22, 2010 | Hercules Technology Growth Capital, Inc. (Order) |
| 812-13388 | IC-28011 | Oct. 10, 2007 | Hercules Technology Growth Capital, Inc. (Order) |
| 812-13312 | IC-27838 | May 23, 2007 | Hercules Technology Growth Capital, Inc. (Order) |
| 812-13201 | IC-27699 | Feb. 15, 2007 | Hercules Technology Growth Capital, Inc. (Order) |
| 812-13238 | IC-27776 | Apr. 5, 2007 | Hercules Technology Growth Capital, Inc. et al. (Order) |
| 812-13238 | IC-27748 | Mar. 7, 2007 | Hercules Technology Growth Capital, Inc., et al. (Notice) |
| 812-14006 | IC-30259 | Nov. 9, 2012 | Highland Associates, Inc. and Financial Investors Trust (Notice) |
| 812-14006 | IC-30291 | Dec. 5, 2012 | Highland Associates, Inc. and Financial Investors Trust (Order) |
| 812-13221 | IC-28888 | Aug. 27, 2009 | Highland Capital Management L.P., et al. (Notice) |
| 812-13221 | IC-28908 | Sep. 22, 2009 | Highland Capital Management, L.P. (Order) |
| 812-13770 | IC-29445 | Sep. 27, 2010 | Highland Capital Management, L.P. and Highland Funds I (Notice) |
| 812-13770 | IC-29488 | Oct. 26, 2010 | Highland Capital Management, L.P. and Highland Funds I (Order) |
| 812-13478 | IC-29918 | Jan. 17, 2012 | Highland Capital Management, L.P. et al. (Order) |
| 812-13478 | IC-29918 | Jan. 17, 2012 | Highland Capital Management, L.P. et al. (Order) |
| 812-13890 | IC-29790 | Sep. 15, 2011 | Highland Capital Management, L.P., et al. (Notice) |
| 812-13478 | IC-29890 | Dec. 19, 2011 | Highland Capital Management, L.P., et al. (Notice) |
| 812-13890 | IC-29832 | Oct. 12, 2011 | Highland Capital Management, L.P., et al. (Order) |
| 812-14443 | IC-31646 | May 26, 2015 | Highland Funds I, et al. (Order) |
| 812-14443 | IC-31579 | Apr. 27, 2015 | Highland Funds I, et al. (Notice) |
| 812-13736 | IC-29675 | May 24, 2011 | HighMark Capital Management Inc., et al. (Order) |
| 812-13736 | IC-29660 | Apr. 26, 2011 | HighMark Capital Management, Inc., et al. (Notice) |
| 812-13143 | IC-29723 | Jul. 12, 2011 | HighMark Funds and HighMark Capital Management, Inc. (Notice) |
| 812-13143 | IC-29750 | Aug. 8, 2011 | HighMark Funds and HighMark Capital Management, Inc. (Order) |
| 812-13843 | IC-29694 | Jun. 16, 2011 | Highmark Funds, et al. (Notice) |
| 812-13843 | IC-29721 | Jul. 12, 2011 | HighMark Funds, et al. (Order) |
| 812-13255 | IC-27804 | Apr. 26, 2007 | Hill Physicians Medical Group, Inc. (Notice) |
| 812-13255 | IC-27824 | May 22, 2007 | Hill Physicians Medical Group, Inc. (Order) |
| 812-13859-01 | IC-30102 | Jun. 11, 2012 | Hirtle Callaghan & Co., LLC and HC Capital Trust (Notice) |
| 812-13859-01 | IC-30132 | Jul. 10, 2012 | Hirtle Callaghan & Co., LLC and HC Capital Trust (Order) |
| 813-355 | IC-28473 | Oct. 28, 2008 | HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Order) |
| 813-355 | IC-28428 | Sep. 30, 2008 | HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Notice) |
| 812-14016 | IC-30984 | Mar. 18, 2014 | HMS Income Fund, Inc., et al. (Notice) |
| 812-14016 | IC-31016 | Apr. 15, 2014 | HMS Income Fund, Inc., et al. (Order) |
| 812-14664 | IC-32636 | May 16, 2017 | Homestead Funds, Inc. and RE Advisers Corporation (Order) |
| 812-14664 | IC-32602 | Apr. 19, 2017 | Homestead Funds, Inc. and RE Advisers Corporation (Notice) |
| 812-14336 | IC-31744 | Aug. 7, 2015 | Horace Mann Life Insurance Company, et al.(Order) |
| 812-14336 | IC-31714 | Jul. 13, 2015 | Horace Mann Life Insurance Company, et al (Notice) |
| 812-14738 | IC-32923 | Nov. 27, 2017 | Horizon Technology Finance Corporation, et al. (Order) |
| 812-14738 | IC-32888 | Oct. 30, 2017 | Horizon Technology Finance Corporation, et al. (Notice) |
| 812-13876 | IC-29777 | Aug. 31, 2011 | Horizon Technology Finance Corporation, et al. (Notice) |
| 812-13876 | IC-29821 | Sep. 27, 2011 | Horizon Technology Finance Corporation, et al. (Order) |
| 812-14179 | IC-30803 | Nov. 21, 2013 | Horizons ETFs Management (USA) LLC and Horizons ETF Trust (Notice) |
| 812-14179 | IC-30833 | Dec. 17, 2013 | Horizons ETFs Management (USA) LLC and Horizons ETF Trust (Order) |
| 812-14178 | IC-30680 | Aug. 27, 2013 | Horizons ETFs Management (USA) LLC and Horizons ETF Trust (Notice) |
| 812-14178 | IC-30695 | Sep. 24, 2013 | Horizons ETFs Management (USA) LLC and Horizons ETF Trust (Order) |
| 812-13186 | IC-27805 | Apr. 26, 2007 | HSBC Securities (USA) Inc. (Notice) |
| 812-13186 | IC-27822 | May 22, 2007 | HSBC Securities (USA) Inc. (Order) |
| 813-00387 | IC-32834 | Sep. 26, 2017 | Hudson Advisors L.P., et al. (Order) |
| 813-00387 | IC-32804 | Aug. 31, 2017 | Hudson Advisors L.P., et al. (Notice) |
| 812-13785 | IC-30061 | May 8, 2012 | Huntington Asset Advisors, Inc., et al. (Order) |
| 812-13785 | IC-30032 | Apr. 10, 2012 | Huntington Asset Advisors, Inc., et al. (Notice) |
I | |||
| File No. | Release No. | Date | Investment Company |
| 812-14846 | IC-33160 | Jul. 17, 2018 | Impact Shares, et al. (Order) |
| 812-14846 | IC-33134 | Jun. 21, 2018 | Impact Shares Trust I, et al. (Notice) |
| 812-13921 | IC-29924 | Jan. 24, 2012 | Incapital LLC and Incapital Unit Trust (Notice) |
| 812-13921 | IC-29924 | Jan. 24, 2012 | Incapital LLC and Incapital Unit Trust (Notice) |
| 812-13921 | IC-29949 | Feb. 21, 2012 | Incapital LLC and Incapital Unit Trust (Order) |
| 812-13921 | IC-29949 | Feb. 21, 2012 | Incapital LLC and Incapital Unit Trust (Order) |
| 812-13922 | IC-29828 | Sep. 30, 2011 | Incapital LLC, et al. (Notice) |
| 812-13922 | IC-29850 | Oct. 26, 2011 | Incapital LLC, et al. (Order) |
| 812-13956 | IC-30198 | Sep. 10, 2012 | IndexIQ Advisors LLC, et al. (Order) |
| 812-13956 | IC-30166 | Aug. 13, 2012 | IndexIQ Advisors LLC, et al. (Notice) |
| 812-13957 | IC-30130 | Jul. 9, 2012 | IndexIQ Advisors LLC, et al. (Notice) |
| 812-13957 | IC-30161 | Aug. 3, 2012 | IndexIQ Advisors LLC, et al. (Order) |
| 812-14889 | IC-33200 | Aug. 14, 2018 | IndexIQ ETF Trust, et al. (Order) |
| 812-14889 | IC-33163 | Jul. 19, 2018 | IndexIQ ETF Trust, et al. (Notice) |
| 812-14153 | IC-30844 | Dec. 23, 2013 | IndexIQ ETF Trust, et al. (Notice) |
| 812-14153 | IC-30889 | Jan. 22, 2014 | IndexIQ ETF Trust, et al. (Order) |
| 812-14053 | IC-30843 | Dec. 23, 2013 | IndexIQ ETF Trust, et al. (Notice) |
| 812-14053 | IC-30888 | Jan. 22, 2014 | IndexIQ ETF Trust, et al. (Order) |
| 812-13441 | IC-28638 | Feb. 27, 2009 | IndexIQ ETF Trust, et al. (Notice) |
| 812-13441 | IC-28653 | Mar. 20, 2009 | IndexIQ ETF Trust, et al. (Order) |
| 812-13909 | IC-29754 | Aug. 16, 2011 | ING Asia Pacific High Dividend Equity Income Fund et al. (Order) |
| 812-13909 | IC-29735 | Jul. 21, 2011 | ING Asia Pacific High Dividend Equity Income Fund, et al. (Notice) |
| 812-13074 | IC-28329 | Jul. 8, 2008 | ING Clarion Real Estate Income Fund, et al. (Notice) |
| 812-13074 | IC-28352 | Aug. 5, 2008 | ING Clarion Real Estate Income Fund, et al. (Order) |
| 812-14111 | IC-30566 | Jun. 24, 2013 | ING Investments, LLC, et al. (Notice) |
| 812-14111 | IC-30603 | Jul. 22, 2013 | ING Investments, LLC, et al. (Order) |
| 812-13538 | IC-28693 | Apr. 14, 2009 | ING Investments, LLC (Order) |
| 812-14013 | IC-30295 | Dec. 6, 2012 | ING Investments, LLC, et al. (Notice) |
| 812-14013 | IC-30337 | Jan. 2, 2013 | ING Investments, LLC, et al. (Order) |
| 812-13538 | IC-28650 | Mar. 17, 2009 | ING Investments, LLC, et al. (Corrected Notice) |
| 812-14033 | IC-30431 | Mar. 21, 2013 | ING Life Insurance and Annuity Company, et al. (Notice) |
| 812-14033 | IC-30461 | Apr. 12, 2013 | ING Life Insurance and Annuity Company, et al. (Order) |
| 812-13361 | IC-27869 | Jun. 20, 2007 | ING Life Insurance and Annuity Company, et al. (Notice) |
| 812-13361 | IC-27885 | Jul. 16, 2007 | ING Life Insurance and Annuity Company, et al. (Order) |
| 812-13600 | IC-28646 | Mar. 13, 2009 | ING USA Annuity and Life Insurance Company, et al. (Notice) |
| 812-13466 | IC-28256 | Apr. 28, 2008 | ING USA Annuity and Life Insurance Company, et al. (Notice) |
| 812-13600 | IC-28687 | Apr. 3, 2009 | ING USA Annuity and Life Insurance Company, et al. (Order) |
| 812-13466 | IC-28285 | May 23, 2008 | ING USA Annuity and Life Insurance Company, et al. (Order) |
| 812-14781 | IC-32854 | Oct. 6, 2017 | Innovator Capital Management, LLC, et al. (Order) |
| 812-14781 | IC-32812 | Sep. 11, 2017 | Innovator ETFs Trust, et al. (Notice) |
| 812-14782 | IC-32856 | Oct. 6, 2017 | Innovator ETFs Trust, et al. (Order) |
| 812-14782 | IC-32811 | Sep. 11, 2017 | Innovator ETFs Trust, et al. (Notice) |
| 812-14780 | IC-32855 | Oct. 6, 2017 | Innovator ETFs Trust and Innovator Capital Management, LLC (Order) |
| 812-14780 | IC-32813 | Sep. 11, 2017 | Innovator ETFS Trust and Innovator Capital Management, LLC (Notice) |
| 812-14532 | IC-32026 | Mar. 9, 2016 | Innovator Management LLC and Academy Funds Trust (Order) |
| 812-14308 | IC-31248 | Sep. 9, 2014 | Innovator Management LLC Academy Funds Trust (Order) |
| 812-14308 | IC-31209 | Aug. 13, 2014 | Innovator Management LLC and Academy Funds Trust (Notice) |
| 812-14532 | IC-31996 | Feb. 12, 2016 | Innovator Management LLC, et al. (Notice) |
| 812-13763 | IC-29399 | Aug. 25, 2010 | The Integrity Funds, et al. (Notice) |
| 812-13763 | IC-29418 | Sep. 21, 2010 | The Integrity Funds, et al. (Order) |
| 812-13690 | IC-29171 | Mar. 10, 2010 | Integrity Life Insurance Company, et al (Notice) |
| 812-13690 | IC-29204 | Apr. 7, 2010 | Integrity Life Insurance Company, et al (Order) |
| 812-13321 | IC-27677 | Jan. 24, 2007 | Integrity Life Insurance Company, et al. (Notice) |
| 812-13321 | IC-27738 | Feb. 23, 2007 | Integrity Life Insurance Company, et al. (Order) |
| 813-180-09 | IC-30581 | Jun. 26, 2013 | Invesco Advisers, Inc., et al. (Notice) |
| 813-180-09 | IC-30609 | Jul. 23, 2013 | Invesco Advisers, Inc., et al. (Order) |
| 812-13927 | IC-30069 | May 22, 2012 | Invesco Total Property Market Income Fund, et al. (Order) |
| 812-13927 | IC-30055 | Apr. 26, 2012 | Invesco Total Property Market Income Fund, et al. (Notice) |
| 812-13491 | IC-28411 | Sep. 29, 2008 | Invesco PowerShares Capital Management LLC, et al. (Notice) |
| 812-13491 | IC-28467 | Oct. 27, 2008 | Invesco PowerShares Capital Management LLC, et al. (Order) |
| 812-14635 | IC-32224 | Aug. 23, 2016 | Investment Managers Series Trust, et al. (Order) |
| 812-14635 | IC-32195 | Jul. 28, 2016 | Investment Managers Series Trust, et al. (Notice) |
| 812-13891 | IC-29787 | Sep. 13, 2011 | Investment Managers Series Trust, et al. (Notice) |
| 812-13891 | IC-29833 | Oct. 12, 2011 | Investment Managers Series Trust, et al. (Order) |
| 812-14478 | IC-31989 | Feb. 8, 2016 | Investment Managers Series Trust, et al. (Order) |
| 812-14478 | IC-31954 | Jan. 11, 2016 | Investment Managers Series Trust, et al. (Notice) |
| 812-14710 | IC-32599 | Apr. 17, 2017 | Investment Managers Series Trust II and Vivaldi Asset Management, LLC (Order) |
| 812-14710 | IC-32536 | Mar. 20, 2017 | Investment Managers Series Trust II and Vivaldi Asset Management, LLC (Notice) |
| 812-13728 | IC-29093 | Dec. 16, 2009 | Investools Inc., et al. (Notice and Temporary Order) |
| 812-13728 | IC-29110 | Jan. 12, 2010 | Investools Inc., et al. (Order) |
| 812-14678 | IC-32235 | Aug. 24, 2016 | iShares Trust, et al. (Notice) |
| 812-14678 | IC-32268 | Sep. 20, 2016 | iShares Trust, et al. (Order) |
| 812-13601 | IC-29543 | Dec. 27, 2010 | iShares Trust et al. (Notice) |
| 812-13570 | IC-29129 | Feb. 16, 2010 | iShares Trust et al. (Notice) |
| 812-13601 | IC-29571 | Jan. 24, 2011 | iShares Trust et al. (Order) |
| 812-13570 | IC-29172 | Mar. 10, 2010 | iShares Trust et al. (Order) |
| 812-14216 | IC-31068 | Jun. 2, 2014 | Ivy Funds, et al. (Notice) |
| 812-14216 | IC-31138 | Jun. 30, 2014 | Ivy Funds, et al. (Order) |
| 812-14210 | IC-31013 | Apr. 10, 2014 | Ivy Funds, et al. (Notice) |
| 812-14210 | IC-31040 | May 6, 2014 | Ivy Funds, et al. (Order) |
| 812-14114 | IC-30427 | Mar. 15, 2013 | Ivy Funds Variable Insurance Portfolios, et al. (Notice) |
| 812-14114 | IC-30458 | Apr. 10, 2013 | Ivy Funds Variable Insurance Portfolios, et al. (Order) |
| 812-14516 | IC-31757 | Aug. 13, 2015 | Ivy NextShares, et al. (Notice) |
| 812-14516 | IC-31816 | Sep. 9, 2015 | Ivy NextShares, et al. (Order) |
J | |||
| File No. | Release No. | Date | Investment Company |
| 812-13761 | IC-31956 | Jan. 14, 2016 | J.P. Morgan Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13761 | IC-31990 | Feb. 9, 2016 | J.P. Morgan Exchange-Traded Fund Trust, et al. (Order) |
| 812-13760 | IC-30898 | Jan. 30, 2014 | J.P. Morgan Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13760 | IC-30927 | Feb. 24, 2014 | J.P. Morgan Exchange-Traded Fund Trust, et al. (Order) |
| 812-14094 | IC-30347 | Jan. 9, 2013 | J.P. Morgan Securities LLC, et al. (Notice and Temporary Order) |
| 812-14094 | IC-30380 | Feb. 6, 2013 | J.P. Morgan Securities LLC, et al. (Order) |
| 812-13919 | IC-29719 | Jul. 11, 2011 | J.P. Morgan Securities LLC, et al. (Notice) |
| 812-13914 | IC-29711 | Jun. 29, 2011 | J.P. Morgan Securities LLC, et al. (Notice) |
| 812-13919 | IC-29749 | Aug. 8, 2011 | J.P. Morgan Securities LLC, et al. (Order) |
| 812-13914 | IC-29737 | Jul. 26, 2011 | J.P. Morgan Securities LLC, et al. (Order) |
| 812-13710 | IC-29265 | May 10, 2010 | Jackson National Life Insurance Company of New York, et al. (Notice) |
| 812-13710 | IC-29293 | Jun. 3, 2010 | Jackson National Life Insurance Company of New York, et al. (Order) |
| 812-13841 | IC-29621 | Mar. 31, 2011 | Jackson National Life Insurance Company, et al. (Notice) |
| 812-13765 | IC-29442 | Sep. 27, 2010 | Jackson National Life Insurance Company, et al. (Notice) |
| 812-13703 | IC-29205 | Apr. 7, 2010 | Jackson National Life Insurance Company, et al. (Notice) |
| 812-13584 | IC-28890 | Aug. 27, 2009 | Jackson National Life Insurance Company, et al. (Notice) |
| 812-13841 | IC-29658 | Apr. 25, 2011 | Jackson National Life Insurance Company, et al. (Order) |
| 812-13765 | IC-29484 | Oct. 25, 2010 | Jackson National Life Insurance Company, et al. (Order) |
| 812-13703 | IC-29262 | Apr. 30, 2010 | Jackson National Life Insurance Company, et al. (Order) |
| 812-13584 | IC-28907 | Sep. 22, 2009 | Jackson National Life Insurance Company, et al. (Order) |
| 812-13320 | IC-27660 | Jan. 16, 2007 | Jackson National Life Insurance Company, et al. (Order) |
| 812-13320 | IC-27603 | Dec. 19, 2006 | Jackson National Life Insurance Company, et al. (Notice) |
| 812-14401 | IC-31544 | Apr. 1, 2015 | Janus ETF Trust, et al. (Notice) |
| 812-14401 | IC-31580 | Apr. 28, 2015 | Janus ETF Trust, et al. (Order) |
| 812-13819 | IC-31540 | Mar. 30, 2015 | Janus ETF Trust, et al. (Order) |
| 812-13819 | IC-31492 | Mar. 3, 2015 | Janus ETF Trust, et al. (Notice) |
| 812-14412 | IC-31808 | Sep. 9, 2015 | Janus Investment Fund, et al. (Order) |
| 812-14412 | IC-31753 | Aug. 13, 2015 | Janus Investment Fund, et al. (Notice) |
| 812-14294 | IC-31145 | Jul. 2, 2014 | Janus Investment Fund, et al. (Notice) |
| 812-14294 | IC-31192A | Jul. 29, 2014 | Janus Investment Fund, et al. (Order) |
| 812-13425 | IC-28350 | Jul. 31, 2008 | Javelin Exchange-Traded Trust, et al. (Notice) |
| 812-13425 | IC-28367 | Aug. 26, 2008 | Javelin Exchange-Traded Trust, et al. (Order) |
| 813-228 | IC-30037 | Apr. 18, 2012 | Jefferies Employees Special Opportunities Partners, LLC, et al. (Order) |
| 813-228 | IC-30007 | Mar. 23, 2012 | Jefferies Employees Special Opportunities Partners, LLC, et al. (Notice) |
| 812-13452 | IC-28191 | Mar. 10, 2008 | Jefferson National Life Insurance Company, et al. (Notice) |
| 812-13342 | IC-27779 | Apr. 6, 2007 | Jefferson National Life Insurance Company, et al. (Notice) |
| 812–13452 | IC-28234 | Apr. 3, 2008 | Jefferson National Life Insurance Company, et al. (Order) |
| 812-13342 | IC-27813 | Apr. 30, 2007 | Jefferson National Life Insurance Company, et al. (Order) |
| 812-14624 | IC-32526 | Mar. 7, 2017 | Jeffrey LLC (Notice) |
| 812-14624 | IC-32590 | Apr. 4, 2017 | Jeffrey LLC (Order) |
| 812-13419 | IC-28010 | Oct. 2, 2007 | JNF Advisors, Inc. and Northern Lights Variable Trust (Notice) |
| 812-13419 | IC-28038 | Oct. 29, 2007 | JNF Advisors, Inc. and Northern Lights Variable Trust (Order) |
| 812-14270 | IC-31297 | Oct. 20, 2014 | JNL Series Trust, JNL Investors Series Trust, Curian Series Trust, Curian Variable Series Trust, JNL Variable Fund LLC, JNL Strategic Income Fund LLC, Jackson National Asset Management, LLC and Curian Capital, LLC (Order) |
| 812-14270 | IC-31261 | Sep. 24, 2014 | JNL Series Trust, et al. (Notice) |
| 812-13683 | IC-31546 | Apr. 2, 2015 | John Hancock Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13683 | IC-31581 | Apr. 28, 2015 | John Hancock Exchange-Traded Fund Trust, et al. (Order) |
| 812-13734 | IC-30469 | Apr. 18, 2013 | John Hancock Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13734 | IC-30518 | May 14, 2013 | John Hancock Exchange-Traded Fund Trust, et al. (Order) |
| 812-13357-01 | IC-28372 | Aug. 29, 2008 | John Hancock Income Securities 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) |
| 812-13414 | IC-28065 | Nov. 26, 2007 | John Hancock Life Insurance Company (U.S.A.), et al. (Notice) |
| 812-13414 | IC-28081 | Dec. 21, 2007 | John Hancock Life Insurance Company (U.S.A.), et al. (Order) |
| 812-13318 | IC-27781 | Apr. 16, 2007 | John Hancock Life Insurance Company (U.S.A.), John Hancock Life Insurance Company (U.S.A.) Separate Account H, John Hancock Life Insurance Company of New York, and John Hancock Life Insurance Company of New York Separate Account A (Order) |
| 812-13318 | IC-27752 | Mar. 19, 2007 | John Hancock Life Insurance Company, et al. (Notice) |
| 812-13341 | IC-27873 | Jun. 26, 2007 | John Hancock Trust, el al. (Order) |
| 812-13341 | IC-27848 | May 30, 2007 | John Hancock Trust, et al. (Notice) |
| 812-13621 | IC-29865 | Nov. 18, 2011 | John Hancock Variable Insurance Trust, et al. (Notice) |
| 812-13621 | IC-29885 | Dec. 14, 2011 | John Hancock Variable Insurance Trust, et al. (Order) |
| 812-14466 | IC-31674 | Jun. 16, 2015 | J.P. Morgan Chase & Co., et al. (Order) |
| 812-14466 | IC-31613 | May 20, 2015 | J.P. Morgan Chase & Co., et al. (Notice) |
| 813-370 | IC-30465 | Apr. 16, 2013 | JPMorgan Chase & Co., et al. (Notice) |
| 813-370 | IC-30520 | May 14, 2013 | JPMorgan Chase & Co., et al. (Order) |
| 812-13418 | IC-28183 | Mar. 4, 2008 | JPMorgan Trust I, et al. (Notice) |
| 812-13418 | IC-28230 | Apr. 1, 2008 | JPMorgan Trust I, et al. (Order) |
K | |||
| File No. | Release No. | Date | Investment Company |
| 812-14363 | IC-31645 | May 21, 2015 | KCAP Financial, Inc. (Notice) |
| 812-14363 | IC-31676 | Jun. 16, 2015 | KCAP Financial, Inc. (Order) |
| 813-367 | IC-28047 | Nov. 15, 2007 | Kiewit Investment Fund LLLP (Notice) |
| 813-367 | IC-28076 | Dec. 11, 2007 | Kiewit Investment Fund LLLP (Order) |
| 812-13745 | IC-29270 | May 17, 2010 | Kinetics Mutual Funds, Inc., et al. (Notice) |
| 812-13745 | IC-29297 | Jun. 14, 2010 | Kinetics Mutual Funds, Inc., et al. (Order) |
| 812-14124 | IC-30905 | Feb. 4, 2014 | KKR Series Trust and Prisma Capital Partners LP (Notice) |
| 812-14124 | IC-30973 | Mar. 4, 2014 | KKR Series Trust and Prisma Capital Partners LP (Order) |
| 812-13882 | IC-29975 | Mar. 5, 2012 | Kohlberg Capital Corporation (Notice) |
| 812-13882 | IC-29975 | Mar. 5, 2012 | Kohlberg Capital Corporation (Notice) |
| 812-13623 | IC-29376 | Aug. 3, 2010 | Kohlberg Capital Corporation (Notice) |
| 812-13368 | IC-28228 | Mar. 28, 2008 | Kohlberg Capital Corporation (Notice) |
| 812-13367 | IC-28168 | Feb. 25, 2008 | Kohlberg Capital Corporation (Notice) |
| 812-13882 | IC-30011 | Mar. 27, 2012 | Kohlberg Capital Corporation (Order) |
| 812-13623 | IC-29407 | Aug. 31, 2010 | Kohlberg Capital Corporation (Order) |
| 812-13368 | IC-28239 | Apr. 23, 2008 | Kohlberg Capital Corporation (Order) |
| 812-13367 | IC-28199 | Mar. 24, 2008 | Kohlberg Capital Corporation (Order) |
| 813-382 | IC-31070 | Jun. 3, 2014 | Kohlberg Kravis Roberts & Co. L.P., et al. (Notice) |
| 813-382 | IC-31141 | Jul. 1, 2014 | Kohlberg Kravis Roberts & Co. L.P. et al. (Order) |
| 812-13752 | IC-29332 | Jun. 25, 2010 | Korea Finance Corporation (Notice) |
| 812-13752 | IC-29343 | Jul. 20, 2010 | Korea Finance Corporation (Order) |
| 812-14143 | IC-30693 | Sep. 23, 2013 | The KP Funds and Callan Associates Inc. (Notice) |
| 812-14143 | IC-30748 | Oct. 21, 2013 | The KP Funds and Callan Associates Inc. (Order) |
| 812-14142 | IC-30545 | Jun. 3, 2013 | KP Funds, et al. (Notice) |
| 812-14142 | IC-30586 | Jul. 1, 2013 | KP Funds, et al. (Order) |
| 812-14675 | IC-32412 | Jan. 4, 2017 | Krane Funds Advisors, LLC, et al. (Notice) |
| 812-14675 | IC-32455 | Jan. 27, 2017 | Krane Funds Advisors, LLC, , et al. (Order) |
| 812-13989 | IC-30425 | Mar. 14, 2013 | Krane Funds Advisors LLC., et al. (Notice) |
| 812-13989 | IC-30452 | Apr. 8, 2013 | Krane Fund Advisors LLC, et al. (Order) |
| 812-14284 | IC-31144 | Jul. 2, 2014 | KraneShares Trust and Krane Funds Advisors, LLC (Notice) |
| 812-14284 | IC-31190 | Jul. 29, 2014 | KraneShares Trust and Krane Funds Advisors, LLC (Order) |
L | |||
| File No. | Release No. | Date | Investment Company |
| 812-14318 | IC-31343 | Nov. 20, 2014 | Lattice Strategies, LLC, et al. (Notice) |
| 812-14318 | IC-31380 | Dec. 16, 2014 | Lattice Strategies, LLC, et al. (Order) |
| 812-13218 | IC-29331 | Jun. 24, 2010 | Lazard Global Total Return and Income Fund, Inc., et al. (Notice) |
| 812-13218 | IC-29344 | Jul. 21, 2010 | Lazard Global Total Return and Income Fund, Inc., et al. (Order) |
| 812-14473 | IC-31959 | Jan. 15, 2016 | Leaning Pine II, L.L.C. (Notice) |
| 812-14473 | IC-31992 | Feb. 10, 2016 | Leaning Pine II, L.L.C. (Order) |
| 812-14547 | IC-32391 | Dec. 13, 2016 | Legg Mason ETF Equity Trust, et al. (Order) |
| 812-14547 | IC-32360 | Nov. 16, 2016 | Legg Mason ETF Equity Trust, et al. (Notice) |
| 812-13757 | IC-30265 | Nov. 16, 2012 | Legg Mason ETF Trust, et al. (Order) |
| 812-14583 | IC-32300 | Oct. 3, 2016 | Legg Mason Global Asset Management Trust, et al. (Notice) |
| 812-14583 | IC-32354A | Nov. 7, 2016 | Legg Mason Global Asset Management Trust, et al. (Order) |
| 812-14127 | IC-30923 | Feb. 24, 2014 | Legg Mason Partners Equity Trust, et al. (Notice) |
| 812-14127 | IC-30990 | Mar. 24, 2014 | Legg Mason Partners Equity Trust, et al. (Order) |
| 812-13757 | IC-30237 | Oct. 22, 2012 | Legg Mason Partners Equity Trust, et al. (Notice) |
| 812-13892 | IC-29789 | Sep. 15, 2011 | Legg Mason Partners Equity Trust, et al. (Notice) |
| 812-13681 | IC-29192 | Mar. 26, 2010 | Legg Mason Partners Equity Trust, et al. (Notice) |
| 812-13892 | IC-29835 | Oct. 12, 2011 | Legg Mason Partners Equity Trust, et al. (Order) |
| 812-13681 | IC-29255 | Apr. 21, 2010 | Legg Mason Partners Equity Trust, et al. (Order) |
| 812-14491 | IC-31895 | Nov. 5, 2015 | Legg Mason Partners Fund Advisor, LLC, et al. (Notice) |
| 812-14491 | IC-31920 | Dec. 1, 2015 | Legg Mason Partners Fund Advisor, LLC, et al. (Order) |
| 812-12973 | IC-27920 | Aug. 1, 2007 | Lehman Brothers Asset Management LLC, et al. (Notice) |
| 812-12973 | IC-27957 | Aug. 28, 2007 | Lehman Brothers Asset Management LLC, et al. (Order) |
| 812-13327 | IC-27741 | Feb. 27, 2007 | Liberty All-Star Equity Fund, et al. (Notice) |
| 812-13327 | IC-27769 | Mar. 27, 2007 | Liberty All-Star Equity Fund, Liberty All-Star Growth Fund, Inc., and ALPS Advisers, Inc. (Order) |
| 812-13732 | IC-29170 | Mar. 9, 2010 | Lincoln Investment Advisors Corporation, et al. (Notice) |
| 812-13732 | IC-29197 | Mar. 31, 2010 | Lincoln Investment Advisors Corporation, et al. (Order) |
| 812-14063 | IC-30468 | Apr. 18, 2013 | Lincoln National Life Insurance Company, et al (Notice) |
| 812-14063 | IC-30517 | May 14, 2013 | Lincoln National Life Insurance Company, et al. (Order) |
| 812-13660 | IC-29168 | Mar. 5, 2010 | Lincoln Variable Insurance Products Trust, et al. (Notice) |
| 812-13287 | IC-27821 | May 11, 2007 | Lincoln Variable Insurance Products Trust, et al. (Notice) |
| 812-13660 | IC-29196 | Mar. 31, 2010 | Lincoln Variable Insurance Products Trust, et al. (Order) |
| 812-13287 | IC-27850 | Jun. 4, 2007 | Lincoln Variable Insurance Products Trust, et al. (Order) |
| 812-14845 | IC-33035 | Feb. 26, 2018 | Little Harbor Advisors, LLC and ETF Series Solutions (Notice) |
| 812-14845 | IC-33057 | Mar. 26, 2018 | Little Harbor Advisors, LLC and ETF Series Solutions (Order) |
| 812-14395 | IC-31768 | Aug. 25, 2015 | Little Harbor Multistrategy Composite Fund Little and Harbor Advisors, LLC (Order) |
| 812-14395 | IC-31726 | Jul. 28, 2015 | Little Harbor MultiStrategy Composite Fund and Little Harbor Advisors, LLC (Notice) |
| 812-14085 | IC-30523 | May 15, 2013 | LocalShares Investment Trust, et al. (Notice) |
| 812-14085 | IC-30555 | Jun. 11, 2013 | LocalShares Investment Trust, et. al. (Order) |
| 812-14540 | IC-32036 | Mar. 22, 2016 | LoCorr Fund Management, LLC and LoCorr Investment Trust (Order) |
| 812-14540 | IC-32005 | Feb. 24, 2016 | LoCorr Fund Management, LLC and LoCorr Investment Trust (Notice) |
| 812-13913 | IC-30168 | Aug. 14, 2012 | LoCorr Fund Management, LLC and LoCorr Investment Trust (Notice) |
| 812-13913 | IC-30199 | Sep. 11, 2012 | LoCorr Fund Management, LLC and LoCorr Investment Trust (Order) |
| 812-14047 | IC-30297 | Dec. 6, 2012 | Lord, Abbett & Co. LLC, et al. (Notice) |
| 812-14047 | IC-30334 | Dec. 28, 2012 | Lord, Abbett & Co. LLC, et al. (Order) |
| 812-14502 | IC-32192 | Jul. 26, 2016 | Lord Abbett Family of Funds and Lord, Abbett & Co. LLC (Order) |
| 812-14502 | IC-32167 | Jun. 29, 2016 | Lord Abbett Family of Funds and Lord, Abbett & Co. LLC (Notice) |
M | |||
| File No. | Release No. | Date | Investment Company |
| 812-14460 | IC-31734 | Aug. 3, 2015 | Macquarie Capital (USA) Inc., et al. (Order) |
| 812-14460 | IC-31704 | Jul. 6, 2015 | Macquarie Capital (USA) Inc., et al. (Notice and Temporary Order) |
| 812-14460 | IC-31602 | May 15, 2015 | Macquarie Capital (USA) Inc., et al (Temporary Order) |
| 812-13397 | IC-28611 | Feb. 3, 2009 | Macquarie Global Infrastructure Total Return Fund Inc., et al. (Order) |
| 812-13397 | IC-28579 | Jan. 6, 2009 | Macquarie Global Infrastructure Total Return Fund, Inc., et al. (Notice) |
| 812-13653 | IC-29068 | Dec. 7, 2009 | Madison Asset Management, LLC, et al. (Notice) |
| 812-13653 | IC-29099 | Dec. 29, 2009 | Madison Asset Management, LLC, et al. (Order) |
| 812-14527 | IC-32120 | May 23, 2016 | Madison ETF Trust and Madison ETF Advisers, LLC (Order) |
| 812-14528 | IC-32100 | May 2, 2016 | Madison ETF Trust and Madison ETF Advisers, LLC (Order) |
| 812-14527 | IC-32093 | Apr. 25, 2016 | Madison ETF Trust and Madison ETF Advisers, LLC. (Notice) |
| 812-14528 | IC-32065 | Apr. 4, 2016 | Madison ETF Trust and Madison ETF Advisers, LLC (Notice) |
| 812-14360 | IC-31597 | May 11, 2015 | The MainStay Funds, et al. (Notice) |
| 812-14360 | IC-31663 | Jun. 8, 2015 | The MainStay Funds, et al. (Order) |
| 812-13257 | IC-27595 | Dec. 11, 2006 | The MainStay Funds, et al. (Notice) |
| 812-13257 | IC-27656 | Jan. 8, 2007 | The Mainstay Funds, Mainstay VP Series Fund, Inc., New York Life Investment Management LLC (Order) |
| 812-13804 | IC-29922 | Jan. 17, 2012 | Main Street Capital Corporation, et al. (Notice) |
| 812-13804 | IC-29922 | Jan. 17, 2012 | Main Street Capital Corporation, et al. (Notice) |
| 812-13649 | IC-28726 | May 19, 2009 | Main Street Capital Corporation, et al. (Notice) |
| 812-13438 | IC-28265 | May 8, 2008 | Main Street Capital Corporation, et al. (Notice) |
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| 812-13804 | IC-29946 | Feb. 14, 2012 | Main Street Capital Corporation, et al. (Order) |
| 812-13804 | IC-29946 | Feb. 14, 2012 | Main Street Capital Corporation, et al. (Order) |
| 812-13649 | IC-28768 | Jun. 16, 2009 | Main Street Capital Corporation, et al. (Order) |
| 812-13438 | IC-28295 | Jun. 3, 2008 | Main Street Capital Corporation, et al. (Order) |
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| 812-14523 | IC-32190 | Jul. 25, 2016 | MainStay Funds Trust, et al. (Order) |
| 812-14523 | IC-32163 | Jun. 27, 2016 | MainStay Funds Trust, et al. (Notice) |
| 812-13515 | IC-28651 | Mar. 18, 2009 | Mainstay VP Series Fund, et al. (Order) |
| 812-13515 | IC-28619 | Feb. 20, 2009 | Mainstay VP Series Fund, Inc. (Notice) |
| 812-14585 | IC-32201 | Aug. 2, 2016 | Managed Portfolio Series and Port Street Investments, LLC (Notice) |
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| 812-14250 | IC-31268A | Oct. 15, 2014 | Managed Portfolio Series, et al. (Notice) |
| 812-14250 | IC-31268 | Sep. 29, 2014 | Managed Portfolio Series, et al. (Notice) |
| 812-13551 | IC-28748 | May 28, 2009 | The Managers Funds, et al. (Notice) |
| 812-13551 | IC-28770 | Jun. 23, 2009 | The Managers Funds, et al. (Order) |
| 812-14209 | IC-31069 | Jun. 2, 2014 | Marketshares ETF Trust, et al. (Notice) |
| 812-14209 | IC-31135 | Jun. 26, 2014 | Marketshares ETF Trust, et al. (Order) |
| 812-14125 | IC-30409 | Feb. 27, 2013 | Market Vectors ETF Trust, et al. (Notice) |
| 812-14125 | IC-30433 | Mar. 21, 2013 | Market Vectors ETF Trust, et al. (Order) |
| 812-13519 | IC-28649 | Mar. 17, 2009 | Massachusetts Financial Services Company, et al. (Notice) |
| 812-13519 | IC-28694 | Apr. 14, 2009 | Massachusetts Financial Services Company, et al. (Order) |
| 812-14376 | IC-31982 | Feb. 3, 2016 | MassMutual Premiere Funds, et al., (Notice) |
| 812-14376 | IC-32013 | Feb. 29, 2016 | MassMutual Premier Funds, et al. (Order) |
| 812-13475 | IC-28284 | May 22, 2008 | Matrix Capital Group, Inc., et al. (Notice) |
| 812-13475 | IC-28300 | Jun. 17, 2008 | Matrix Capital Group, Inc., et al. (Order) |
| 812-14058 | IC-31045 | May 13, 2014 | Matthews A Share Selections Fund, LLC, et al. (Order) |
| 812-14058 | IC-31020 | Apr. 17, 2014 | Matthews A Share Selections Fund, LLC, et al. (Notice) |
| 812-13694 | IC-29191 | Mar. 25, 2010 | MCG Capital Corporation (Notice) |
| 812-13694 | IC-29210 | Apr. 20, 2010 | MCG Capital Corporation (Order) |
| 812-13428 | IC-28427 | Sep. 30, 2008 | MCG Capital Corporation, et al. (Notice) |
| 812-13428 | IC-28474 | Oct. 28, 2008 | MCG Capital Corporation, et al. (Order) |
| 812-14433 | IC-32017 | Mar. 1, 2016 | Medallion Financial Corp. (Order) |
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| 812-14458 | IC-31977 | Feb. 1, 2016 | Medallion Financial Corp. (Notice) |
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| 812-13290 | IC-27917 | Jul. 30, 2007 | Medallion Financial Corp. (Notice) |
| 812-13667 | IC-29258 | Apr. 26, 2010 | Medallion Financial Corp. (Order) |
| 812-13290 | IC-27955 | Aug. 28, 2007 | Medallion Financial Corp. (Order) |
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| 812-14679 | IC-32520 | Mar. 3, 2017 | Medley Capital Corporation, et al. (Notice) |
| 812-14020 | IC-30769 | Oct. 28, 2013 | Medley Capital Corporation, et al. (Notice) |
| 812-14020 | IC-30807 | Nov. 25, 2013 | Medley Capital Corporation, et al. (Order) |
| 812-14019 | IC-30234 | Oct. 16, 2012 | Medley Capital Corporation, et al. (Notice) |
| 812-14019 | IC-30262 | Nov. 14, 2012 | Medley Capital Corporation, et al. (Order) |
| 812-13787 | IC-29968 | Feb. 27, 2012 | Medley Capital Corporation, et al. (Notice) |
| 812-13787 | IC-29968 | Feb. 27, 2012 | Medley Capital Corporation, et al. (Notice) |
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| 812-13654 | IC-29062 | Nov. 23, 2009 | Members Mutual Funds, et al. (Notice) |
| 812-13654-01 | IC-29096 | Dec. 22, 2009 | Members Mutual Funds, et al. (Order) |
| 812-13133 | IC-27598 | Dec. 13, 2006 | Members Mutual Funds, et al. (Notice) |
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| 812-14221 | IC-31023 | Apr. 22, 2014 | MetLife Insurance Company of Connecticut, et al. (Order) |
| 812-13816 | IC-29544 | Dec. 28, 2010 | MetLife Insurance Company of Connecticut, et al. (Notice) |
| 812-13700 | IC-29190 | Mar. 25, 2010 | MetLife Insurance Company of Connecticut, et al. (Notice) |
| 812-13588 | IC-28678 | Mar. 25, 2009 | MetLife Insurance Company of Connecticut, et al. (Notice) |
| 812-13439 | IC-28190 | Mar. 10, 2008 | MetLife Insurance Company of Connecticut, et al. (Notice) |
| 812-13380 | IC-28013 | Oct. 12, 2007 | MetLife Insurance Company of Connecticut, et al. (Notice) |
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| 812-13816 | IC-29570 | Jan. 24, 2011 | MetLife Insurance Company of Connecticut, et al. (Order) |
| 812-13700 | IC-29211 | Apr. 20, 2010 | MetLife Insurance Company of Connecticut, et al. (Order) |
| 812-13588 | IC-28699 | Apr. 20, 2009 | MetLife Insurance Company of Connecticut, et al. (Order) |
| 812-13439 | IC-28236 | Apr. 16, 2008 | MetLife Insurance Company of Connecticut, et al. (Order) |
| 812-13380 | IC-28044 | Nov. 7, 2007 | MetLife Insurance Company of Connecticut, et al. (Order) |
| 812-13347 | IC-27810 | Apr. 30, 2007 | MetLife Insurance Company of Connecticut, et al. (Order) |
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| 812-14213 | IC-32676 | Jun. 13, 2017 | The Mexico Equity & Income Fund, Inc. and Pichardo Asset Management, S.A. de C.V. (Order) |
| 812-14213 | IC-32640 | May 18, 2017 | The Mexico Equity & Income Fund, Inc. and Pichardo Asset Management, S.A. de C.V. (Notice) |
| 812-13294 | IC-27592 | Dec. 7, 2006 | The Mexico Equity and Income Fund, Inc. (Notice) |
| 812-13294 | IC-27654 | Jan. 3, 2007 | The Mexico Equity and Income Fund, Inc. (Order) |
| 812-13454 | IC-28332 | Jul. 17, 2008 | The Mexico Fund, et al. (Notice) |
| 812-13454 | IC-28357 | Aug. 12, 2008 | The Mexico Fund, et al. (Order) |
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| 812-13482 | IC-29063 | Nov. 24, 2009 | MFS Government Markets Income Trust, et al. (Order) |
| 812-13606 | IC-29827 | Sep. 30, 2011 | MFS Series Trust I, et al. (Notice) |
| 812-13606 | IC-29849 | Oct. 26, 2011 | MFS Series Trust I, et al. (Order) |
| 812-13234 | IC-27662 | Jan. 17, 2007 | MFS Series Trust X, et al. (Notice) |
| 812-13234 | IC-27698 | Feb. 13, 2007 | MFS Series Trust X, MFS Series Trust XII, MFS Series Trust I, MFS Series Trust III, MFS Series Trust IV, MFS Series Trust V, MFS Series Trust IX, MFS Series Trust XI, MFS Series Trust XIII, Massachusetts Financial Services Company, MFS Fund Distributors, Inc. (Order) |
| 812-13464 | IC-28083 | Dec. 21, 2007 | Millennium India Acquisition Company Inc. (Notice) |
| 812-13464 | IC-28121 | Jan. 16, 2008 | Millennium India Acquisition Company, Inc. (Order) |
| 812-13886 | IC-30503 | May 2, 2013 | Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc. (Notice) |
| 812-13886 | IC-30543 | May 29, 2013 | Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc. (Order) |
| 812-13887 | IC-30459 | Apr. 10, 2013 | Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC (Notice) |
| 812-13887 | IC-30506 | May 6, 2013 | Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC (Order) |
| 812-13709-01 | IC-29375 | Jul. 30, 2010 | Millington Securities, Inc., et al. (Notice) |
| 812-13595 | IC-29160 | Feb. 25, 2010 | Millington Securities, Inc., et al. (Notice) |
| 812-13709-01 | IC-29386 | Aug. 25, 2010 | Millington Securities, Inc., et al. (Order) |
| 812-13595 | IC-29177 | Mar. 22, 2010 | Millington Securities, Inc., et al. (Order) |
| 812-14606 | IC-32419 | Jan. 9, 2017 | Minnesota Life Insurance Company, et al. (Order) |
| 812-14606 | IC-32393 | Dec. 14, 2016 | Minnesota Life Insurance Company, et al. (Notice) |
| 812-14203 | IC-30999 | Mar. 28, 2014 | Minnesota Life Insurance Company, et al. (Notice) |
| 812-14203 | IC-31028 | Apr. 24, 2014 | Minnesota Life Insurance Company, et al. (Order) |
| 812-14158 | IC-30821 | Dec. 6, 2013 | Minnesota Life Insurance Company, et al. (Notice) |
| 812-14158 | IC-30850 | Dec. 30, 2013 | Minnesota Life Insurance Company, et al. (Order) |
| 812-13365 | IC-27960 | Aug. 30, 2007 | Minnesota Life Insurance Company, et al. (Notice) |
| 812-13457 | IC-28334 | Jul. 22, 2008 | Minnesota Life Insurance Company, et al. (Order) |
| 812-13365 | IC-27979 | Sep. 25, 2007 | Minnesota Life Insurance Company, et. al. (Order) |
| 812-13436 | IC-28169 | Feb. 26, 2008 | MLIG Variable Insurance Trust (Order) |
| 812-13436 | IC-28139 | Jan. 31, 2008 | MLIG Variable Insurance Trust and Roszel Advisors, LLC (Notice) |
| 812-13413 | IC-28016 | Oct. 22, 2007 | MMA Praxis Mutual Funds et al. (Order) |
| 812-13413 | IC-27977 | Sep. 24, 2007 | MMA Praxis Mutual Funds, et al. (Notice) |
| 812-13611 | IC-28849 | Aug. 20, 2009 | MML Series Investment Fund, et al. (Notice) |
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| 812-14028 | IC-31286 | Oct. 15, 2014 | Monroe Capital Corporation, et al. (Order) |
| 812-14242 | IC-31235 | Aug. 28, 2014 | Monroe Capital Corporation, et al. (Notice) |
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| 812-13346 | IC-27929 | Aug. 17, 2007 | MONY Life Insurance Company of America, et al. (Order) |
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| 812-14656 | IC-32484 | Feb. 21, 2017 | Morgan Stanley ETF Trust, et al. (Notice) |
| 812-14655 | IC-32431 | Jan. 24, 2017 | Morgan Stanley ETF Trust, et al. (Order) |
| 812-14655 | IC-32405 | Dec. 28, 2016 | Morgan Stanley ETF Trust, et al. (Notice) |
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| 812-13213 | IC-28150 | Feb. 13, 2008 | Morgan Stanley Investment Management Inc., et al. (Order) |
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| 812-13529 | IC-28444 | Oct. 21, 2008 | Morgan Stanley Series Funds, et al. (Order) |
| 812-14381 | IC-31438 | Jan. 30, 2015 | Morgan Stanley Smith Barney LLC, et al. (Order) |
| 812-14381 | IC-31404 | Jan. 5, 2015 | Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions (Notice) |
| 812-14276 | IC-31086 | Jun. 17, 2014 | Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions (Order) |
| 812-14276 | IC-31062 | May 21, 2014 | Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions (Notice) |
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| 812-14808 | IC-33005A | Feb. 15, 2018 | Morningstar Funds Trust, et al. (Notice) |
| 812-14808 | IC-33005 | Feb. 14, 2018 | Morningstar Funds Trust, et al. (Notice) |
| 812-14753 | IC-32780 | Aug. 15, 2017 | Morningstar Funds Trust and Morningstar Investment Management LLC (Order) |
| 812-14753 | IC-32736 | Jul. 18, 2017 | Morningstar Funds Trust and Morningstar Investment Management LLC (Notice) |
| 812-14888 | IC-33167 | Jul. 24, 2018 | Motley Fool Asset Management, LLC and The RBB Fund, Inc. (Order) |
| 812-14888 | IC-33141 | Jun. 28, 2018 | Motley Fool Asset Management, LLC and The RBB Fund, Inc. (Notice) |
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N | |||
| File No. | Release No. | Date | Investment Company |
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| 812-14818 | IC-32839 | Sep. 28, 2017 | National Securities Clearing Corporation (Notice) |
| 812-14849 | IC-33065 | Apr. 3, 2018 | Nationwide Fund Advisors and ETF Series Solutions (Order) |
| 812-14849 | IC-33042 | Mar. 8, 2018 | Nationwide Fund Advisors and ETF Series Solutions (Notice) |
| 812-14751 | IC-32771 | Aug. 1, 2017 | Nationwide Fund Advisors, et al. (Order) |
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| 812-14783 | IC-32740 | Jul. 25, 2017 | Nationwide Fund Advisors, et al. (Order) |
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| 812-14573 | IC-32148 | Jun. 13, 2016 | Nationwide Mutual Funds, et al. (Order) |
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| 812-13444 | IC-28166 | Feb. 25, 2008 | NETS Trust, et al. (Notice) |
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| 812-14050 | IC-30267 | Nov. 19, 2012 | Neuberger Berman Alternative Funds, et al. (Order) |
| 812-13988-01 | IC-30206 | Sep. 18, 2012 | Neuberger Berman Alternative Funds, et al. (Notice) |
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| 812-13319 | IC-27690 | Jan. 30, 2007 | New River Funds and New River Advisers LLC (Order) |
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| 812-14450 | IC-32070 | Apr. 13, 2016 | Newtek Business Services Corp. (Notice) |
| 812-14419 | IC-31709 | Jul. 8, 2015 | New York Alaska ETF M-Anagement LLC, Plus Trust Foreside Fund Services, LLC (Order) |
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| 812-13903 | IC-29947 | Feb. 14, 2012 | New York Life Insurance and Annuity Corporation, et al. (Corrected Order) F |
| 812-13903 | IC-29923 | Jan. 19, 2012 | New York Life Insurance and Annuity Corporation, et al. (Corrected Notice) |
| 812-13903 | IC-29947 | Feb. 14, 2012 | New York Life Insurance and Annuity Corporation, et al. (Corrected Order) |
| 812-13903 | IC-29923 | Jan. 19, 2012 | New York Life Insurance and Annuity Corporation, et al. (Corrected Notice) |
| 812-13279 | IC-27655 | Jan. 4, 2007 | NexBank Securities, Inc. and NexBank Series (Notice) |
| 812-13279 | IC-27691 | Jan. 30, 2007 | Nexbank Securities, Inc. and Nexbank Series (Order) |
| 812-13278 | IC-27602 | Dec. 18, 2006 | NexBank Securities, Inc. and NexBank Series (Notice) |
| 812-13278 | IC-27659 | Jan. 16, 2007 | NexBank Securities, Inc., NexBank Series (Order) |
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| 812-13707 | IC-29381 | Aug. 18, 2010 | Northern Funds, et al. (Order) |
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| 812-13424 | IC-28149 | Feb. 12, 2008 | Northern Institutional Funds, Northern Funds, Northern Trust Investments, N.A. (Order) |
| 812-14806 | IC-32997 | Jan. 30, 2018 | Northern Lights Fund Trust and AlphaCore Capital, LLC (Order) |
| 812-14806 | IC-32961 | Jan. 3, 2018 | Northern Lights Fund Trust and AlphaCore Capital, LLC (Notice) |
| 812-14432 | IC-32313 | Oct. 12, 2016 | Northern Lights Fund Trust and Dearborn Capital Management, LLC (Order) |
| 812-14432 | IC-32264 | Sep. 16, 2016 | Northern Lights Fund Trust and Dearborn Capital Management, LLC (Notice) |
| 812-14810 | IC-33008 | Feb. 21, 2018 | Northern Lights Fund Trust, Pacific Financial Group, LLC, and Gemini Fund Services (Order) |
| 812-14810 | IC-32973 | Jan. 23, 2018 | Northern Lights Fund Trust and Pacific Financial Group, LLC (Notice) |
| 812-14761 | IC-32800 | Aug. 29, 2017 | Northern Lights Fund Trust and Toews Corporation (Order) |
| 812-14761 | IC-32770 | Aug. 1, 2017 | Northern Lights Fund Trust and Toews Corporation (Notice) |
| 812-14787 | IC-32777 | Aug. 8, 2017 | Northern Lights Fund Trust and Toews Corporation (Order) |
| 812-14787 | IC-32733 | Jul. 14, 2017 | Northern Lights Fund Trust and Toews Corporation (Notice) |
| 812-14032 | IC-31254 | Sep. 23, 2014 | Northern Lights Fund Trust II and North Peak Asset Management LLC (Order) |
| 812-14690 | IC-32426 | Jan. 18, 2017 | Northern Lights Fund Trust IV and Blue Sky Asset Management, LLC (Order) |
| 812-14690 | IC-32401 | Dec. 23, 2016 | Northern Lights Fund Trust IV and Blue Sky Asset Management, LLC (Notice) |
| 812-14747 | IC-32686 | Jun. 20, 2017 | Northern Lights Fund Trust IV and Main Management ETF Advisors, LLC (Order) |
| 812-14747 | IC-32662 | May 25, 2017 | Northern Lights Fund Trust IV and Main Management ETF Advisors, LLC (Notice) |
| 812-14797 | IC-32835 | Sep. 26, 2017 | Northern Lights Fund Trust IV and Measured Risk Portfolios, Inc. (Order) |
| 812-14797 | IC-32803 | Aug. 31, 2017 | Northern Lights Fund Trust IV and Measured Risk Portfolios, Inc. (Notice) |
| 812-14285 | IC-32032 | Mar. 21, 2016 | Northern Lights Fund Trust and Princeton Fund Advisors, LLC (Notice) |
| 812-14285 | IC-32079 | Apr. 19, 2016 | Northern Lights Fund Trust and Princeton Fund Advisors, LLC (Order) |
| 812-14519 | IC-31978 | Feb. 2, 2016 | Northern Lights Fund Trust, et. al (Order) |
| 812-14519 | IC-31952 | Jan. 4, 2016 | Northern Lights Fund Trust, et al. (Notice) |
| 812-14297 | IC-31087 | Jun. 18, 2014 | Northern Lights Fund Trust, et al. (Notice) |
| 812-14297 | IC-31154 | Jul. 15, 2014 | Northern Lights Fund Trust, et al. (Order) |
| 812-13786 | IC-29452 | Sep. 30, 2010 | Northern Lights Fund Trust, et al. (Notice) |
| 812-13651 | IC-29208 | Apr. 16, 2010 | Northern Lights Fund Trust, et al. (Notice) |
| 812-13786 | IC-29487 | Oct. 26, 2010 | Northern Lights Fund Trust, et al. (Order) |
| 812-13651 | IC-29267 | May 12, 2010 | Northern Lights Fund Trust, et al. (Order) |
| 812-14032 | IC-31222 | Aug. 26, 2014 | Northern Lights Fund Trust II and North Peak Asset Management LLC (Notice) |
| 812-13863 | IC-29757 | Aug. 16, 2011 | Northern Lights Variable Trust, et al. (Order) |
| 812-13863 | IC-29729 | Jul. 19, 2011 | Northern Lights Variable Trust, et. al. (Notice) |
| 812-14708 | IC-32524 | Mar. 7, 2017 | NorthStar/Townsend Institutional Real Estate Fund Inc., et al. (Order) |
| 812-14708 | IC-32472 | Feb. 7, 2017 | NorthStar/Townsend Institutional Real Estate Fund Inc., et al. (Notice) |
| 812-14289 | IC-31299 | Oct. 21, 2014 | Northern Trust Investments, Inc., Flexshares Trust, and Foreside Fund Services, LLC (Order) |
| 812-14289 | IC-31264 | Sep. 25, 2014 | Northern Trust Investments, Inc., et al. (Notice) |
| 812-13968 | IC-30240 | Oct. 23, 2012 | Northern Trust Investments, Inc., et al. (Order) |
| 812-13968 | IC-30211 | Sep. 24, 2012 | Northern Trust Investments, Inc., et al. (Notice) |
| 812-13868 | IC-30068 | May 22, 2012 | Northern Trust Investments, Inc., et al. (Order) |
| 812-13868 | IC-30045 | Apr. 24, 2012 | Northern Trust Investments, Inc., et al. (Notice) |
| 812-13773 | IC-29752 | Aug. 10, 2011 | Northern Trust Investments, Inc., et al. (Notice) |
| 812-13773 | IC-29782 | Sep. 6, 2011 | Northern Trust Investments, Inc., et al. (Order) |
| 812-14708 | IC-32472 | Feb. 7, 2017 | NorthStar/Townsend Institutional Real Estate Fund Inc., et al. (Notice) |
| 812-14128 | IC-30671 | Aug. 22, 2013 | The Northwestern Mutual Life Insurance Company, et al. (Notice) |
| 812-14128 | IC-30690 | Sep. 18, 2013 | The Northwestern Mutual Life Insurance Company, et al. (Order) |
| 812-13982 | IC-29967 | Feb. 27, 2012 | Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Order) |
| 812-13982 | IC-29939 | Jan. 30, 2012 | Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Notice) |
| 812-13982 | IC-29967 | Feb. 27, 2012 | Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Order) |
| 812-13982 | IC-29939 | Jan. 31, 2012 | Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Notice) |
| 812-13839 | IC-29522 | Dec. 8, 2010 | Nuveen Asset Management, et al. (Notice) |
| 812-13839 | IC-29546 | Dec. 30, 2010 | Nuveen Asset Management, et al. (Order) |
| 812-14428 | IC-31705 | Jul. 6, 2015 | Nuveen ETF Trust, et al. (Order) |
| 812-14619 | IC-32359 | Nov. 16, 2016 | Nuveen Fund Advisors, LLC, et al. (Order) |
| 812-14619 | IC-32322 | Oct. 21, 2016 | Nuveen Fund Advisors, LLC, et al. (Notice) |
| 812-14557 | IC-32111 | May 10, 2016 | Nuveen Fund Advisers, LLC et al. (Order) |
| 812-14557 | IC-32069 | Apr. 12, 2016 | Nuveen Fund Advisors, LLC, et al. (Notice) |
| 812-14258 | IC-31924 | Dec. 2, 2015 | Nuveen Fund Advisors, LLC, et al. (Notice) |
| 812-14258 | IC-31950 | Dec. 29, 2015 | Nuveen Fund Advisors, LLC, et al. (Order) |
| 812-14428 | IC-31664 | Jun. 8, 2015 | Nuveen Fund Advisors, LLC, et al. (Notice) |
| 812-14215 | IC-30883 | Jan. 16, 2014 | Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC (Notice) |
| 812-14215 | IC-30913 | Feb. 11, 2014 | Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC (Order) |
| 812-13619 | IC-28758 | Jun. 4, 2009 | Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Notice) (Comments received are available.) |
| 812-13619 | IC-28893 | Aug. 28, 2009 | Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Order) |
O | |||
| File No. | Release No. | Date | Investment Company |
| 812-14758 | IC-32862 | Oct. 18, 2017 | Oaktree Strategic Income, LLC, et al. (Order) | 812-14758 | IC-32831 | Sep. 22, 2017 | Oaktree Strategic Income, LLC, et al. (Notice) |
| 812-14853 | IC-33168 | Jul. 24, 2018 | OFI Carlyle Private Credit Fund and OC Private Capital, LLC (Notice) |
| 812-14602 | IC-32312 | Oct. 12, 2016 | OFS Capital Corporation, et al. (Order) |
| 812-14602 | IC-32259 | Sep. 13, 2016 | OFS Capital Corporation, et al. (Notice) |
| 812-14185 | IC-30771 | Oct. 30, 2013 | OFS Capital Corporation, et al. (Notice) |
| 812-14185 | IC-30812 | Nov. 26, 2013 | OFS Capital Corporation, et al. (Order) |
| 812-14482 | IC-32061 | Mar. 30, 2016 | OHA Investment Corporation, et al. (Notice) |
| 812-14482 | IC-32094 | Apr. 25, 2016 | OHA Investment Corporation, et al. (Order) |
| 812-14182 | IC-30895 | Jan. 28, 2014 | The Ohio National Life Insurance Company, et al. (Notice) |
| 812-14182 | IC-30925 | Feb. 24, 2014 | The Ohio National Life Insurance Company, et al. (Order) |
| 812-13614 | IC-28847 | Aug. 13, 2009 | Old Mutual Global Shares Trust, et al. (Notice) |
| 812-13614 | IC-28898 | Sep. 9, 2009 | Old Mutual Global Shares Trust, et al. (Order) |
| 812-13286 | IC-27837 | May 23, 2007 | Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Order) |
| 812-13286 | IC-27807 | Apr. 27, 2007 | Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Notice) |
| 812-14726 | IC-32872 | Oct. 25, 2017 | Olden Lane Securities, LLC and Olden Lane Trust (Order) |
| 812-14726 | IC-32845 | Sep. 29, 2017 | Olden Lane Securities LLC and Olden Lane Trust (Notice) |
| 812-14436-01 | IC-32619 | May 1, 2017 | Olden Lane Securities LLC and Olden Lane Trust (Order) |
| 812-14436-01 | IC-32589 | Apr. 3, 2017 | Olden Lane Securities LLC and Olden Lane Trust (Notice) |
| 812-13504 | IC-28851 | Aug. 25, 2009 | OOK, Inc., et al. (Notice) |
| 812-13504 | IC-28902 | Sep. 17, 2009 | OOK, Inc., et al. (Order) |
| 813-356 | IC-27612 | Dec. 27, 2006 | Opal Private Equity Fund, L.P. et al. (Notice) |
| 813-356 | IC-27675 | Jan. 23, 2007 | Opal Private Equity Fund, LP, and Schottenstein, Zox and Dunn Co., L.P.A. (Order) |
| 812-14749 | IC-32972 | Jan. 23, 2018 | Oppenheimer Capital Appreciation Fund, et al. (Order) |
| 812-14749 | IC-32956 | Dec. 27, 2017 | Oppenheimer Capital Appreciation Fund et al. (Notice) |
| 812-14248 | IC-32891 | Oct. 31, 2017 | OppenheimerFunds, Inc., et al. (Order) |
| 812-14248 | IC-32849 | Oct. 4, 2017 | OppenheimerFunds, Inc., et al. (Notice) |
| 812-14643 | IC-32204 | Aug. 2, 2016 | OSI ETF Trust, et al. (Notice) |
| 812-14585 | IC-32247 | Aug. 30, 2016 | OSI ETF Trust, et al. (Order) |
| 812-14485 | IC-32396 | Dec. 20, 2016 | OWLshares Trust, et al. (Order) |
| 812-14485 | IC-32363 | Nov. 22, 2016 | OWLshares Trust, et al. (Notice) |
| 812-14568 | IC-32469 | Feb. 7, 2017 | Owl Rock Capital Corporation, et al.(Order) |
| 812-14568 | IC-32422 | Jan. 11, 2017 | Owl Rock Capital Corporation, et al. (Notice) |
P | |||
| File No. | Release No. | Date | Investment Company |
| 812-14000 | IC-30241 | Oct. 23, 2012 | PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. (Order) |
| 812-14000 | IC-30224 | Sep. 27, 2012 | PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. (Notice) |
| 812-14347 | IC-31394 | Dec. 22, 2014 | Pacer Funds Trust, et al. (Notice) |
| 812-14347 | IC-31422 | Jan. 20, 2015 | Pacer Funds Trust, et al. (Order) |
| 812-13571 | IC-28993 | Nov. 10, 2009 | Pacific Investment Management Company LLC (Order) |
| 812-13571 | IC-28949 | Oct. 20, 2009 | Pacific Investment Management Company LLC and PIMCO ETF Trust (Notice) |
| 812-13555 | IC-28723 | May 11, 2009 | Pacific Investment Management Company LLC and PIMCO ETF Trust (Notice) |
| 812-13555 | IC-28752 | Jun. 1, 2009 | Pacific Investment Management Company LLC and PIMCO ETF Trust (Order) |
| 812-14359 | IC-31499 | Mar. 6, 2015 | Pacific Life Insurance Company, et al. (Order) |
| 812-14359 | IC-31451 | Feb. 9, 2015 | Pacific Life Insurance Company, Et Al (Notice) |
| 812-14141 | IC-30744 | Oct. 17, 2013 | Pacific Life Insurance Company, et al (Notice) |
| 812-14141 | IC-30777 | Nov. 8, 2013 | Pacific Life Insurance Company, et al. (Order) |
| 812-13962 | IC-29944 | Feb. 13, 2012 | Pacific Life Insurance Company, et al. (Notice) |
| 812-13962 | IC-29944 | Feb. 13, 2012 | Pacific Life Insurance Company, et al. (Notice) |
| 812-13962 | IC-29979 | Mar. 12, 2012 | Pacific Life Insurance Company, et al. (Order) |
| 812-13962 | IC-29979 | Mar. 12, 2012 | Pacific Life Insurance Company, et al. (Order) |
| 812-14709 | IC-32595 | Apr. 5, 2017 | Parker Global Strategies, LLC, et al. (Order) |
| 812-14709 | IC-32528 | Mar. 10, 2017 | Parker Global Strategies, LLC (Notice) |
| 812-14147 | IC-31046 | May 14, 2014 | Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc. (Notice) |
| 812-14147 | IC-31075 | Jun. 10, 2014 | Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc. (Order) |
| 812-14193-01 | IC-32726 | Jul. 6, 2017 | Partners Group Private Equity (Master Fund), LLC, et al. (Order) |
| 812-14193-01 | IC-32667 | Jun. 1, 2017 | Partners Group (USA) Inc., et al. (Notice) |
| 812-13348 | IC-28176 | Feb. 28, 2008 | Patriot Capital Funding, Inc. (Notice) |
| 812-13348 | IC-28200 | Mar. 25, 2008 | Patriot Capital Funding, Inc. (Order) |
| 812-13883 | IC-29751 | Aug. 10, 2011 | Pax World Funds Series Trust I, et al. (Notice) |
| 812-13883 | IC-29783 | Sep. 7, 2011 | Pax World Funds Series Trust I, et al. (Order) |
| 812-13702 | IC-29257 | Apr. 26, 2010 | Pax World Funds Trust II, et al. (Notice) |
| 812-13503 | IC-28834 | Jul. 22, 2009 | Pax World Funds Trust II, et al. (Notice) |
| 812-13702 | IC-29269 | May 17, 2010 | Pax World Funds Trust II, et al. (Order) |
| 812-13503 | IC-28846 | Aug. 13, 2009 | Pax World Funds Trust II, et al. (Order) |
| 813-248 | IC-30143 | Jul. 20, 2012 | P.E. Partners III, LLC, et al. (Notice) |
| 813-248 | IC-30170 | Aug. 16, 2012 | P.E. Partners III, LLC, et al. (Order) |
| 812-13401 | IC-28328 | Jul. 2, 2008 | The Penn Mutual Life Insurance Company, et al. (Notice) |
| 812-13401 | IC-28342 | Jul. 25, 2008 | The Penn Mutual Life Insurance Company, et al. (Order) |
| 812-14134 | IC-30985 | Mar. 19, 2014 | PennantPark Investment Corp., et al. (Notice) |
| 812-14134 | IC-31015 | Apr. 15, 2014 | PennantPark Investment Corp., et al. (Order) |
| 812-13772 | IC-29665 | May 6, 2011 | PennantPark Investment Corporation, et al. (Notice) |
| 812-13772 | IC-29686 | Jun. 1, 2011 | PennantPark Investment Corporation, et al. (Order) | 812-14011 | IC-30228 | Oct. 9, 2012 | Permal Hedge Strategies Fund, et al. (Notice) |
| 812-14011 | IC-30257 | Nov. 5, 2012 | Permal Hedge Strategies Fund, et al. (Order) |
| 812-14251 | IC-31284 | Oct. 10, 2014 | Persimmon Capital Management LP and Northern Lights Fund Trust III (Order) |
| 812-14251 | IC-31218 | Aug. 19, 2014 | Persimmon Capital Management LP and Northern Lights Fund Trust III (Notice) |
| 812-14815 | IC-33121 | Jun. 13, 2018 | PFM Multi-Manager Series Trust and PFM Asset Management LLC (Order) |
| 812-14815 | IC-33098 | May 15, 2018 | PFM Multi-Manager Series Trust and PFM Asset Management LLC (Notice) |
| 812-13526 | IC-28375 | Sep. 3, 2008 | Phoenix Equity Trust, et al. (Notice) |
| 812-13526 | IC-28410 | Sep. 29, 2008 | Phoenix Equity Trust, et al. (Order) |
| 812-13564 | IC-28686 | Apr. 3, 2009 | Phoenix Life Insurance Company, et al. (Notice) |
| 812-13564 | IC-28714 | Apr. 28, 2009 | Phoenix Life Insurance Company, et al. (Order) |
| 812-14715 | IC-32685 | Jun. 20, 2017 | PIMCO Equity Series, Pacific Investment Management Company LLC, and PIMCO Investments LLC (Order) |
| 812-14715 | IC-32661 | May 25, 2017 | PIMCO Equity Series, et al. (Notice) |
| 812-14756 | IC-32867 | Oct. 23, 2017 | PIMCO Funds, et al. (Notice) |
| 812-14756 | IC-32903 | Nov. 20, 2017 | PIMCO Funds, et al. (Order) |
| 812-13513 | IC-28331 | Jul. 17, 2008 | PIMCO Funds, et al. (Notice) |
| 812-13513 | IC-28356 | Aug. 12, 2008 | PIMCO Funds, et al. (Order) |
| 812-13381 | IC-28370 | Aug. 29, 2008 | PIMCO Municipal Income Fund, et al. (Notice) |
| 812-13381 | IC-28412 | Sep. 29, 2008 | PIMCO Municipal Income Fund, et al. (Order) |
| 812-13727 | IC-29198 | Mar. 31, 2010 | Pioneer Bond Fund, et al. (Notice) |
| 812-13427 | IC-28144 | Feb. 5, 2008 | Pioneer Bond Fund, et al. (Notice) |
| 812-13727 | IC-29259 | Apr. 27, 2010 | Pioneer Bond Fund, et al. (Order) |
| 812-13427 | IC-28182 | Mar. 4, 2008 | Pioneer Bond Fund, et al. (Order) |
| 812-13432-02 | IC-28947 | Oct. 16, 2009 | Pioneer Diversified High Income Trust, et al. (Notice) |
| 812-13432-02 | IC-28995 | Nov. 10, 2009 | Pioneer Diversified High Income Trust, et al. (Order) |
| 812-14504 | IC-31756 | Aug. 13, 2015 | Pioneer ETMF Series Trust I, Pioneer Investment Management, Inc. and Pioneer Funds Distributor, Inc. (Order) |
| 812-14504 | IC-31718 | Jul. 16, 2015 | Pioneer ETMF Series Trust I (Notice) |
| 812-13636 | IC-28998 | Nov. 20, 2009 | Pioneer Floating Rate Trust and Pioneer High Income Trust (Notice) |
| 812-13636 | IC-29070 | Dec. 15, 2009 | Pioneer Floating Rate Trust and Pioneer High Income Trust (Order) |
| 812-14662 | IC-33108 | May 24, 2018 | Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc. (Notice) |
| 812-14662 | IC-33127 | Jun. 19, 2018 | Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc. (Order) |
| 812-13640 | IC-29066 | Dec. 3, 2009 | PNC Bank, National Association (Notice) |
| 812-13640 | IC-29100 | Dec. 29, 2009 | PNC Bank, National Association (Order) |
| 812-14055 | IC-30298 | Dec. 6, 2012 | PNC Capital Advisors, LLC, et al. (Notice) |
| 812-14055 | IC-30333 | Dec. 28, 2012 | PNC Capital Advisors, LLC, et al. (Order) |
| 812-14056 | IC-30239 | Oct. 23, 2012 | PNC Capital Advisors, LLC, et al. (Notice) |
| 812-14056 | IC-30271 | Nov. 20, 2012 | PNC Capital Advisors, LLC, et al. (Order) |
| 812-14530 | IC-31976 | Feb. 1, 2016 | PNC Funds, et al. (Notice) |
| 812-14530 | IC-32010 | Feb. 29, 2016 | PNC Funds, et al. (Order) |
| 812-14763 | IC-32781 | Aug. 15, 2017 | Point Bridge Capital, LLC and ETF Series Solutions (Order) |
| 812-14763 | IC-32738 | Jul. 21, 2017 | Point Bridge Capital, LLC, et al. (Notice) |
| 812-14577 | IC-32064 | Apr. 4, 2016 | Pointbreak Advisers LLC, et al. (Order) |
| 812-14577 | IC-32023 | Mar. 7, 2016 | Pointbreak Advisers LLC, et al. (Notice) |
| 812-14499 | IC-31921 | Dec. 1, 2015 | Pointbreak Advisers LLC et al. (Order) |
| 812-14499 | IC-31894 | Nov. 5, 2015 | Pointbreak Advisers LLC, et al. (Notice) |
| 812-14416 | IC-31862 | Oct. 7, 2015 | Pomona Investment Fund, et al. (Order) |
| 812-14416 | IC-31819 | Sep. 11, 2015 | Pomona Investment Fund, et al. (Notice) |
| 812-13386 | IC-28140 | Feb. 1, 2008 | PowerShares Capital Management LLC, et al. (Notice) |
| 812-13386 | IC-28171 | Feb. 27, 2008 | PowerShares Capital Management LLC, et al. (Order) |
| 812-14442 | IC-32035 | Mar. 22, 2016 | PowerShares Exchange-Traded Fund Trust, et al. (Order) |
| 812-14442 | IC-32006 | Feb. 25, 2016 | PowerShares Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13820 | IC-30238 | Oct. 23, 2012 | PowerShares Exchange-Traded Fund Trust, PowerShares Exchange-Traded Fund Trust II, PowerShares Actively Managed Exchange-Traded Fund Trust, and Invesco PowerShares Capital Management LLC (Order) |
| 812-13820 | IC-30222 | Sep. 26, 2012 | PowerShares Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13335 | IC-27811 | Apr. 30, 2007 | PowerShares Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13604 | IC-28760 | Jun. 8, 2009 | PowerShares Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13343 | IC-27693 | Jan. 31, 2007 | PowerShares Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13604 | IC-28813 | Jul. 7, 2009 | PowerShares Exchange-Traded Fund Trust, et al. (Order) |
| 812-13335 | IC-27841 | May 25, 2007 | PowerShares Exchange-Traded Fund Trust, et al. (Order) |
| 812-13343 | IC-27743 | Feb. 27, 2007 | PowerShares Exchange-Traded Fund Trust, PowerShares Capital Management LLC, and AIM Distributors, Inc. (Order) |
| 812-14574 | IC-32025 | Mar. 8, 2016 | PowerShares Exchange-Traded Self-Indexed Fund Trust, et al. (Order) |
| 812-14574 | IC-31995 | Feb. 11, 2016 | PowerShares Exchange-Traded Self-Indexed Fund Trust, et al. (Notice) |
| 812-13627 | IC-30066 | May 21, 2012 | Praxis Mutual Funds, et al. (Order) |
| 812-13627 | IC-30042 | Apr. 23, 2012 | Praxis Mutual Funds, et al. (Notice) |
| 812-14584 | IC-32622 | May 2, 2017 | Precidian ETFs Trust, et al. (Order) |
| 812-14584 | IC-32596 | Apr. 5, 2017 | Precidian ETFs Trust, et al. (Notice) |
| 812-14116 | IC-31336 | Nov. 14, 2014 | Precidian ETFs Trust, et al. (Order) |
| 812-14116 | IC-31300 | Oct. 21, 2014 | Precidian ETFs Trust, et al. (Notice) |
| 812-13981 | IC-30129 | Jul. 5, 2012 | Precidian ETFs Trust, et al. (Order) |
| 812-13981 | IC-30101 | Jun. 8, 2012 | Precidian ETFs Trust, et al. (Notice) |
| 812-13818 | IC-29692 | Jun. 9, 2011 | Precidian ETFs Trust, et al. (Notice) |
| 812-13818 | IC-29712 | Jul. 1, 2011 | Precidian ETFs Trust, et al. (Order) |
| 812-14770 | IC-32870 | Oct. 24, 2017 | PREDEX and PREDEX Capital Management, LLC (Order) |
| 812-14770 | IC-32837 | Sep. 27, 2017 | PREDEX and PREDEX Capital Management, LLC (Notice) |
| 812-14555 | IC-32074 | Apr. 18, 2016 | Premise Capital LLC, et al. (Order) |
| 812-14555 | IC-32033 | Mar. 21, 2016 | Premise Capital, LLC (Notice) |
| 812-13965 | IC-29951 | Feb. 22, 2012 | Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Order) |
| 812-13965 | IC-29937 | Jan. 26, 2012 | Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Notice) |
| 812-13965 | IC-29951 | Feb. 22, 2012 | Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Order) |
| 812-13965 | IC-29937 | Jan. 26, 2012 | Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Notice) |
| 812-14776 | IC-32930 | Nov. 30, 2017 | Princeton Fund Advisors, LLC, et al. (Order) |
| 812-14776 | IC-32894 | Nov. 2, 2017 | Princeton Fund Advisors, LLC. et al. (Notice) |
| 812-14367 | IC-31562 | Apr. 22, 2015 | Princeton Private Equity Fund, et al. (Order) |
| 812-14367 | IC-31512 | Mar. 25, 2015 | Princeton Private Equity Fund and Princeton Fund Advisors, LLC (Notice) |
| 812-14496 | IC-31746 | Aug. 11, 2015 | Principal ETMF Trust, et al. (Notice) |
| 812-14496 | IC-31812 | Sep. 9, 2015 | Principal ETMF Trust, et al. (Order) |
| 812-14509 | IC-31872 | Oct. 19, 2015 | Principal Exchange-Traded Funds, et al. (Order) |
| 812-14509 | IC-31834 | Sep. 21, 2015 | Principal Exchange-Traded Funds, et al. (Notice) |
| 812-14138 | IC-31203 | Aug. 11, 2014 | Principal Funds, Inc., et al. (Notice) |
| 812-14138 | IC-31244 | Sep. 8, 2014 | Principal Funds, Inc., et al. (Order) |
| 812-13869 | IC-29824 | Sep. 29, 2011 | Principal Funds, Inc., et al. (Notice) |
| 812-13869 | IC-29843 | Oct. 25, 2011 | Principal Funds, Inc., et al. (Order) |
| 812-14586 | IC-32030 | Mar. 17, 2016 | Principal Life Insurance Company, et al. (Notice) |
| 812-14586 | IC-32067 | Apr. 8, 2016 | Principal Life Insurance Company, et al. (Order) |
| 812-14600 | IC-32029 | Mar. 17, 2016 | Principal Life Insurance Company, et al. (Notice) |
| 812-14600 | IC-32068 | Apr. 8, 2016 | Principal Life Insurance Company, et al. (Order) |
| 812-14136 | IC-30692 | Sep. 20, 2013 | Principal Management Corporation, et al. (Notice) |
| 812-14136 | IC-30742 | Oct. 16, 2013 | Principal Management Corporation, et al. (Order) |
| 812-14295 | IC-31334 | Nov. 12, 2014 | Principal Real Estate Income Fund ALPS Advisors, Inc. (Order) |
| 812-14295 | IC-31290 | Oct. 16, 2014 | Principal Real Estate Income Fund and Alps Advisors, Inc. (Notice) |
| 812-13338 | IC-27852 | Jun. 18, 2007 | Principal Variable Contracts Fund, Inc., et al. (Notice) |
| 812-13338 | IC-27887 | Jul. 17, 2007 | Principal Variable Contracts Fund, Inc., et al. (Order) |
| 812-14243 | IC-31010 | Apr. 8, 2014 | Professionally Managed Portfolios and Balter Liquid Alternatives, LLC (Notice) |
| 812-14243 | IC-31038 | May 5, 2014 | Professionally Managed Portfolios and Balter Liquid Alternatives, LLC (Order) |
| 812-13029 | IC-27599 | Dec. 14, 2006 | ProFunds, et al. (Notice) |
| 812-13029 | IC-27658 | Jan. 9, 2007 | Profunds, Access One Trust, Proshares Trust, Proshare Advisors LLC, Profund Advisors LLC (Order) |
| 812-14087 | IC-30583 | Jun. 27, 2013 | ProShare Advisors LLC, et al. (Notice) |
| 812-14087 | IC-30605 | Jul. 23, 2013 | ProShare Advisors LLC, et al. (Order) |
| 812-14041 | IC-30527 | May 21, 2013 | ProShares Advisors LLC, et al. (Notice) |
| 812-14041 | IC-30562 | Jun. 18, 2013 | ProShares Advisors LLC, et al. (Order) |
| 812-13400 | IC-28696 | Apr. 14, 2009 | ProShares Trust, et al. (Notice) |
| 812-13382 | IC-27975 | Sep. 21, 2007 | ProShares Trust, et al. (Notice) |
| 812-13400 | IC-28724 | May 12, 2009 | ProShares Trust, et al. (Order) |
| 812-13382 | IC-28014 | Oct. 17, 2007 | ProShares Trust, et al. (Order) |
| 812-13329 | IC-27609 | Dec. 22, 2006 | ProShares Trust, et al. (Notice) |
| 812-13329 | IC-27666 | Jan. 18, 2007 | Proshares Trust, Proshare Advisors LLC, SEI Investments Distribution Company (Order) |
| 812-14199 | IC-30855 | Jan. 13, 2014 | Prospect Capital Corporation, et al. (Notice) |
| 812-14199 | IC-30909 | Feb. 10, 2014 | Prospect Capital Corporation, et al. (Order) |
| 812-13437 | IC-28180 | Mar. 4, 2008 | Pruco Life Insurance Company, et al. (Notice) |
| 812-13437 | IC-28231 | Apr. 1, 2008 | Pruco Life Insurance Company, et al. (Order) |
| 812-13713 | IC-29302 | Jun. 18, 2010 | Pruco Life Insurance Company, et. al. (Notice) |
| 812-13713 | IC-29342 | Jul. 15, 2010 | Pruco Life Insurance Company, et. al. (Order) |
| 812-13990 | IC-30186 | Aug. 29, 2012 | Pruco Life Insurance Company, et al. (Notice) |
| 812-13990 | IC-30209 | Sep. 20, 2012 | Pruco Life Insurance Company, et.al (Order) |
| 812-13532 | IC-28373 | Sep. 3, 2008 | Prudential Annuities Life Assurance Corp., et. al. (Order) |
| 812-13446 | IC-28179 | Mar. 4, 2008 | Prudential Annuities Life Assurance Corporation, et al. (Notice) |
| 812-13446 | IC-28233 | Apr. 1, 2008 | Prudential Annuities Life Assurance Corporation, et al. (Order) |
| 812-13532 | IC-28354 | Aug. 8, 2008 | Prudential Annuities Life Assurance Corporation, et. al. (Notice) |
| 812-14633 | IC-32374 | Nov. 30, 2016 | Prudential ETF Trust, et. al. (Order) |
| 812-14633 | IC-32351 | Nov. 1, 2016 | Prudential ETF Trust, et al. (Notice) |
| 812-13572 | IC-28377 | Sep. 5, 2008 | Prudential Financial, Inc., et al. (Notice and Temporary Order) |
| 812-13572 | IC-28430 | Oct. 1, 2008 | Prudential Financial, Inc., et al. (Order) |
| 812-13993 | IC-30200 | Sep. 11, 2012 | Prudential Investment Portfolios 3, et al. (Notice) |
| 812-13993 | IC-30229 | Oct. 9, 2012 | Prudential Investment Portfolios 3, et al. (Order) |
| 812-14267 | IC-31063 | May 29, 2014 | Prudential Investments LLC, et al. (Notice) |
| 812-14267 | IC-31095 | Jun. 24, 2014 | Prudential Investments LLC, et al. (Order) |
| 812-13455 | IC-28263 | May 7, 2008 | Prudential Retirement Insurance and Annuity Company, et al. (Notice) |
| 812-13455 | IC-28297 | Jun. 6, 2008 | Prudential Retirement Insurance and Annuity Company, et al. (Order) |
| 812-13998 | IC-30195 | Sep. 5, 2012 | Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC (Notice) |
| 812-13998 | IC-30226 | Oct. 2, 2012 | Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC (Order) |
| 812-14356 | IC-31809 | Sep. 9, 2015 | Pulteney Street Capital Management, LLC and PSP Family of Funds (Order) |
| 812-14356 | IC-31754 | Aug. 13, 2015 | Pulteney Street Capital Management, LLC and PSP Family of Funds (Notice) |
| 812-13489-01 | IC-30316 | Dec. 21, 2012 | Pyxis Capital, L.P., et al. (Notice) |
| 812-13489-01 | IC-30352 | Jan. 16, 2013 | Pyxis Capital, L.P., et al. (Order) |
R | |||
| File No. | Release No. | Date | Investment Company |
| 812-13416 | IC-28039 | Oct. 30, 2007 | Rafferty Asset Management, et al. (Notice) |
| 812-13610 | IC-28905 | Sep. 22, 2009 | Rafferty Asset Management, LLC, et al. (Order) |
| 812-13610 | IC-28889 | Aug. 27, 2009 | Rafferty Asset Management, LLC, et al. (Notice) |
| 812-13483 | IC-28379 | Sep. 12, 2008 | Rafferty Asset Management, LLC, et al. (Notice) |
| 812-13483 | IC-28434 | Oct. 6, 2008 | Rafferty Asset Management, LLC, et al. (Order) |
| 812-13416 | IC-28067 | Nov. 27, 2007 | Rafferty Asset Management, LLC, et al. (Order) |
| 812-14501 | IC-32168 | Jul. 5, 2016 | Ramius Archview Credit and Distressed Fund Ramius Advisors, LLC (Order) |
| 812-14501 | IC-32139 | Jun. 6, 2016 | Ramius Archview Credit and Distressed Fund and Ramius Advisors, LLC (Notice) |
| 812-13634 | IC-29941 | Feb. 1, 2012 | Rand Capital Corporation, et al. (Notice) |
| 812-13634 | IC-29941 | Feb. 1, 2012 | Rand Capital Corporation, et al. (Notice) |
| 812-13634 | IC-29972 | Feb. 28, 2012 | Rand Capital Corporation, et al. (Order) |
| 812-13634 | IC-29972 | Feb. 28, 2012 | Rand Capital Corporation, et al. (Order) |
| 812-14131 | IC-30778 | Nov. 12, 2013 | Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Notice) |
| 812-14131 | IC-30824 | Dec. 11, 2013 | Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Order) |
| 812-14071 | IC-30639 | Aug. 1, 2013 | Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Notice) |
| 812-14071 | IC-30677 | Aug. 27, 2013 | Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Order) |
| 812-14657 | IC-32292 | Sep. 27, 2016 | Rational Advisors, Inc. and Strategy Shares (Order) |
| 812-14657 | IC-32243 | Aug. 30, 2016 | Rational Advisors, Inc. and Strategy Shares (Notice) |
| 813-326 | IC-28012 | Oct. 11, 2007 | Raymond James Employee Investment Fund I, L.P., et al. (Notice) |
| 813-326 | IC-28043 | Nov. 6, 2007 | Raymond James Employee Investment Fund I, L.P., et al. (Order) |
| 812-14372 | IC-31827 | Sep. 16, 2015 | The RBB Fund, Inc. and Abbey Capital Limited (Order) |
| 812-14372 | IC-31766 | Aug. 21, 2015 | The RBB Fund, Inc. and Abbey Capital Limited (Notice) |
| 812-13496 | IC-28260 | Apr. 30, 2008 | The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice) |
| 812-13295 | IC-27749 | Mar. 8, 2007 | The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice) |
| 812-13496 | IC-28288 | May 28, 2008 | The RBB Fund, Inc. and Abundance Technologies, Inc. (Order) |
| 812-14386 | IC-32538 | Mar. 21, 2017 | The RBB Fund, Inc. and Altair Advisers LLC (Order) |
| 812-14386 | IC-32483 | Feb. 21, 2017 | The RBB Fund, Inc. and Altair Advisers LLC (Notice) |
| 812-14206 | IC-31687 | Jun. 23, 2015 | The RBB Fund, Inc., et al. (Order) |
| 812-14206 | IC-31648 | May 27, 2015 | The RBB Fund, Inc., et al. (Notice) |
| 812-13295 | IC-27775 | Apr. 3, 2007 | The RBB Fund, Inc., et al. (Order) |
| 812-13663 | IC-28762 | Jun. 9, 2009 | RBC Capital Markets Corporation, et al. (Notice and Temporary Order) |
| 812-13663 | IC-28812 | Jul. 7, 2009 | RBC Capital Markets Corporation, et al. (Order) |
| 812-14232 | IC-30842 | Dec. 23, 2013 | RBS Securities Inc. and Citizens Investment Advisors (Order) |
| 812-14232 | IC-30808 | Nov. 25, 2013 | RBS Securities Inc. and Citizens Investment Advisors (Temporary Order and Notice) |
| 812-13399 | IC-27877 | Jun. 28, 2007 | RealNetworks, Inc. (Notice) |
| 812-13399 | IC-27888 | Jul. 24, 2007 | RealNetworks, Inc. (Order) |
| 812-14341 | IC-31506 | Mar. 17, 2015 | Realty Capital Income Funds Trust, et al. (Order) |
| 812-14341 | IC-31458 | Feb. 18, 2015 | Realty Capital Income Funds Trust, et al. (Notice) |
| 812-13200 | IC-28818 | Jul. 14, 2009 | Reaves Utility Income Fund, et al. (Notice) |
| 812-13200 | IC-28843 | Aug. 11, 2009 | Reaves Utility Income Fund, et al. (Order) |
| 812-14461 | IC-31961 | Jan. 19, 2016 | Recon Capital Series Trust, et al. (Order) |
| 812-14461 | IC-31945 | Dec. 21, 2015 | Recon Capital Series Trust, et al. (Notice) |
| 812-14068 | IC-30203 | Sep. 17, 2012 | ReconTrust Company, N.A., et al. (Order) |
| 812-14068 | IC-30174 | Aug. 20, 2012 | ReconTrust Company, N.A., et al. (Notice) |
| 812-14873 | IC-33100 | May 21, 2018 | Redwood Investment Manangement, LLC and Two Roads Shared Trust (Order) |
| 812-14873 | IC-33076A | Apr. 26, 2018 | Redwood Investment Management, LLC and Two Roads Shared Trust (Notice) |
| 812-14658 | IC-32291 | Sep. 27, 2016 | Regents Park Funds, LLC (Order) |
| 812-14658 | IC-32249 | Aug. 31, 2016 | Regents Park Funds, LLC, et al. (Notice) |
| 812-14834 | IC-32954 | Dec. 27, 2017 | Regents Park Funds, LLC and Two Roads Shared Trust (Order) |
| 812-14834 | IC-32931 | Dec. 1, 2017 | Regents Park Funds, LLC and Two Roads Shared Trust (Notice) |
| 812-14830 | IC-32924 | Nov. 28, 2017 | Reinhart Partners, Inc., et al. (Order) |
| 812-14830 | IC-32892 | Nov. 1, 2017 | Reinhart Partners, Inc., et al. (Notice) |
| 812-14683 | IC-32904 | Nov. 21, 2017 | The Relative Value Fund et al. (Order) |
| 812-14683 | IC-32884 | Oct. 26, 2017 | The Relative Value Fund et al. (Notice) |
| 812-13976 | IC-30422 | Mar. 11, 2013 | Renaissance Capital Greenwich Funds, et al. (Notice) |
| 812-13976 | IC-30451 | Apr. 8, 2013 | Renaissance Capital Greenwich Funds, et al. (Order) |
| 812-13576 | IC-28465 | Oct. 24, 2008 | The Reserve Fund (Notice) (Comments received are available.; See also: Responses to Frequently Asked Questions about The Reserve Fund and Money Market Funds) |
| 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) |
| 812-13585 | IC-28466 | Oct. 24, 2008 | Reserve Municipal Money-Market Trust, et al. (Notice of Application and Temporary Order) |
| 812-14244 | IC-31093 | Jun. 23, 2014 | Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc. (Notice) |
| 812-14244 | IC-31162 | Jul. 22, 2014 | Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc. (Order) |
| 812-13569 | IC-28931 | Sep. 25, 2009 | Ridgewood Capital Energy Growth Fund, LLC, et al. (Notice) |
| 812-13569 | IC-28982 | Oct. 21, 2009 | Ridgewood Capital Energy Growth Fund, LLC, et al. (Order) |
| 812-13860 | IC-29743 | Aug. 3, 2011 | RidgeWorth Funds et al. (Notice) |
| 812-13860 | IC-29773 | Aug. 30, 2011 | RidgeWorth Funds et al. (Order) |
| 813-358 | IC-29446 | Sep. 28, 2010 | RIEF RMP LLC and Renaissance Technologies LLC (Notice) |
| 813-358 | IC-29489 | Oct. 26, 2010 | RIEF RMP LLC and Renaissance Technologies LLC (Order) |
| 812-13777 | IC-29889 | Dec. 19, 2011 | Rio Tinto plc and Rio Tinto Limited (Notice) |
| 812-13777 | IC-29921 | Jan. 17, 2012 | Rio Tinto plc et al. (Order) |
| 812-13777 | IC-29921 | Jan. 17, 2012 | Rio Tinto plc et al. (Order) |
| 812-14698 | IC-32673 | Jun. 7, 2017 | RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC (Order) |
| 812-14698 | IC-32635 | May 12, 2017 | RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC (Notice) |
| 812-14160 | IC-30919 | Feb. 18, 2014 | RiverNorth Funds, et al. (Notice) |
| 812-14160 | IC-30983 | Mar. 18, 2014 | RiverNorth Funds, et al. (Order) |
| 812-13755 | IC-29840 | Oct. 19, 2011 | RiverPark Advisors, LLC, et al. (Notice) |
| 812-13755 | IC-29863 | Nov. 17, 2011 | RiverPark Advisors, LLC, et al. (Order) |
| 813-361 | IC-29576 | Feb. 8, 2011 | Riverside Casualty, Inc. (Notice) |
| 813-361 | IC-29597 | Mar. 8, 2011 | Riverside Casualty, Inc. (Order) |
| 812-13492 | IC-28527 | Dec. 4, 2008 | RiverSource Life Insurance Company, et al. (Notice) |
| 812-13492 | IC-28575 | Dec. 30, 2008 | RiverSource Life Insurance Company, et al. (Order) |
| 812-13058-06 | IC-29178 | Mar. 23, 2010 | RMR Real Estate Income Fund, et al. (Notice) |
| 812-13058-06 | IC-29213 | Apr. 20, 2010 | RMR Real Estate Income Fund, et al. (Order) |
| 812-14265 | IC-31134 | Jun. 25, 2014 | Rothschild Larch Lane Management Company LLC and The Advisors' Inner Circle Fund III (Notice) |
| 812-14265 | IC-31164 | Jul. 22, 2014 | Rothschild Larch Lane Management Company LLC and the Advisors' Inner Circle Fund III (Order) |
| 812-14403 | IC-31411 | Jan. 13, 2015 | Royal Bank of Canada, et al. (Order) |
| 812-14403 | IC-31388 | Dec. 19, 2014 | Royal Bank of Canada, et al. (Notice and Temporary Order) |
| 812-14469 | IC-31673 | Jun. 16, 2015 | The Royal Bank of Scotland plc, et al. (Order) |
| 812-14469 | IC-31642 | May 20, 2015 | The Royal Bank of Scotland plc, et al. (Notice) |
| 812-14148 | IC-30462 | Apr. 12, 2013 | The Royal Bank of Scotland plc, et al. (Notice) |
| 812-14148 | IC-30509 | May 8, 2013 | The Royal Bank of Scotland plc, et al. (Order) |
| 812-14034 | IC-30447 | Apr. 4, 2013 | Royce Focus Trust, Inc., et al. (Notice) |
| 812-14034 | IC-30499 | Apr. 30, 2013 | Royce Focus Trust, Inc., et al. (Order) |
| 812-13880 | IC-30448 | Apr. 4, 2013 | Royce Value Trust, Inc., et al. (Notice) |
| 812-13880 | IC-30500 | Apr. 30, 2013 | Royce Value Trust, Inc., et al. (Order) |
| 812-13815 | IC-29706 | Jun. 22, 2011 | Russell Exchange Traded Funds Trust, et al. (Notice) |
| 812-13815 | IC-29727 | Jul. 19, 2011 | Russell Exchange Traded Funds Trust, et al. (Order) |
| 812-13870 | IC-29623 | Apr. 6, 2011 | Russell Investment Company, et al. (Notice) |
| 812-13870 | IC-29664 | May 3, 2011 | Russell Investment Company, et al. (Order) |
| 812-13669 | IC-29655 | Apr. 20, 2011 | Russell Investment Management Company, et al. (Notice) |
| 812-13669 | IC-29671 | May 16, 2011 | Russell Investment Management Company, et al. (Order) |
| 812-13390 | IC-28000 | Sep. 27, 2007 | Rydex ETF Trust, et al. (Notice) |
| 812-13387 | IC-27958 | Aug. 28, 2007 | Rydex ETF Trust, et al. (Notice) |
| 812-13337 | IC-27703 | Feb. 20, 2007 | Rydex ETF Trust, et al. (Notice) |
| 812-13390 | IC-28018 | Oct. 23, 2007 | Rydex ETF Trust, et al. (Order) |
| 812-13387 | IC-27981 | Sep. 25, 2007 | Rydex ETF Trust, et al. (Order) |
| 812-13337 | IC-27754 | Mar. 20, 2007 | Rydex ETF Trust, Rydex Distributors, Inc. and PADCO Advisors II, Inc. (Order) |
| 812-13685 | IC-29179 | Mar. 23, 2010 | Rydex Series Funds, et al. (Notice) |
| 812-13685 | IC-29212 | Apr. 20, 2010 | Rydex Series Funds, et al. (Order) |
S | |||
| File No. | Release No. | Date | Investment Company |
| 813-284 | IC-27747 | Mar. 5, 2007 | SA Investment Partnership LLC, et al. (Notice) |
| 813-284 | IC-27774 | Apr. 2, 2007 | SA Investment Partnership LLC, et al. (Order) |
| 812-14792 | IC-32806 | Aug. 31, 2017 | Sage Advisory Services LTD Co. and Northern Lights Fund Trust IV (Order) |
| 812-14792 | IC-32774 | Aug. 4, 2017 | Sage Advisory Services LTD Co. and Northern Lights Fund Trust IV (Notice) |
| 812-14035 | IC-30439 | Mar. 28, 2013 | Sage Quant Management LLC, et al. (Notice) |
| 812-14035 | IC-30476 | Apr. 23, 2013 | Sage Quant Management LLC, et al. (Order) |
| 812-13974 | IC-30254 | Oct. 31, 2012 | Salient Advisors, L.P. and MarketShares ETF Trust (Notice) |
| 812-13974 | IC-30281 | Nov. 27, 2012 | Salient Advisors, L.P. and MarketShares ETF Trust (Order) |
| 812-14847 | IC-33007 | Feb. 21, 2018 | Salt Financial, LLC, et al. (Order) |
| 812-14847 | IC-32974 | Jan. 23, 2018 | Salt Financial, LLC, et al. (Notice) |
| 812-14351 | IC-31495 | Mar. 3, 2015 | The Saratoga Advantage Trust (Order) |
| 812-14351 | IC-31447 | Feb. 5, 2015 | The Saratoga Advantage Trust and James Alpha Management, LLC (Notice) |
| 812-14022 | IC-30145 | Jul. 23, 2012 | Saratoga Investment Corp., et al. (Notice) |
| 812-14022 | IC-30171 | Aug. 20, 2012 | Saratoga Investment Corp., et al. (Order) |
| 812-13467 | IC-28133 | Jan. 24, 2008 | Schroder Series Trust, et al. (Notice) |
| 812-13467 | IC-28167 | Feb. 25, 2008 | Schroder Series Trust, et al. (Order) |
| 812-13753 | IC-29176 | Mar. 17, 2010 | SeaCo Ltd. (Notice) |
| 812-13753 | IC-29206 | Apr. 9, 2010 | SeaCo Ltd. (Order) |
| 812-13952 | IC-29879 | Dec. 8, 2011 | Seasons Series Trust, et al. (Notice) |
| 812-13952 | IC-29914 | Jan. 4, 2012 | Seasons Series Trust, et al. (Order) |
| 812-13952 | IC-29914 | Jan. 4, 2012 | Seasons Series Trust, et al. (Order) |
| 812-14091 | IC-30354 | Jan. 22, 2013 | Securian Funds Trust, et al. (Notice) |
| 812-14091 | IC-30387 | Feb. 19, 2013 | Securian Funds Trust, et al. (Order) |
| 812-13929 | IC-29884 | Dec. 14, 2011 | SEI Investments Management Corporation et al. (Order) |
| 812-13929 | IC-29866 | Nov. 18, 2011 | SEI Investments Management Corporation, et al. (Notice) |
| 812-13353 | IC-27921 | Aug. 3, 2007 | Sentinel Variable Products Trust and Sentinel Asset Management, Inc. (Notice) |
| 812-13353 | IC-27959 | Aug. 29, 2007 | Sentinel Variable Products Trust, et al. (Order) |
| 812-14641 | IC-32325 | Oct. 24, 2016 | SerenityShares Investments LLC, et al. (Order) |
| 812-14641 | IC-32283 | Sep. 26, 2016 | SerenityShares Investments LLC, et al. (Notice) |
| 812-14717 | IC-32684 | Jun. 20, 2017 | Series Portfolios Trust and Highmore Group Advisors, LLC (Order) |
| 812-14717 | IC-32660 | May 24, 2017 | Series Portfolios Trust and Highmore Group Advisors, LLC (Notice) |
| 812-14759 | IC-32799 | Aug. 28, 2017 | Sharespost 100 Fund and SP Investments Management, LLC (Order) |
| 812-14759 | IC-32768 | Jul. 31, 2017 | Sharespost 100 Fund and SP Investments Management, LLC (Notice) |
| 812-13559 | IC-29127 | Jan. 29, 2010 | ShariahShares Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13559 | IC-29130 | Feb. 22, 2010 | ShariahShares Exchange-Traded Fund Trust, et al. (Order) |
| 812-14713 | IC-32670 | Jun. 6, 2017 | Sierra Total Return Fund, et al. (Order) |
| 812-14713 | IC-32632 | May 10, 2017 | Sierra Total Return Fund, et al. (Notice) |
| 812-14046 | IC-30559 | Jun. 14, 2013 | Sigma Investment Advisors, LLC, et al. (Notice) |
| 812-14046 | IC-30597 | Jul. 10, 2013 | Sigma Investment Advisors, LLC, et al. (Order) |
| 813-264 | IC-27770 | Mar. 27, 2007 | Silas Partners I, LLC et al. (Notice) |
| 813-264 | IC-27782 | Apr. 24, 2007 | Silas Partners I, LLC, et al. (Order) |
| 812-13801 | IC-29629 | Apr. 19, 2011 | Simple Alternatives, LLC (Order) |
| 812-13801 | IC-29616 | Mar. 24, 2011 | Simple Alternatives, LLC and The RBB Fund, Inc. (Notice) |
| 812-13944 | IC-29817 | Sep. 22, 2011 | The Singapore Fund, Inc. (Notice) (Comments received are available.) |
| 812-13944 | IC-29880 | Dec. 8, 2011 | The Singapore Fund, Inc. (Order) |
| 813-194 | IC-30091 | May 31, 2012 | SK Private Investment Fund 1998 LLC et al. (Order) |
| 813-194 | IC-30060 | May 4, 2012 | SK Private Investment Fund 1998 LLC, et al. (Notice) |
| 812-14828 | IC-33193 | Aug. 6, 2018 | SL Advisors, LLC and ETF Series Solutions (Order) |
| 812-14828 | IC-33158 | Jul. 11, 2018 | SL Advisors, LLC and ETF Series Solutions (Notice) |
| 812-14802 | IC-32832 | Sep. 26, 2017 | SL Advisors, LLC, et al. (Order) |
| 812-14802 | IC-32801 | Aug. 30, 2017 | SL Advisors, LLC, et al. (Notice) |
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| 812-14735 | IC-32638 | May 17, 2017 | Solar Capital Ltd., et al. (Notice) |
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| 812-14195 | IC-31143 | Jul. 1, 2014 | Solar Capital Ltd., et al. (Notice) |
| 812-13372 | IC-27963 | Aug. 31, 2007 | SPA ETF Trust and SPA ETF Inc. (Notice) |
| 812-13372 | IC-27983 | Sep. 26, 2007 | SPA ETF Trust and SPA ETF Inc. (Order) |
| 812-14512 | IC-31917 | Nov. 24, 2015 | SPDR® Series Trust, et al. (Order) |
| 812-14512 | IC-31884 | Oct. 28, 2015 | SPDR® Series Trust, et al. (Notice) |
| 811-07528 | IC-31213 | Aug. 15, 2014 | Special Opportunities Fund, Inc. (Order) |
| 811-07528 | IC-30647 | Aug. 8, 2013 | Special Opportunities Fund, Inc. (Notice) See also Application |
| 812-14397 | IC-32601 | Apr. 18, 2017 | Spinnaker ETF Trust, et al. (Order) |
| 812-14397 | IC-32568 | Mar. 22, 2017 | Spinnaker ETF Trust, et al. (Notice) |
| 812-14872 | IC-33155 | Jul. 10, 2018 | Sprott ETF Trust and Sprott Asset Management USA Inc. (Order) |
| 812-14872 | IC-33123 | Jun. 15, 2018 | Sprott ETF Trust and Sprott Asset Management USA Inc. (Notice) |
| 812-14871 | IC-33138 | Jun. 28, 2018 | Sprott ETF Trust and Sprott Asset Management USA Inc. (Order) |
| 812-14871 | IC-33112 | Jun. 1, 2018 | Sprott ETF Trust and Sprott Asset Management USA Inc. (Notice) |
| 812-14437 | IC-31592 | May 4, 2015 | Sprott Focus Trust, Inc. and Sprott Asset Management LP (Order) |
| 812-14437 | IC-31548 | Apr. 7, 2015 | Sprott Focus Trust, Inc. and Sprott Asset Management LP (Notice) |
| 812-13953 | IC-31301 | Oct. 21, 2014 | Spruce ETF Trust, et al. (Notice) |
| 812-13953 | IC-31337 | Nov. 14, 2014 | Spruce ETF Trust, et al. (Order) |
| 812-13961 | IC-31412 | Jan. 13, 2015 | SSgA Funds Management, Inc., El Al. (Order) |
| 812-13961 | IC-31384 | Dec. 18, 2014 | SSgA Funds Management, Inc., et al. (Notice) |
| 812-14291 | IC-31278 | Oct. 7, 2014 | SSgA Master Trust SSgA Funds Management, Inc. (Order) |
| 812-13487 | IC-29499 | Nov. 17, 2010 | SSgA Funds Management, Inc., et al. (Notice) |
| 812-13356 | IC-27809 | Apr. 30, 2007 | SSgA Funds Management, Inc., et al. (Notice) |
| 812-13487 | IC-29524 | Dec. 13, 2010 | SSgA Funds Management, Inc., et al. (Order) |
| 812-13356 | IC-27839 | May 25, 2007 | SSgA Funds Management, Inc., et al. (Order) |
| 812-14291 | IC-31249 | Sep. 11, 2014 | SSgA Mastertrust and SSgA Funds Management, Inc. (Notice) |
| 812-14630 | IC-32282 | Sep. 26, 2016 | Starboard Investment Trust and Cavalier Investments, Inc. (Order) |
| 812-14630 | IC-32241 | Aug. 29, 2016 | Starboard Investment Trust and Cavalier Investments, Inc (Notice) |
| 812-14170 | IC-31647 | May 27, 2015 | Starboard Investment Trust and Foliometrix, LLC (Order) |
| 812-14170 | IC-31587 | Apr. 30, 2015 | Starboard Investment Trust and Foliometrix, LLC (Notice) |
| 812-14558 | IC-32357 | Nov. 10, 2016 | State Farm Associates' Funds Trust, et al. (Order) |
| 812-14558 | IC-31988 | Feb. 8, 2016 | State Farm Associates' Funds Trust, et al. (Notice) |
| 812-14725 | IC-32897 | Nov. 7, 2017 | Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC (Order) |
| 812-14725 | IC-32860 | Oct. 12, 2017 | Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC (Notice) |
| 812-14314 | IC-31186 | Jul. 24, 2014 | Steben Alternative Investment Funds and Steben & Company, Inc. (Notice) |
| 812-14314 | IC-31215 | Aug. 19, 2014 | Steben Alternative Investment Funds and Steben & Company, Inc. (Order) |
| 812-14144 | IC-31029 | Apr. 25, 2014 | Steben Select Multi-Strategy Fund and Steben & Company, Inc. (Notice) |
| 812-14144 | IC-31052 | May 21, 2014 | Steben Select Multi-Strategy Fund and Steben & Company, Inc. (Order) |
| 812-13793 | IC-30070 | May 23, 2012 | Steel Partners Holdings L.P. (Order) |
| 812-13793 | IC-30056 | Apr. 27, 2012 | Steel Partners Holdings L.P. (Notice) |
| 812-14061 | IC-30739 | Sep. 30, 2013 | Stellus Capital Investment Corporation, et al. (Notice) |
| 812-14061 | IC-30754 | Oct. 23, 2013 | Stellus Capital Investment Corporation, et al. (Order) |
| 812-14249 | IC-31160 | Jul. 17, 2014 | Stellus Capital Investment Corporation, et al. (Notice) |
| 812-14249 | IC-31206 | Aug. 12, 2014 | Stellus Capital Investment Corporation et al. (Order) |
| 813-306 | IC-27843 | May 29, 2007 | Stephens Inc., et al. (Notice) |
| 813-306 | IC-27875 | Jun. 26, 2007 | Stephens, Inc., et al. (Order) |
| 812-13834 | IC-29713 | Jul. 1, 2011 | Sterling Capital Funds and Sterling Capital Management LLC (Notice) |
| 812-13834 | IC-29738 | Jul. 26, 2011 | Sterling Capital Funds and Sterling Capital Management LLC (Order) |
| 813-310 | IC-30475 | Apr. 23, 2013 | Stetson Capital Fund LP and Davis Polk & Wardwell LLP (Order) |
| 813-310 | IC-30438 | Mar. 27, 2013 | Stetson Capital Fund LP and Davis Polk & Wardwell LLP (Notice) |
| 812-14721 | IC-32408 | Jan. 4, 2017 | Stifel, Nicolaus & Company, Inc., et al. (Order) |
| 812-14721 | IC-32379 | Dec. 6, 2016 | Stifel, Nicolaus & Company, Inc., et al. (Notice and Temporary Order) |
| 812-13867 | IC-29791 | Sep. 16, 2011 | Stone Harbor Emerging Markets Income Fund, et al. (Notice) |
| 812-13867 | IC-29834 | Oct. 12, 2011 | Stone Harbor Emerging Markets Income Fund, et al. (Order) |
| 812-13931 | IC-29784 | Sep. 7, 2011 | Stone Harbor Investment Partners LP, et al. (Notice) |
| 812-13931 | IC-29830 | Oct. 4, 2011 | Stone Harbor Investment Partners LP, et al. (Order) |
| 812-13712 | IC-29064 | Nov. 30, 2009 | Strategic Funds, Inc., et al. (Notice) |
| 812-13712 | IC-29097 | Dec. 23, 2009 | Strategic Funds, Inc., et al. (Order) |
| 812-14701 | IC-32522 | Mar. 7, 2017 | StrongVest ETF Trust, et al. (Order) |
| 812-14701 | IC-32471 | Feb. 7, 2017 | StrongVest ETF Trust, et al. (Notice) |
| 812-14700 | IC-32453 | Jan. 26, 2017 | StrongVest ETF Trust, et al. (Notice) |
| 812-14700 | IC-32507 | Feb. 22, 2017 | StrongVest ETF Trust, et al. (Order) |
| 812-13402 | IC-28570 | Dec. 23, 2008 | Sun Life Assurance Company of Canada (U.S.), et al. (Notice) |
| 812-13402 | IC-28607 | Jan. 22, 2009 | Sun Life Assurance Company of Canada (U.S.), et al. (Order) |
| 812-13282 | IC-27651 | Dec. 29, 2006 | Sun Life Assurance Company of Canada (U.S.), et al. (Notice) |
| 812-13282 | IC-27688 | Jan. 25, 2007 | Sun Life Assurance Company of Canada (U.S.), et al. (Order) |
| 812-13239 | IC-28578 | Jan. 6, 2009 | SunAmerica Focused Alpha Growth Fund, Inc., et al. (Notice) |
| 812-13239 | IC-28612 | Feb. 3, 2009 | SunAmerica Focused Alpha Growth Fund, Inc., et al. (Order) |
| 812-14226 | IC-31281 | Oct. 10, 2014 | SunAmerica Series Trust, et al. (Notice) |
| 812-14226 | IC-31331 | Nov. 5, 2014 | SunAmerica Series Trust, et al. (Order) |
| 812-13778 | IC-30046 | Apr. 24, 2012 | Sunwest Rollover Member LLC (Order) |
| 812-13778 | IC-30014 | Mar. 29, 2012 | Sunwest Rollover Member LLC (Notice) |
| 812-14518 | IC-32004 | Feb. 24, 2016 | Susa Registered Fund, L.L.C., et al. (Order) |
| 812-14518 | IC-31975 | Jan. 29, 2016 | Susa Registered Fund, L.L.C., et al. (Notice) |
| 812-14857 | IC-33099 | May 21, 2018 | The Swiss Helvetia Fund, Inc., et al. (Order) |
| 812-14857 | IC-33075 | Apr. 23, 2018 | The Swiss Helvetia Fund, Inc., et al. (Notice) | 812-14082 | IC-30353 | Jan. 22, 2013 | Symetra Life Insurance Company, et al. (Notice) |
| 812-14082 | IC-30386 | Feb. 19, 2013 | Symetra Life Insurance Company, et al. (Order) |
| 812-14081 | IC-30472 | Apr. 19, 2013 | Symetra Mutual Funds Trust, et al. (Notice) |
| 812-14081 | IC-30516 | May 14, 2013 | Symetra Mutual Funds Trust, et al. (Order) |
| 812-14175 | IC-30747 | Oct. 18, 2013 | Syntax Analytics, LLC and Syntax ETF Trust (Notice) |
| 812-14175 | IC-30782 | Nov. 13, 2013 | Syntax Analytics, LLC and Syntax ETF Trust (Order) |
| 812-14385 | IC-31590 | Apr. 30, 2015 | Syntax, LLC and Syntax ETF Trust (Notice) |
| 812-14385 | IC-31650 | May 27, 2015 | Syntax, LLC and Syntax ETF Trust (Order) |
T | |||
| File No. | Release No. | Date | Investment Company |
| 812-13726 | IC-30336 | Jan. 2, 2013 | T. Rowe Price Associates, Inc., T. Rowe Price Institutional Income Funds, Inc. and T. Rowe Price Investment Services, Inc. (Order) |
| 812-13726 | IC-30299 | Dec. 7, 2012 | T. Rowe Price Associates, Inc., et al. (Notice) |
| 812-14224 | IC-30901 | Jan. 31, 2014 | T. Rowe Price Global Allocation Fund, Inc. et al. (Notice) |
| 812-14224 | IC-30967 | Feb. 26, 2014 | T. Rowe Price Global Allocation Fund, Inc. et al. (Order) |
| 812-14798 | IC-32969 | Jan. 17, 2018 | TCG BDC, Inc., et al. (Order) |
| 812-14798 | IC-32945 | Dec. 20, 2017 | TCG BDC, Inc., et al. (Notice) |
| 812-14275 | IC-31670 | Jun. 15, 2015 | TCP Capital Corp., et al. (Notice) |
| 812-14275 | IC-31712 | Jul. 13, 2015 | TCP Capital Corp., et al. (Order) |
| 812-14561 | IC-32113 | May 11, 2016 | TCW Alternative Funds, et al. (Notice) |
| 812-14561 | IC-32141 | Jun. 7, 2016 | TCW Alternative Funds, et al. (Order) |
| 812-14765 | IC-33110 | May 30, 2018 | TCW Direct Lending LLC, et al. (Order) |
| 812-14765 | IC-33094 | May 9, 2018 | TCW Direct Lending LLC, et al. (Notice) |
| 812-14382 | IC-31589 | Apr. 30, 2015 | TCW Direct Lending LLC, et al. (Notice) |
| 812-14382 | IC-31649 | May 27, 2015 | TCW Direct Lending LLC, et al. (Order) |
| 812-14296 | IC-31296 | Oct. 20, 2014 | Tennenbaum Opportunities Fund V, LLC, et al. (Notice) |
| 812-14296 | IC-31358 | Nov. 25, 2014 | Tennenbaum Opportunities Fund V, LLC, et al. (Order) |
| 812-14645 | IC-32117 | May 18, 2016 | Terra Capital Partners, LLC, et al. (Order) |
| 812-14645 | IC-32097 | Apr. 26, 2016 | Terra Capital Partners, LLC, et al. (Notice) |
| 812-14452 | IC-32349 | Nov. 1, 2016 | Terra Income Fund 6, Inc., et al. (Order) |
| 812-14452 | IC-32303 | Oct. 4, 2016 | Terra Income Fund 6, Inc., et al. (Notice) |
| 812-14593 | IC-31943 | Dec. 16, 2015 | Third Avenue Trust and Third Avenue Management LLC (Notice and Temporary Order) |
| 812-14256 | IC-31899 | Nov. 10, 2015 | THL Credit, Inc., et al. (Notice) |
| 812-14256 | IC-31929 | Dec. 8, 2015 | THL Credit, Inc. (Order) |
| 812-13508 | IC-28252 | Apr. 24, 2008 | Thrivent Mutual Funds, et al. (Notice) |
| 812-13508 | IC-28267 | May 20, 2008 | Thrivent Mutual Funds, et al. (Order) |
| 812-14723 | IC-32814 | Sep. 12, 2017 | TIAA-CREF Funds, et al. (Order) |
| 812-14723 | IC-32779 | Aug. 15, 2017 | TIAA-CREF Funds, et al. (Notice) |
| 812-13995 | IC-31861 | Oct. 6, 2015 | TIAA-CREF Funds, et al. (Order) |
| 812-13995 | IC-31807 | Sep. 8, 2015 | TIAA-CREF Funds, et al. (Notice) |
| 812-13831 | IC-29707 | Jun. 24, 2011 | TIAA-CREF Funds, et al. (Notice) |
| 812-13831 | IC-29728 | Jul. 19, 2011 | TIAA-CREF Funds, et al. (Order) |
| 812-13563 | IC-28530 | Dec. 10, 2008 | TIAA-CREF Life Funds, et al. (Notice) |
| 812-13563 | IC-28577 | Jan. 6, 2009 | TIAA-CREF Life Funds, et al. (Order) |
| 812-13791 | IC-29687 | Jun. 1, 2011 | TIAA-CREF Life Insurance Company, et al. (Notice) |
| 812-13791 | IC-29600 | Mar. 22, 2011 | TIAA-CREF Life Insurance Company, et al. (Notice) |
| 812-13791 | IC-29709 | Jun. 28, 2011 | TIAA-CREF Life Insurance Company, et al. (Order) |
| 812-14707 | IC-32680 | Jun. 14, 2017 | TICC Capital Corp., et al. (Order) |
| 812-14707 | IC-32641 | May 19, 2017 | TICC Capital Corp., et al. (Notice) |
| 812-13363 | IC-28123 | Jan. 18, 2008 | The TIGERS Revenue Trust and VTL Associates, LLC (Notice) |
| 812-13363 | IC-28151 | Feb. 13, 2008 | The TIGERS Revenue Trust and VTL Associates, LLC (Order) |
| 812-14706 | IC-32579 | Mar. 28, 2017 | Tortoise Index Solutions, LLC, et al. (Order) |
| 812-14706 | IC-32512 | Feb. 27, 2017 | Tortoise Index Solutions, LLC, et al. (Notice) |
| 812-13862 | IC-29785 | Sep. 12, 2011 | Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Order) |
| 812-13862 | IC-29755 | Aug. 16, 2011 | Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Notice) |
| 812-14184 | IC-30859 | Jan. 15, 2014 | Total Income+ Real Estate Fund, et al. (Notice) |
| 812-14184 | IC-30912 | Feb. 11, 2014 | Total Income+ Real Estate Fund, et al. (Order) |
| 812-14612 | IC-32580 | Mar. 28, 2017 | Touchstone Investment Trust, et al. (Order) |
| 812-14612 | IC-32515 | Feb. 28, 2017 | Touchstone Investment Trust, et al. (Notice) |
| 813-350 | IC-28046 | Nov. 8, 2007 | Tower 21st Century Fund LLC, et al. (Notice) |
| 813-350 | IC-28072 | Dec. 4, 2007 | Tower 21st Century Fund, LLC, et al. (Order) |
| 812-13980 | IC-31338 | Nov. 18, 2014 | TPG Specialty Lending, Inc., et al. (Notice) |
| 812-13980 | IC-31379 | Dec. 16, 2014 | TPG Specialty Lending, Inc., et al. (Order) |
| 812-14489 | IC-32604 | Apr. 19, 2017 | Transamerica Advisors Life Insurance Company, et al. (Order) |
| 812-14489 | IC-32573 | Mar. 24, 2017 | Transamerica Advisors Life Insurance Company, et al. (Notice) |
| 812-14649 | IC-32743 | Jul. 26, 2017 | Transamerica ETF Trust, et al. (Order) |
| 812-14649 | IC-32718 | Jun. 30, 2017 | Transamerica ETF Trust, et al. (Notice) |
| 812-14487 | IC-32606 | Apr. 19, 2017 | Transamerica Financial Life Insurance Company, et al. (Order) |
| 812-14487 | IC-32571 | Mar. 24, 2017 | Transamerica Financial Life Insurance Company, et al. (Notice) |
| 812-14676 | IC-32424 | Jan. 18, 2017 | Transamerica Funds, et al. (Order) |
| 812-14676 | IC-32400 | Dec. 21, 2016 | Transamerica Funds, et al. (Notice) |
| 812-14490 | IC-32603 | Apr. 19, 2017 | Transamerica Life Insurance Company, et al. (Order) |
| 812-14488 | IC-32605 | Apr. 19, 2017 | Transamerica Life Insurance Company, et al. (Order) |
| 812-14490 | IC-32574 | Mar. 24, 2017 | Transamerica Life Insurance Company, et al. (Notice) |
| 812-14488 | IC-32572 | Mar. 24, 2017 | Transamerica Life Insurance Company, et al. (Notice) |
| 812-14133 | IC-30816 | Dec. 3, 2013 | Transamerica Life Insurance Company, et al. (Order) |
| 812-14133 | IC-30776 | Nov. 6, 2013 | Transamerica Life Insurance Company, et al. (Notice) |
| 812-13661 | IC-29410 | Sep. 3, 2010 | Transamerica Asset Management, Inc., et al. (Notice) |
| 812-13661 | IC-29447 | Sep. 28, 2010 | Transamerica Asset Management, Inc., et al. (Order) |
| 812-14121 | IC-30558 | Jun. 14, 2013 | Transparent Value Trust, et al. (Notice) |
| 812-14121 | IC-30596 | Jul. 10, 2013 | Transparent Value Trust, et al. (Order) |
| 812-14077 | IC-30432 | Mar. 21, 2013 | Triangle Capital Corporation (Order) |
| 812-13647 | IC-28692 | Apr. 13, 2009 | Triangle Capital Corporation (Notice) |
| 812-13447 | IC-28165 | Feb. 20, 2008 | Triangle Capital Corporation (Notice) |
| 812-13647 | IC-28718 | May 5, 2009 | Triangle Capital Corporation (Order) |
| 812-13447 | IC-28196 | Mar. 18, 2008 | Triangle Capital Corporation (Order) |
| 812-13771 | IC-29453 | Sep. 30, 2010 | Triangle Capital Corporation, et al. (Notice) |
| 812-13355 | IC-28383 | Sep. 19, 2008 | Triangle Capital Corporation, et al. (Notice) |
| 812-13771 | IC-29482 | Oct. 22, 2010 | Triangle Capital Corporation, et al. (Order) |
| 812-13355 | IC-28437 | Oct. 14, 2008 | Triangle Capital Corporation, et al. (Order) |
| 812-13465 | IC-29415 | Sep. 10, 2010 | Tri-Continental Corporation, et al. (Notice) |
| 812-13465 | IC-29457 | Oct. 5, 2010 | Tri-Continental Corporation, et al. (Order) |
| 812-14829 | IC-33192 | Aug. 6, 2018 | TriLine Index Solutions, LLC and ETF Series Solutions (Order) |
| 812-14829 | IC-33159 | Jul. 11, 2018 | TriLine Index Solutions, LLC and ETF Series Solutions (Notice) |
| 812-14750 | IC-32639 | May 17, 2017 | TriLine Index Solutions, et al. (Order) |
| 812-14750 | IC-32608 | Apr. 21, 2017 | TriLine Index Solutions, LLC, et al. (Notice) |
| 812-14848 | IC-33070 | Apr. 10, 2018 | Triloma EIG Energy Income Fund, et al. (Order) |
| 812-14848 | IC-33047 | Mar. 14, 2018 | Triloma EIG Energy Income Fund, et al. (Notice) |
| 812-14435 | IC-32730 | Jul. 11, 2017 | Triloma EIG Energy Income Fund, et al. (Order) |
| 812-14435 | IC-32679 | Jun. 13, 2017 | Triloma EIG Energy Income Fund, et al. (Notice) |
| 812-14429 | IC-32106 | May 5, 2016 | Triloma EIG Global Energy Fund, et al. (Notice) |
| 812-14429 | IC-32132 | May 31, 2016 | Triloma EIG Global Energy Fund, et al. (Order) |
| 812-14298 | IC-31165 | Jul. 22, 2014 | TrimTabs Asset Management, LLC, et al. (Notice) |
| 812-14298 | IC-31214 | Aug. 19, 2014 | TrimTabs Asset Management, LLC, et al. (Order) |
| 812-14661 | IC-32208 | Aug. 4, 2016 | TrimTabs ETF Trust, et al. (Notice) |
| 812-14661 | IC-32244 | Aug. 30, 2016 | TrimTabs ETF Trust, et al. (Order) |
| 812-14773 | IC-33037 | Feb. 28, 2018 | TriplePoint Venture Growth BDC Corp., et al. (Notice) |
| 812-14773 | IC-33060 | Mar. 28, 2018 | TriplePoint Venture Growth BDC Corp., et al. (Order) |
| 812-14122 | IC-31856 | Sep. 30, 2015 | Triton Pacific Investment Corporation, Inc., et al. (Notice) |
| 812-14838 | IC-33197 | Aug. 9, 2018 | Thrivent Financial for Lutherans, et al. (Notice) |
| 812-14354 | IC-31543 | Apr. 1, 2015 | Trust for Professional Managers and William Blair & Company, L.L.C. (Notice) |
| 812-14354 | IC-31584 | Apr. 28, 2015 | Trust for Professional Managers and William Blair & Company, L.L.C. (Order) |
| 812-14113 | IC-30460 | Apr. 12, 2013 | Trust for Professional Managers and Aurora Investment Management L.L.C. (Notice) |
| 812-14113 | IC-30510 | May 8, 2013 | Trust for Professional Managers and Aurora Investment Management L.L.C. (Order) |
| 812-14349 | IC-31464 | Feb. 23, 2015 | Trust for Professional Managers and William Blair & Company, L.L.C. (Order) |
| 812-14349 | IC-31435 | Jan. 28, 2015 | Trust for Professional Managers and William Blair & Company L.L.C. (Notice) |
| 812-14012 | IC-30235 | Oct. 18, 2012 | Trust for Professional Managers, et al. (Notice) |
| 812-14012 | IC-30263 | Nov. 14, 2012 | Trust for Professional Managers , et al. (Order) |
| 812-13514 | IC-28382 | Sep. 19, 2008 | Trust for Professional Managers, et al. (Notice) |
| 812-13514 | IC-28439 | Oct. 15, 2008 | Trust for Professional Managers, et al. (Order) |
| 812-13408 | IC-27995 | Sep. 26, 2007 | Trust for Professional Managers, et al. (Order) |
| 812-13408 | IC-27964 | Aug. 31, 2007 | Trust for Professional Managers, Inc., et al. (Notice) |
| 812-14054 | IC-30449 | Apr. 4, 2013 | TSC Distributors LLC and TSC UITS (Notice) |
| 812-14054 | IC-30501 | Apr. 30, 2013 | TSC Distributors LLC and TSC UITS (Order) |
| 813-359 | IC-29409 | Sep. 3, 2010 | Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Notice) |
| 813-359 | IC-29449 | Sep. 29, 2010 | Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Order) |
| 812-14514 | IC-32101 | May 3, 2016 | Türkiye Sinai Kalkinma Bankasi A.S. (Order) |
| 812-14514 | IC-32066 | Apr. 6, 2016 | Türkiye Sinai Kalkinma Bankasi A.S. (Notice) |
| 813-332 | IC-28528 | Dec. 9, 2008 | TWB Investment Partnership, L.P., et al. (Notice) |
| 813-332 | IC-28576 | Jan. 6, 2009 | TWB Investment Partnership, L.P., et al. (Order) |
U | |||
| File No. | Release No. | Date | Investment Company |
| 812-14404 | IC-31916 | Nov. 24, 2015 | U.S. Bank National Association (Order) |
| 812-14404 | IC-31886 | Oct. 29, 2015 | U.S. Bank National Association (Notice) |
| 812-13246 | IC-28264 | May 7, 2008 | U.S. Bank National Association FAF Advisors, Inc. (Order) |
| 812-13246 | IC-28238 | Apr. 16, 2008 | U.S. Bank National Association, et al. (Notice) |
| 812-14869 | IC-33118 | Jun. 5, 2018 | U.S. Global Investors, Inc. et al. (Order) |
| 812-14869 | IC-33092 | May 9, 2018 | U.S. Global Investors, Inc. et al. (Notice) |
| 812-14451 | IC-31905 | Nov. 18, 2015 | U.S. Global Investors, Inc., et al. (Notice) |
| 812-14188 | IC-30723 | Sep. 25, 2013 | U.S. Global Investors, Inc., et al. (Notice) |
| 812-14188 | IC-30755 | Oct. 23, 2013 | U.S. Global Investors ETF Trust, et al. (Order) |
| 812-13658-01 | IC-29128 | Feb. 2, 2010 | U.S. One, Inc. and U.S. One Trust (Notice) |
| 812-13658-01 | IC-29164 | Mar. 1, 2010 | U.S. One, Inc. and U.S. One Trust (Order) |
| 812-14469 | IC-31673 | Jun. 16, 2015 | The Royal Bank of Scotland plc, et al. (Order) |
| 812-14465 | IC-31672 | Jun. 16, 2015 | UBS AG, et al. (Order) |
| 812-14465 | IC-31612 | May 20, 2015 | UBS AG, et al. (Notice) |
| 813-336 | IC-31019 | Apr. 17, 2014 | UBS AG, et al. (Notice) |
| 813-336 | IC-31042 | May 13, 2014 | UBS AG, et al. (Order) |
| 812-14105 | IC-30311 | Dec. 19, 2012 | UBS AG, et al. (Temporary Order) |
| 812-14105 | IC-30383 | Feb. 15, 2013 | UBS AG, et al. (Notice and Temporary Order) |
| 812-14105 | IC-30424 | Mar. 13, 2013 | UBS AG, et al. (Order) |
| 812-13902 | IC-29666 | May 9, 2011 | UBS AG, et al. (Notice and Temporary Order) |
| 812-13645 | IC-28652 | Mar. 19, 2009 | UBS AG, et al. (Notice and Temporary Order) |
| 812-13902 | IC-29690 | Jun. 6, 2011 | UBS AG, et al. (Order) |
| 812-13645 | IC-28695 | Apr. 14, 2009 | UBS AG, et al. (Order) |
| 812-14727 | IC-32594 | Apr. 5, 2017 | UBS ETMF Trust, et al. (Order) |
| 812-14727 | IC-32529 | Mar. 10, 2017 | UBS ETMF Trust, et al. (Notice) |
| 812-13453 | IC-28080 | Dec. 19, 2007 | The UBS Funds, et al. (Notice) |
| 812-13453 | IC-28122 | Jan. 16, 2008 | The UBS Funds, et al. (Order) |
| 812-13609 | IC-28569 | Dec. 23, 2008 | UBS Securities LLC, et al. (Notice and Temporary Order) |
| 812-13609 | IC-28606 | Jan. 16, 2009 | UBS Securities LLC, et al. (Order) |
| 812-13450 | IC-28071 | Nov. 30, 2007 | Unified Series Trust and Envestnet Asset Management, Inc. (Notice) |
| 812-13450 | IC-28117 | Dec. 27, 2007 | Unified Series Trust, et al. (Order) |
| 812-14693 | IC-32525 | Mar. 7, 2017 | USAA Asset Management Company, et al. (Order) |
| 812-14693 | IC-32474 | Feb. 9, 2017 | USAA Asset Management Company, et al. (Notice) |
| 812-14140 | IC-30891 | Jan. 23, 2014 | USAA Asset Management Company, et al. (Notice) |
| 812-14140 | IC-30921 | Feb. 19, 2014 | USAA Asset Management Company, et al. (Order) |
| 812-14692 | IC-32576 | Mar. 27, 2017 | USAA ETF Trust, et al. (Order) |
| 812-14692 | IC-32511 | Feb. 27, 2017 | USAA ETF Trust, et al. (Notice) |
| 812-14277 | IC-31133 | Jun. 25, 2014 | USCF Equity Trust, et al. (Notice) |
| 812-14277 | IC-31163 | Jul. 22, 2014 | USCF Equity Trust, et al. (Order) |
| 812-14340 | IC-32889 | Oct. 31, 2017 | USCF Fund Advisors, LLC, et al. (Order) |
| 812-14340 | IC-32851 | Oct. 4, 2017 | USCF Fund Advisors, LLC, et al. (Notice) |
| 812-14733 | IC-32798 | Aug. 28, 2017 | USQ Core Real Estate Fund and Union Square Capital Partners, LLC (Order) |
| 812-14733 | IC-32767 | Jul. 31, 2017 | USQ Core Real Estate Fund and Union Square Capital Partners, LLC (Notice) |
V | |||
| File No. | Release No. | Date | Investment Company |
| 812-14805 | IC-33002 | Feb. 6, 2018 | Validea Capital Management, ETF Series Solutions, and Quasar Distributors LLC (Order) |
| 812-14805 | IC-32952 | Dec. 26, 2017 | Validea Capital Management, LLC, et al. (Notice) |
| 812-14322 | IC-31277 | Oct. 7, 2014 | Validea Capital Management, LLC, et al. (Order) |
| 812-14322 | IC-31246 | Sep. 9, 2014 | Validea Capital Management, LLC, et al. (Notice) |
| 812-13951 | IC-31071 | Jun. 4, 2014 | Valmark Advisers, Inc. and Northern Lights Variable Trust (Notice) |
| 812-13951 | IC-31142 | Jul. 1, 2014 | Valmark Advisers, Inc. and Northern Lights Variable Trust (Order) |
| 812-14400 | IC-31547 | Apr. 6, 2015 | Van Eck Associates Corporation, et al. (Notice) |
| 812-14400 | IC-31596 | May 6, 2015 | Van Eck Associates Corporation, et al. (Order) |
| 812-13624 | IC-29455 | Oct. 1, 2010 | Van Eck Associates Corporation, et al. (Notice) |
| 812-13605 | IC-29459 | Oct. 7, 2010 | Van Eck Associates Corporation, et al. (Notice) |
| 812-13507 | IC-28349 | Jul. 31, 2008 | Van Eck Associates Corporation, et al. (Notice) |
| 812-13426 | IC-28007 | Sep. 28, 2007 | Van Eck Associates Corporation, et al. (Notice) |
| 812-13339 | IC-27694 | Jan. 31, 2007 | Van Eck Associates Corporation, et al. (Notice) |
| 812-13624 | IC-29490 | Oct. 26, 2010 | Van Eck Associates Corporation, et al. (Order) |
| 812-13605 | IC-29496 | Nov. 3, 2010 | Van Eck Associates Corporation, et al. (Order) |
| 812-13507 | IC-28365 | Aug. 25, 2008 | Van Eck Associates Corporation, et al. (Order) |
| 812-13426 | IC-28021 | Oct. 24, 2007 | Van Eck Associates Corporation, et al. (Order) |
| 812-13339 | IC-27742 | Feb. 27, 2007 | Van Eck Associates Corporation, Market Vectors ETF Trust, and Van Eck Securities Corporation (Order) |
| 812-13740 | IC-30252 | Oct. 25, 2012 | Van Eck Funds, et al. (Notice) |
| 812-13740 | IC-30279 | Nov. 23, 2012 | Van Eck Funds, et al. (Order) |
| 812-13846 | IC-30063 | May 10, 2012 | Van Eck VIP Trust, et al. (Notice) |
| 812-13846 | IC-30096 | June 5, 2012 | Van Eck VIP Trust, et al. (Order) |
| 812-13304 | IC-27820 | May 9, 2007 | Van Eck Worldwide Insurance Trust, et al. (Notice) |
| 812-13304 | IC-27849 | Jun. 1, 2007 | Van Eck Worldwide Insurance Trust, et al. (Order) |
| 812-13506 | IC-28406 | Sep. 25, 2008 | Van Kampen Retirement Strategy Trust, et al. (Notice) |
| 812-13506 | IC-28440 | Oct. 17, 2008 | Van Kampen Retirement Strategy Trust, et al. (Order) |
| 812-13597 | IC-31044 | May 13, 2014 | Vanguard Admiral Funds, et al. (Order) |
| 812-13597 | IC-31021 | Apr. 17, 2014 | Vanguard Admiral Funds, et al. (Notice) |
| 812-13336 | IC-27750 | Mar. 9, 2007 | Vanguard Bond Index Funds, et al. (Notice) |
| 812-13336 | IC-27773 | Apr. 2, 2007 | Vanguard Bond Index Funds, et al. (Order) |
| 812-14691 | IC-32852 | Oct. 4, 2017 | The Vanguard Group, Inc., et al. (Order) |
| 812-14691 | IC-32810 | Sep. 8, 2017 | The Vanguard Group, Inc., et al. (Notice) |
| 812-13412 | IC-28009 | Sep. 28, 2007 | Vanguard STAR Funds, et al. (Notice) |
| 812-13412 | IC-28024 | Oct. 24, 2007 | Vanguard STAR Funds, et al. (Order) |
| 812-14108 | IC-30700 | Sep. 24, 2013 | Variable Insurance Trust, et al. (Notice) |
| 812-14108 | IC-30749 | Oct. 22, 2013 | Variable Insurance Trust, et al. (Order) |
| 812-14008 | IC-30103 | Jun. 14, 2012 | Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC (Notice) |
| 812-14008 | IC-30133 | Jul. 10, 2012 | Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC (Order) |
| 812-14716 | IC-32766 | Jul. 31, 2017 | Vertical Capital Income Fund and Oakline Advisors, LLC, (Order) |
| 812-14716 | IC-32723 | Jul. 3, 2017 | Vertical Capital Income Fund and Oakline Advisors, LLC (Notice) |
| 812-14409 | IC-31493 | Mar. 3, 2015 | Victory Capital Management Inc., the Victory Portfolios, Victory Capital Advisers, Inc. (Order) |
| 812-14409 | IC-31444 | Feb. 3, 2015 | Victory Capital Management Inc., et al. (Notice) |
| 812-14495 | IC-31745 | Aug. 11, 2015 | Victory NextShares Trust, et al. (Notice) |
| 812-14495 | IC-31811 | Sep. 9, 2015 | Victory Nextshares Trust, et al. (Order) |
| 812-14719 | IC-32577 | Mar. 28, 2017 | Victory Portfolios, et al. (Order) |
| 812-14719 | IC-32519 | Mar. 2, 2017 | Victory Portfolios, et al. (Notice) |
| 812-14603 | IC-32425 | Jan. 18, 2017 | Virtus Alternative Solutions Trust, et al. (Order) |
| 812-14603 | IC-32398 | Dec. 21, 2016 | Virtus Alternative Solutions Trust, et al. (Notice) |
| 812-14538 | IC-32327 | Oct. 25, 2016 | Virtus Alternative Solutions Trust, et al. (Order) |
| 812-14538 | IC-32293 | Sep. 28, 2016 | Virtus Alternative Solutions Trust, et al. (Notice) |
| 812-14231 | IC-30986 | Mar. 19, 2014 | Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc. (Notice) |
| 812-14231 | IC-31014 | Apr. 15, 2014 | Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc. (Order) |
| 812-13751 | IC-29370 | Jul. 27, 2010 | Virtus Opportunities Trust, et al. (Notice) |
| 812-13751 | IC-29383 | Aug. 23, 2010 | Virtus Opportunities Trust, et al. (Order) |
| 812-14896 | IC-33185 | Jul. 31, 2018 | The Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC (Order) | 812-14896 | IC-33147 | Jul. 3, 2018 | Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC (Notice) |
| 812-14572 | IC-32288 | Sep. 27, 2016 | Voya ETF Trust, et al. (Order) |
| 812-14571 | IC-32287 | Sep. 27, 2016 | Voya ETF Trust, et al. (Order) |
| 812-14572 | IC-32248 | Aug. 30, 2016 | Voya ETF Trust, et al. (Notice) |
| 812-14571 | IC-32246 | Aug. 30, 2016 | Voya ETF Trust, et al. (Notice) |
| 812-14302 | IC-31599 | May 12, 2015 | Voya Retirement Insurance and Annuity Company, et al. (Order) |
| 812-14302 | IC-31552 | Apr. 15, 2015 | Voya Retirement Insurance and Annuity Company, et al. (Notice) |
| 812-14201 | IC-30815 | Dec. 2, 2013 | VTL Associates, LLC, et al. (Notice) |
| 812-14201 | IC-30849 | Dec. 30, 2013 | VTL Associates, LLC, et al. (Order) |
| 812-14200 | IC-30789 | Nov. 19, 2013 | VTL Associates, LLC, et al. (Order) |
W | |||
| File No. | Release No. | Date | Investment Company |
| 812-13632 | IC-28618 | Feb. 18, 2009 | Wachovia Securities, LLC, et al. (Notice and Temporary Order) |
| 812-13632 | IC-28648 | Mar. 17, 2009 | Wachovia Securities, LLC, et al. (Order) |
| 812-14832 | IC-33124 | Jun. 18, 2018 | Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC (Order) |
| 812-14832 | IC-33101 | May 21, 2018 | Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC (Notice) |
| 812-14176 | IC-30644 | Aug. 6, 2013 | Wells Fargo Bank, N.A., et al. (Notice and Temporary Order) |
| 812-14176 | IC-30685 | Sep. 4, 2013 | Wells Fargo Bank, N.A., et al. (Permanent Order) |
| 812-14176 | IC-30600 | Jul. 15, 2013 | Wells Fargo Bank, N.A., et al. (Temporary Order) |
| 812-14074 | IC-30210 | Sep. 21, 2012 | Wells Fargo Bank, N.A., et al. (Temporary Order) |
| 812-14074 | IC-30266 | Nov. 16, 2012 | Wells Fargo Bank, N.A., et al. (Notice and Temporary Order) |
| 812-14074 | IC-30303 | Dec. 12, 2012 | Wells Fargo Bank, N.A., et al. (Order) |
| 812-13987 | IC-29881 | Dec. 9, 2011 | Wells Fargo Bank, N.A. (Notice and Temporary Order) |
| 812-14599 | IC-32218 | Aug. 16, 2016 | Wells Fargo Bank, National Association, et al. (Notice) |
| 812-14599 | IC-32253 | Sep. 7, 2016 | Wells Fargo Bank, National Association, et al. (Order) |
| 812-14681 | IC-32869 | Oct. 24, 2017 | Wells Fargo Exchange-Traded Funds Trust, et al. (Order) |
| 812-14681 | IC-32836 | Sep. 27, 2017 | Wells Fargo Exchange-Traded Funds Trust, et al. (Notice) |
| 812-14323 | IC-31156 | Jul. 15, 2014 | Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust (Notice) |
| 812-14323 | IC-31205 | Aug. 12, 2014 | Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust (Order) |
| 812-14090 | IC-30830 | Dec. 13, 2013 | Wells Fargo Funds Trust, et al. (Notice) |
| 812-14090 | IC-30853 | Jan. 8, 2014 | Wells Fargo Funds Trust, et al. (Order) |
| 812-13967 | IC-30201 | Sep. 12, 2012 | Wells Fargo Funds Trust, et al. (Notice) |
| 812-13967 | IC-30231 | Oct. 10, 2012 | Wells Fargo Funds Trust, et al. (Order) |
| 812-13548 | IC-28482 | Oct. 31, 2008 | Wells Fargo Funds Trust, et al. (Notice) |
| 812-13548 | IC-28524 | Nov. 26, 2008 | Wells Fargo Funds Trust, et al. (Order) |
| 812-14728 | IC-32682 | Jun. 16, 2017 | Westcore Trust and Denver Investment Advisors LLC (Notice) |
| 812-14728 | IC-32732 | Jul. 12, 2017 | Westcore Trust and Denver Investment Advisors LLC (Order) |
| 812-14120 | IC-31080 | Jun. 12, 2014 | WhiteHorse Finance, Inc., et al. (Notice) |
| 812-14120 | IC-31152 | Jul. 8, 2014 | WhiteHorse Finance, Inc., et al. (Order) |
| 812-14817 | IC-32890 | Oct. 31, 2017 | Whitford Asset Management LLC, et al. (Order) |
| 812-14817 | IC-32853 | Oct. 4, 2017 | Whitford Asset Management, LLC, et al. (Notice) |
| 812-14534 | IC-31896 | Nov. 5, 2015 | Wildermuth Endowment Strategy Fund, et al. (Notice) |
| 812-14534 | IC-31922 | Dec. 1, 2015 | Wildermuth Endowment Strategy Fund, et al. (Order) |
| 813-274 | IC-28700 | Apr. 22, 2009 | William Blair & Company, L.L.C. and Wilblairco II, L.L.C. (Notice) |
| 813-274 | IC-28727 | May 20, 2009 | William Blair & Company, L.L.C., Wilblairco II, L.L.C. (Order) |
| 812-13871 | IC-30314 | Dec. 21, 2012 | William Blair & Company, L.L.C. and William Blair Funds (Order) |
| 812-13871 | IC-30285 | Nov. 29, 2012 | William Blair & Company, L.L.C. and William Blair Funds (Notice) |
| 812-14350 | IC-31456 | Feb. 12, 2015 | Wilshire Mutual Funds, Inc., et al. (Order) |
| 812-14350 | IC-31381 | Dec. 16, 2014 | Wilshire Mutual Funds, Inc., et al. (Notice) |
| 812-13272 | IC-27751 | Mar. 15, 2007 | Wilshire Variable Insurance Trust and Wilshire Associates Incorporated (Order) |
| 812-13272 | IC-27701 | Feb. 16, 2007 | Wilshire Variable Insurance Trust, et al. (Notice) |
| 813-374 | IC-30374 | Jan. 31, 2013 | WINCO Investment Partnership 2008 L.P. and Winstead PC (Notice) |
| 813-374 | IC-30407 | Feb. 26, 2013 | WINCO Investment Partnership 2008 L.P. and Winstead PC (Order) |
| 812-14694 | IC-32614 | Apr. 26, 2017 | Winton Diversified Opportunities Fund and Winton Capital US LLC (Order) |
| 812-14694 | IC-32585 | Mar. 30, 2017 | Winton Diversified Opportunities Fund and Winton Capital US LLC (Notice) |
| 812-13470 | IC-28147 | Feb. 6, 2008 | Wisdom Tree Trust, et al. (Notice) |
| 812-13733 | IC-29380 | Aug. 13, 2010 | WisdomTree Asset Management Inc, et al. (Notice) |
| 812-13642 | IC-28836 | Jul. 24, 2009 | WisdomTree Asset Management Inc. (Order) |
| 812-13733 | IC-29412 | Sep. 8, 2010 | WisdomTree Asset Management Inc., et al. (Order) |
| 812-13642 | IC-28804 | Jun. 29, 2009 | WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice) |
| 812-13458 | IC-28419 | Sep. 29, 2008 | WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice) |
| 812-13458 | IC-28471 | Oct. 27, 2008 | WisdomTree Asset Management, Inc. and WisdomTree Trust (Order) |
| 812-13650 | IC-28755 | Jun. 1, 2009 | WisdomTree Investments, Inc., et al. (Notice) |
| 812-13417 | IC-27976 | Sep. 21, 2007 | WisdomTree Investments, Inc., et al. (Notice) |
| 812-13650 | IC-28805 | Jun. 29, 2009 | WisdomTree Investments, Inc., et al. (Order) |
| 812-13417 | IC-28015 | Oct. 17, 2007 | WisdomTree Investments, Inc., et al. (Order) |
| 812-14238 | IC-30790 | Nov. 20, 2013 | WisdomTree Trust, et al. (Notice) |
| 812-14238 | IC-30826 | Dec. 11, 2013 | WisdomTree Trust, et al. (Order) |
| 812-13470 | IC-28174 | Feb. 27, 2008 | WisdomTree Trust, et al. (Order) |
| 812-13687 | IC-29202 | Apr. 2, 2010 | WNC Tax Credits 38, LLC, et al. (Notice) |
| 812-13687 | IC-29260 | Apr. 27, 2010 | WNC Tax Credits 38, LLC, et al. (Order) |
| 812-13885 | IC-29715 | Jul. 6, 2011 | WNC Tax Credits 40, LLC, et al. (Notice) |
| 812-13885 | IC-29742 | Aug. 2, 2011 | WNC Tax Credits 40, LLC, et al. (Order) |
| 813-365 | IC-28484 | Nov. 10, 2008 | Wortham Finance, L.P. et al. (Notice) |
| 813-365 | IC-28529 | Dec. 9, 2008 | Wortham Finance, L.P., et al. (Order) |
XYZ | |||
| File No. | Release No. | Date | Investment Company |
| 812-13449 | IC-28766 | Jun. 11, 2009 | X Exchange-Traded Funds, Inc., et al. (Notice) |
| 812-13449 | IC-28814 | Jul. 7, 2009 | X Exchange-Traded Funds, Inc., et al. (Order) |
| 812-13334 | IC-27783 | Apr. 25, 2007 | XTF Advisors Trust, et al. (Notice) |
| 812-13334 | IC-27825 | May 22, 2007 | XTF Advisors Trust, et al. (Order) |
| 812-13874 | IC-30306 | Dec. 17, 2012 | Yorkville ETF Trust and Yorkville ETF Advisors, LLC (Notice) |
| 812-13874 | IC-30349 | Jan. 14, 2013 | Yorkville ETF Trust and Yorkville ETF Advisers, LLC (Order) |
| 812-13224 | IC-27610 | Dec. 22, 2006 | Ziegler Exchange Traded Trust, et al. (Notice) |
| 812-13224 | IC-27664 | Jan. 18, 2007 | Ziegler Exchange Traded Trust, Ziegler Capital Management, LLC, B.C. Ziegler and Company (Order) |
| 812-13497 | IC-28441 | Oct. 20, 2008 | The Zweig Total Return Fund, Inc., et al. (Notice) |
| 812-13497 | IC-28485 | Nov. 17, 2008 | The Zweig Total Return Fund, Inc., et al. (Order) |
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