Investment Company Act Notices and Orders: Alphabetic Listing
This page lists notices and orders issued on or after January 1, 2007, relating to applications filed under the Investment Company Act. See Public Records and Information for instructions on obtaining paper copies of applications not filed electronically on EDGAR.
See also:
A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | XYZ
A | |||
File No. | Release No. | Date | Investment Company |
---|---|---|---|
812-15104 | IC-34091 | Nov. 10, 2020 | 361 Social Infrastructure Fund and 361 Infrastructure Partners, LLC (Order) |
812-15104 | IC-34051 | Oct. 15, 2020 | 361 Social Infrastructure Fund and 361 Infrastructure Partners, LLC (Notice) |
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) |
812-14997 | IC-34036 | Sep. 30, 2020 | 1WS Credit Income Fund, et al. (Order) |
812-14997 | IC-33959A | Sep. 4, 2020 | 1WS Credit Income Fund, et al. (Notice) |
812-14997 | IC-33959 | Jul. 28, 2020 | 1WS Credit Income Fund, et al. (Notice) |
812-15285 | IC-34806 | Jan. 13, 2023 | ACAP Strategic Fund, et al. (Order) |
812-15285 | IC-34777 | Dec. 16, 2022 | ACAP Strategic Fund, 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) |
812-14920 | IC-33321 | Dec. 11, 2018 | ABR Dynamic Funds, LLC, et al. (Order) |
812-14920 | IC-33295 | Nov. 14, 2018 | ABR Dynamic Funds, LLC, 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) |
812-15178 | IC-34191 | Feb. 9, 2021 | Activeshares ETF Trust, et al. (Order) |
812-15178 | IC-34172 | Jan. 12, 2021 | Activeshares ETF Trust, et al. (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) |
812-14954 | IC-33403 | Mar. 19, 2019 | Acquirers Funds, LLC, et al. (Order) |
812-14954 | IC-33380 | Feb. 21, 2019 | Acquirers Funds, LLC, et al. (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-33207 | Aug. 21, 2018 | Advisors Asset Management, Inc. and ETF Series Solutions (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) |
812-15166 | IC-34216 | Feb. 26, 2021 | The Advisors' Inner Circle Fund and Pathstone Family Office, LLC (Order) |
812-15166 | IC-34184 | Feb. 1, 2021 | The Advisors' Inner Circle Fund and Pathstone Family Office, LLC (Notice) |
812-15191 | IC-34268 | May 11, 2021 | The Advisors' Inner Circle Fund, Cambiar Investors, LLC, and Sei Investments Distribution Co. (Order) |
812-15191 | IC-34244 | Apr. 13, 2021 | The Advisors' Inner Circle Fund, Cambiar Investors, LLC and Sei Investments Distribution Co. (Notice) |
812-15231 | IC-34528 | Mar. 8, 2022 | Advisors Series Trust and Semper Capital Management, L.P. (Order) |
812-15231 | IC-34500 | Feb. 9, 2022 | Advisors Series Trust and Semper Capital Management, L.P. (Notice) |
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) |
812-15146 | IC-34131 | Dec. 8, 2020 | AdvisorShares Trust, et al. (Order) |
812-15146 | IC-34092 | Nov. 12, 2020 | Advisorshares Trust, et al. (Notice) |
812-15200 | IC-34430 | Dec. 1, 2021 | AFA Multi-Manager Credit Fund and Alternative Fund Advisors, LLC (Order) |
812-15200 | IC-34414 | Nov. 2, 2021 | AFA Multi-Manager Credit Fund and Alternative Fund Advisors, LLC (Notice) |
812-15280 | IC-34604 | Jun. 1, 2022 | AFC BDC Inc., et al. (Order) |
812-15280 | IC-34577 | May 3, 2022 | AFC BDC Inc., et al. (Notice) |
812-15291 | IC-34580 | May 11, 2022 | American General Life Insurance Company, et al. (Order) |
812-15291 | IC-34559 | Apr. 15, 2022 | AGL Separate Account VL-R, et al. (Notice) |
812-14912 | IC-33348 | Jan. 29, 2019 | Ai Funds, Inc. (formerly Embrace Capital LLC) and Deep A.I. ETF Trust (formerly Embrace ETF Trust) (Order) |
812-14912 | IC-33327 | Dec. 18, 2018 | Ai Funds, Inc. and Deep A.I. ETF Trust (Notice) |
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) |
812-15047 | IC-33850 | Apr. 22, 2020 | AIP Private Equity Opportunities Fund I A LP; Morgan Stanley AIP GP LP; WBPE Fund I, et al. (Order) |
812-15047 | IC-33818 | Mar. 16, 2020 | AIP Private Equity Opportunities Fund I A LP, et al. (Notice) |
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) |
812-15022 | IC-33621 | Sep. 10, 2019 | Alaia Capital, LLC and m+ ETF Trust (Order) |
812-15022 | IC-33580 | Jul. 30, 2019 | Alaia Capital, LLC and m+ ETF Trust (Notice) |
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) |
812-15117 | IC-33869 | May 19, 2020 | The Alger ETF Trust, et al. (Order) |
812-15117 | IC-33852 | Apr. 23, 2020 | The Alger ETF Trust, 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) |
812-15337 | IC-34616 | Jun. 14, 2022 | Allianz Global Investors U.S. LLC, et al. (Order) |
812-15337 | IC-34587 | May 17, 2022 | Allianz Global Investors U.S. LLC, et al. (Notice and Temporary Order) |
812-14722 | IC-34129 | Dec. 4, 2020 | Allianz Life Insurance Company of North America and Allianz Life Insurance Company of New York ("Allianz NY, et al. (Order) |
812-14722 | IC-33916 | Jul. 1, 2020 | Allianz Life Insurance Company of North America, et al (Order) |
812-14722 | IC-33721 | Dec. 20, 2019 | Allianz Life Insurance Company of North America, et al (Notice) See also: requests and additional information |
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) |
812-15277 | IC-34555 | Apr. 5, 2022 | Alpha Alternative Assets Fund and Alpha Growth Management LLC (Order) |
812-15277 | IC-34530 | Mar. 9, 2022 | Alpha Alternative Assets Fund and Alpha Growth Management LLC (Notice) |
812-15243 | IC-34532 | Mar. 15, 2022 | Alpha Architect ETF Trust and Empowered Funds, LLC (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) |
812-15243 | IC-34505 | Feb. 15, 2022 | Alpha Architect ETF Trust and Empowered Funds, LLC (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) |
812-15169 | IC-34181 | Jan. 21, 2021 | Alps ETF Trust, et al. (Order) |
812-15169 | IC-34149 | Dec. 22, 2020 | Alps ETF Trust, et al. (Notice) |
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) |
812-14894 | IC-33500 | Jun. 3, 2019 | ALPS Variable Investment Trust, et al. (Order) |
812-14894 | IC-33468 | May 7, 2019 | ALPS Variable Investment Trust, et al. (Notice) |
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) |
812-14959 | IC-33439 | Apr. 3, 2019 | American Beacon Sound Point Enhanced Income Fund, et al. (Order) |
812-14959 | IC-33393 | Mar. 8, 2019 | American Beacon Sound Point Enhanced Income Fund, et al. (Notice) |
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) |
812-15082 | IC-33862 | May 12, 2020 | American Century ETF Trust and American Century Investment Management, Inc. (Order) |
812-15082 | IC-33841 | Apr. 16, 2020 | American Century ETF Trust, et al. (Notice) |
812-15035 | IC-33620 | Sep. 10, 2019 | American Century ETF Trust, et al. (Order) |
812-15035 | IC-33590 | Aug. 14, 2019 | American Century ETF Trust, et al. (Notice) |
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) |
812-14822 | IC-33345 | Jan. 28, 2019 | American Fidelity Assurance Company, et al. (Order) |
812-14822 | IC-33309 | Nov. 29, 2018 | American Fidelity Assurance Company, et al. (Notice) |
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) |
812-15307 | IC-34803 | Jan. 11, 2023 | Fidelity Private Credit Fund., et al. (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) |
812-14626-01 | IC-33687 | Nov. 18, 2019 | AMG Pantheon Master Fund, LLC, et al. (Notice) |
812-14626-01 | IC-33714 | Dec. 13, 2019 | AMG Pantheon Master Fund, LLC, 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) |
812-15192 and 812-15192-01 | IC-34489 | Jan. 31, 2022 | Apollo Credit Management, LLC and Apollo Debt Solutions BDC (Order) |
812-15192 and 812-15192-01 | IC-34461 | Jan. 3, 2022 | Apollo Credit Management, LLC and Apollo Debt Solutions BDC (Notice) |
812-15015 | IC-34458 | Dec. 29, 2021 | Apollo Investment Corporation, et al. (Order) |
812-15015 | IC-34432 | Dec. 3, 2021 | Apollo Investment Corporation, et al. (Notice) |
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) |
812-14812 | IC-33346 | Jan. 28, 2019 | AQR Trust and AQR Capital Management, LLC (Order) |
812-14812 | IC-33343 | Dec. 21, 2018 | AQR Trust and AQR Capital Management, LLC (Notice) |
812-14811 | IC-33347 | Jan. 28, 2019 | AQR Trust and AQR Capital Management, LLC (Order) |
812-14811 | IC-33342 | Dec. 21, 2018 | AQR Trust and AQR Capital Management, LLC (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) |
812-15145 | IC-34055 | Oct. 20, 2020 | Arca U.S. Treasury Fund and Arca Capital Management, LLC (Order) |
812-15145 | IC-34026 | Sep. 24, 2020 | Arca U.S. Treasury Fund and Arca Capital Management, LLC (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) |
812-14892 | IC-33275 | Oct. 17, 2018 | Ares Credit and Income Trust and Ares Capital Management III LLC (Order) |
812-14892 | IC-33243 | Sep. 21, 2018 | Ares Credit and Income Trust and Ares Capital Management III LLC (Notice) |
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) |
812-15368 | IC-34722 | Sep. 30, 2022 | Ares Capital Corporation, et al. (Order) |
812-15368 | IC-34699 | Sep. 8, 2022 | Ares Capital Corporation, et al. (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) |
812-15051 | IC-33961 | Jul. 31, 2020 | Aspiriant Defensive Allocation Fund and Aspiriant LLC (Order) |
812-15051 | IC-33924 | Jul. 10, 2020 | Aspiriant Defensive Allocation Fund and Aspiriant LLC (Notice) |
812-15051 | IC-33893 | Jun. 15, 2020 | Aspiriant Defensive Allocation Fund and Aspiriant LLC (Notice) |
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) |
812-14862 | IC-33290 | Nov. 7, 2018 | Audax Credit BDC Inc., et al. (Order) |
812-14862 | IC-33270 | Oct. 12, 2018 | Audax Credit BDC Inc., et al. (Notice) |
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-33224 | Sep. 11, 2018 | AXA Equitable Life Insurance Company, 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) |
812-14968 | IC-33553 | Jul. 15, 2019 | Axonic Alternative Income Fund and Axonic Capital LLC (Order) |
812-14968 | IC-33508 | Jun. 13, 2019 | Axonic Alternative Income Fund and Axonic Capital LLC (Notice) |
812-15189 | IC-34261 | Apr. 30, 2021 | Azzad Funds and Azzad Asset Management, Inc. (Order) |
812-15189 | IC-34241 | Apr. 5, 2021 | Azzad Funds and Azzad Asset Management, Inc. (Notice) |
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) |
812-15222 | IC-34445 | Dec. 20, 2021 | Bain Capital Specialty Finance, Inc., et al. (Order) |
812-15222 | IC-34422 | Nov. 22, 2021 | Bain Capital Specialty Finance, Inc., et al. (Notice) |
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) |
812-14860 | IC-33279 | Oct. 23, 2018 | BC Partners Lending Corporation, et al. (Order) |
812-14860 | IC-33256 | Sep. 26, 2018 | BC Partners Lending Corporation, 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) |
812-14936 | IC-33297 | Nov. 19, 2018 | Beyond Advisers IC, et al. (Order) |
812-14936 | IC-33277 | Oct. 22, 2018 | Beyond Advisors IC, et al. (Notice) |
812-13394 | IC-27915 | Jul. 27, 2007 | The BISYS Group Inc., et al. (Order) |
812-14955 | IC-33515 | Jun. 20, 2019 | BlackRock Capital Investment Corporation, et al. (Order) |
812-14955 | IC-33480 | May 21, 2019 | BlackRock Capital Investment Corporation, et al. (Notice) |
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) |
812-14956 | IC-33437 | Apr. 2, 2019 | BlackRock Credit Strategies Fund, et al. (Order) |
812-14956 | IC-33388 | Mar. 5, 2019 | BlackRock Credit Strategies Fund, et al. (Notice) |
812-14497 | IC-32252 | Sep. 6, 2016 | BlackRock, et al. (Order) |
812-15133 | IC-34030 | Sep. 28, 2020 | Blackrock ETF Trust III, Blackrock Fund Advisors and Blackrock Investments, LLC (Order) |
812-15133 | IC-34000 | Aug. 31, 2020 | Blackrock ETF Trust III, et al. (Notice) |
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) |
812-15259 | IC-34558 | Apr. 14, 2022 | BlackRock Capital Investment Corporation, et al. (Order) |
812-15298 | IC-34639 | Jun. 28, 2022 | Blackrock Capital Investment Advisors, LLC and Blackrock Private Credit Fund (Order) |
812-15298 | IC-34606 | Jun. 2, 2022 | Blackrock Capital Investment Advisors, LLC and Blackrock Private Credit Fund (Notice) |
812-15259 | IC-34535 | Mar. 18, 2022 | BlackRock Capital Investment Corporation, 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) |
812-14967 | IC-33707 | Dec. 2, 2019 | Blackstone Alternative Alpha Fund, et al. (Notice) |
812-14967 | IC-33738 | Dec. 30, 2019 | Blackstone Alternative Alpha Fund, et al., (Order) |
812-15021 | IC-33720 | Dec. 18, 2019 | Blackstone Alternative Investment Funds, et al. (Order) |
812-15021 | IC-33703 | Nov. 22, 2019 | Blackstone Alternative Alpha Fund, et al. (Notice) |
812-15317 | IC-34612 | Jun. 7, 2022 | Blackstone Floating Rate Enhanced Income Fund, et al. (Order) |
812-15317 | IC-34581 | May 11, 2022 | Blackstone Floating Rate Enhanced Income Fund, et al. (Notice) |
812-15135 | IC-34427 | Nov. 29, 2021 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al., (Order) |
812-15135 | IC-34412 | Nov. 1, 2021 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Notice) |
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) |
812-15007 | IC-33748 | Jan. 21, 2020 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Notice) |
812-15007 | IC-33801 | Feb. 19, 2020 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (“Adviser”) (Order) |
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) |
812-14931 | IC-33294 | Nov. 13, 2018 | Blackstone Real Estate Income Fund, et al., (Order) |
812-14931 | IC-33271 | Oct. 16, 2018 | Blackstone Real Estate Income Fund, et al. (Notice) |
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) |
812-15162 | IC-34221 | Mar. 9, 2021 | Blue Tractor ETF Trust and Blue Tractor Group, LLC (Order) |
812-15162 | IC-34194 | Feb. 10, 2021 | Blue Tractor ETF Trust and Blue Tractor Group, LLC (Notice) |
812-14625 | IC-33682 | Nov. 14, 2019 | Blue Tractor ETF Trust and Blue Tractor Group, LLC (Notice) |
812-14625 | IC-33710 | Dec. 10, 2019 | Blue Tractor ETF Trust and Blue Tractor Group, LLC (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) |
812-15214 | IC-34344 | Jul. 26, 2021 | BNY Mellon Alcentra Opportunistic Global Credit Income Fund and BNY Mellon Investment Adviser, Inc. (Order) |
812-15214 | IC-34320 | Jun. 29, 2021 | BNY Mellon Alcentra Opportunistic Global Credit Income Fund and BNY Mellon Investment Adviser, Inc. (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) |
812-15258 | IC-34442 | Dec. 15, 2021 | Bow River Capital Evergreen Fund, and Bow River Asset Management LLC (Order) |
812-15258 | IC-34421 | Nov. 19, 2021 | Bow River Capital Evergreen Fund, et al. (Notice) |
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) |
812-15278 | IC-34456 | Dec. 29, 2021 | Bridge Builder Trust, et al. (Order) |
812-15278 | IC-34433 | Dec. 3, 2021 | Bridge Builder 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) |
812-13525 | IC-28716 | Apr. 28, 2009 | Bridgeway Capital Management, Inc. (Order) |
812-15310 | IC-34552 | Apr. 1, 2022 | Brighthouse Funds Trust I, et al. (Notice) |
812-15310 | IC-34572 | Apr. 27, 2022 | Brighthouse Funds Trust I, et al. (Order) |
812-15140 | IC-34220 | Mar. 4, 2021 | Brighthouse Life Insurance Company, et al. (Notice) |
812-15140 | IC-34239 | Mar. 30, 2021 | Brighthouse Life Insurance Company, et al. (Order) |
812-15287 | IC-34704 | Sep. 19, 2022 | Brightwood Capital Corporation I, et al., (Order) |
812-15287 | IC-34680 | Aug. 22, 2022 | Brightwood Capital Corporation I, Et Al (Notice) |
812-15293 | IC-34526 | Mar. 8, 2022 | Brinker Capital Destinations Trust (Order) |
812-15293 | IC-34501 | Feb. 10, 2022 | Brinker Capital Destinations Trust (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) |
812-14724 | 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) |
812-14928 | IC-33220 | Sep. 7, 2018 | Broadstone Real Estate Access Fund, et al. (Notice) |
812-14928 | IC-33258 | Sep. 28, 2018 | Broadstone Real Estate Access Fund, et al. (Order) |
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 |
812-15412 | IC-34801 | Jan. 10, 2023 | Cadre Horizon Fund, Inc., et al. (Notice) |
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) |
812-15131 | IC-34327 | Jul. 12, 2021 | Calamos-Avenue Opportunities Fund and Calamos Avenue Management, LLC (Order) |
812-15131 | IC-34300 | Jun. 14, 2021 | Calamos-Avenue Opportunities Fund and Calamos Avenue Management, LLC (Notice) |
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) |
812-15204 | IC-34454 | Dec. 27, 2021 | Calamos Hunt Alternative Income Fund, et al. (Order) |
812-15204 | IC-34428 | Nov. 30, 2021 | Calamos Hunt Alternative Income Fund, et al. (Notice) |
812-15173 | IC-34303 | Jun. 17, 2021 | Calamos Investment Trust and Calamos Advisors LLC (Order) |
812-15173 | IC-34273 | May 19, 2021 | Calamos Investment Trust, et al. (Notice) |
812-14993 | IC-33653 | Oct. 2, 2019 | Calvert Fund, et al. (Notice) |
812-14993 | IC-33680 | Oct. 29, 2019 | Calvert Fund, et al. (Order) |
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) |
812-15358 | IC-34789 | Dec. 22, 2022 | Cantor Fitzgerald Sustainable Infrastructure Fund and Cantor Fitzgerald Investment Advisors, L.P. (Order) |
812-15358 | IC-34758 | Nov. 22, 2022 | Cantor Fitzgerald Sustainable Infrastructure Fund and Cantor Fitzgerald Investment Advisors, L.P. (Notice) |
812-15225 | IC-34473 | Jan. 19, 2022 | Capital Group ETF Trust, et al. (Order) |
812-15225 | IC-34446 | Dec. 22, 2021 | Capital Group ETF Trust, et al. (Notice) |
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) |
812-15226 | IC-34706 | Sep. 20, 2022 | Capital Southwest Corporation (Order) |
812-15226 | IC-34688 | Aug. 25, 2022 | Capital Southwest Corporation (Notice) |
812-15219 | IC-34355 | Aug. 11, 2021 | Capital Southwest Corporation, et al. (Order) |
812-15219 | IC-34333 | Jul. 16, 2021 | Capital Southwest Corporation, et al. (Notice) |
812-15213 | IC-34584 | May 16, 2022 | Capital Southwest Corporation (Order) |
812-15213 | IC-34560 | Apr. 19, 2022 | Capital Southwest Corporation (Notice) |
812-15212 | IC-34335 | Jul. 19, 2021 | Capital Southwest Corporation (Order) |
812-15212 | IC-34309 | Jun. 22, 2021 | Capital Southwest Corporation (Notice) |
812-14740 | IC-32742 | Jul. 25, 2017 | Capital Southwest Corporation (Notice) |
812-14740 | IC-32787 | Aug. 22, 2017 | Capital Southwest Corporation (Order) |
812-13769 | IC-29450 | Sep. 29, 2010 | Capital Southwest Corporation (Notice) |
812-13769 | IC-29491 | Oct. 26, 2010 | Capital Southwest Corporation (Order) |
812-14544 | IC-32102 | May 4, 2016 | Capitala Finance Corp., et al. (Notice) |
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) |
812-15049 | IC-33865 | May 13, 2020 | Capitol Series Trust and Cornerstone Capital Inc. (Order) |
812-15049 | IC-33842 | Apr. 17, 2020 | Capitol Series Trust and Cornerstone Capital Inc. (Notice) |
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) |
812-14194-03 | IC-33494 | May 29, 2019 | Carillon Series Trust and Carillon Tower Advisers, Inc. (Order) |
812-14194-03 | IC-33464 | May 2, 2019 | Carillon Series Trust, et al. (Notice) |
812-13933 | IC-30188 | Aug. 31, 2012 | Cash Account Trust, et al. (Notice) |
812-13933 | IC-30215 | Sep. 25, 2012 | Cash Account Trust, et al. (Order) |
812-13512 | IC-30151 | Jul. 25, 2012 | Cash Account Trust, et al. (Notice) |
812-13512 | IC-30172 | Aug. 20, 2012 | Cash Account Trust, et al. (Order) |
812-13678 | IC-29094 | Dec. 16, 2009 | Cash Account Trust, et al. (Notice) |
812-13678 | IC-29109 | Jan. 12, 2010 | Cash Account Trust, et al. (Order) |
812-13875-47 | IC-31697 | Jun. 24, 2015 | Cash Trust Series, Inc., et al. (Notice) |
812-13875-47 | IC-31719 | Jul. 20, 2015 | Cash Trust Series, Inc., et al. (Order) |
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) |
812-15264 | IC-34508 | Feb. 15, 2022 | Catholic Responsible Investments Funds and Christian Brothers Investment Services, Inc. (Order) |
812-15264 | IC-34474 | Jan. 19, 2022 | Catholic Responsible Investments Funds and Christian Brothers Investment Services, Inc. (Notice) |
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) |
812-14801 | IC-32896 | Nov. 7, 2017 | CBOE Vest Financial, LLC, et al. (Notice) |
812-14801 | IC-32932 | Dec. 4, 2017 | CBOE Vest Financial, LLC, et al. (Order) |
812-15344-01 | IC-34705 | Sep. 20, 2022 | CCOF II Lux Feeder, SCSp, et al. (Order) |
812-15344-01 | IC-34687 | Aug. 24, 2022 | CCOF II Lux Feeder, SCSp, et al. (Notice) |
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) |
812-15312 | IC-34569 | Apr. 21, 2022 | Churchill Asset Management LLC and Nuveen Churchill Private Capital Income Fund (Notice) |
812-15312 | IC-34586 | May 17, 2022 | Churchill Asset Management LLC and Nuveen Churchill Private Capital Income Fund (Order) |
812-15001 | IC-33659 | Oct. 22, 2019 | CIM Real Assets & Credit Fund and CIM Capital IC Management, LLC (Order) |
812-15001 | IC-33630 | Sep. 23, 2019 | CIM Real Assets & Credit Fund, et al. (Notice) |
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) |
812-14387 | IC-34693 | Aug. 30, 2022 | CION Investment Corporation, et al. (Order) |
812-14387 | IC-34662 | Aug. 4, 2022 | CION Investment Corporation, et al. (Notice) |
813-00397 | IC-34173 | Jan. 13, 2021 | Citadel Enterprise Americas LLC and CEIF LLC (Order) |
813-00397 | IC-34143 | Dec. 18, 2020 | Citadel Enterprise Americas LLC (formerly Citadel LLC) and CEIF LLC (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) |
812-14902 | IC-33365 | Feb. 1, 2019 | Cliffwater Corporate Lending Fund and Cliffwater LLC (Order) |
812-14902 | IC-33318 | Dec. 6, 2018 | Cliffwater Corporate Lending Fund and Cliffwater LLC (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) |
812-14850 | IC-33401 | Mar. 19, 2019 | CM Finance Inc, et al. (Order) |
812-14850 | IC-33377 | Feb. 19, 2019 | CM Finance Inc, 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) |
812-15012 | IC-33619 | Sep. 9, 2019 | Collaborative Investment Series Trust and Tactical Fund Advisors, LLC (Order) |
812-15012 | IC-33588 | Aug. 12, 2019 | Collaborative Investment Series Trust and Tactical Fund Advisors, LLC (Notice) |
812-14953 | IC-33502 | Jun. 5, 2019 | Collaborative Investment Series Trust and Belpointe Asset Management, LLC, (Order) |
812-14953 | IC-33472 | May 10, 2019 | Collaborative Investment Series Trust and Belpointe Asset Management, LLC (Notice) |
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) |
812-15239 | IC-34345 | Jul. 27, 2021 | Columbia ETF Trust I, et al. (Notice) |
812-15239 | IC-34359 | Aug. 24, 2021 | Columbia ETF Trust I, 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) |
812-15130 | IC-34224 | Mar. 16, 2021 | Columbia Funds Series Trust, et al. (Order) |
812-15130 | IC-34197 | Feb. 18, 2021 | Columbia Funds Series Trust, et al. (Notice) |
812-14791 | IC-33519 | Jun. 26, 2019 | Columbia Funds Series Trust, et al. (Order) |
812-14791 | IC-33495 | May 30, 2019 | Columbia Funds Series Trust, et al. (Notice) |
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) |
812-15195 | IC-34347 | Aug. 2, 2021 | Commonwealth Credit Partners BDC I, Inc., et al. (Order) |
812-15195 | IC-34325 | Jul. 7, 2021 | Commonwealth Credit Partners BDC I, Inc., 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) |
812-15366 | IC-34740 | Oct. 26, 2022 | Constitution Capital Private Markets Fund, LLC and Constitution Capital Pm, LP (Order) |
812-15366 | IC-34720 | Sep. 30, 2022 | Constitution Capital Private Markets Fund, LLC and Constitution Capital PM, LP (Notice) |
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) |
812-15072 | IC-33930 | Jul. 21, 2020 | Conversus Stepstone Private Markets, et al. (Order) |
812-15072 | IC-33913 | Jun. 25, 2020 | Conversus Stepstone Private Markets, et al. (Notice) |
812-15074 | IC-33851 | Apr. 23, 2020 | Conversus Stepstone Private Markets and Stepstone Conversus LLC (Order) |
812-15074 | IC-33815 | Mar. 12, 2020 | Conversus StepStone Private Markets and StepStone Conversus LLC (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) |
812-15034 | IC-33834 | Apr. 3, 2020 | Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC. (Order Permitting Withdrawal of Application) |
812-15034 | IC-33631 | Sep. 24, 2019 | Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC. (Notice) |
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) |
812-15274 | IC-34518 | Mar. 1, 2022 | Credit Suisse Asset Management, LLC, Credit Suisse Asset Management Limited (Order) |
812-15274 | IC-34400 | Oct. 19, 2021 | 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) |
812-14915 | IC-33536 | Jun. 27, 2019 | Cresset Private Markets Opportunity Fund and Cresset SPG, LLC (Order) |
812-14915 | IC-33497 | May 31, 2019 | Cresset Private Markets Opportunity Fund and Cresset SPG, LLC (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) |
812-14918 | IC-33264 | Oct. 5, 2018 | Cushing Asset Management, LP, et al. (Order) |
812-14918 | IC-33206 | Aug. 21, 2018 | Cushing Asset Management, LP et al. (Notice) |
812-14945 | IC-33307 | Nov. 27, 2018 | Cushing Asset Management, LP and Cushing ETF Trust (Order) |
812-14945 | IC-33285 | Oct. 30, 2018 | Cushing Asset Management, LP and Cushing ETF Trust (Notice) |
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) |
812-15283 | IC-34666 | Aug. 8, 2022 | Cypress Creek Private Strategies Master Fund, L.P., et al. (Order) |
812-15283 | IC-34645 | Jul. 11, 2022 | Cypress Creek Private Strategies Master Fund, L.P., et al. (Notice) |
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) |
812-15043 | IC-33816 | Mar. 13, 2020 | Daxor Corporation (Notice) |
812-15043 | IC-33854 | Apr. 24, 2020 | Daxor Corporation (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) |
812-15119-01 | IC-34296 | Jun. 8, 2021 | Delaware Wilshire Private Markets Master Fund, et al., (Order) |
812-15119-01 | IC-34270 | May 12, 2021 | Delaware Wilshire Private Markets Master Fund, et al. (Notice) |
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) |
812-14903 | IC-33293 | Nov. 9, 2018 | Destra International & Event-Driven Credit Fund and Destra Capital Advisors, LLC (Order) |
812-14903 | IC-33268 | Oct. 11, 2018 | Destra International & Event-Driven Credit Fund and Destra Capital Advisors LLC (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) |
812-15163 | IC-34053 | Oct. 20, 2020 | Deutsche Bank AG, et al. (Order) |
812-15163 | IC-34025 | Sep. 24, 2020 | 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) |
812-15164 | IC-34083 | Nov. 2, 2020 | Development Bank of Japan Inc. (Order) |
812-15164 | IC-34043 | Oct. 5, 2020 | Development Bank of Japan Inc. (Notice) |
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) |
812-14988 | IC-33652 | Oct. 2, 2019 | Diamond Hill Funds and Diamond Hill Capital Management, Inc. (Order) |
812-14988 | IC-33616 | Sep. 4, 2019 | Diamond Hill Funds and Diamond Hill Capital Management, Inc. (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) |
812-14906 | IC-33276 | Oct. 22, 2018 | Distillate Capital Partners LLC, et al. (Order) |
812-14906 | IC-33244 | Sep. 24, 2018 | Distillate Capital Partners LLC, et al. (Notice) |
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) |
812-15273 | IC-34527 | Mar. 8, 2022 | DoubleLine ETF Trust, et al. (Order) |
812-15273 | IC-34499 | Feb. 9, 2022 | DoubleLine ETF Trust, et al. (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) |
812-15240 | IC-34353 | Aug. 9, 2021 | Doubleline Opportunistic Credit Fund, et al. (Order) |
812-15240 | IC-34328 | Jul. 13, 2021 | DoubleLine Opportunistic Credit, et al (Notice) |
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) |
812-14304 | 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) |
812-14868 | IC-33473 | May 13, 2019 | Eaton Vance Growth Trust, et al. (Order) |
812-14868 | IC-33447 | Apr. 15, 2019 | Eaton Vance Growth Trust, et al. (Notice) |
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) |
812-14139 | IC-31361 | Dec. 2, 2014 | 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) |
812-14975 | IC-33501 | Jun. 4, 2019 | Ellington Income Opportunities Fund, et al. (Order) |
812-14975 | IC-33470 | May 8, 2019 | Ellington Income Opportunities Fund, et al. (Notice) |
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) |
812-15371 | IC-34751 | Nov. 15, 2022 | Emerald Strategic Innovation Interval Fund and Emerald Mutual Fund Advisers Trust (Order) |
812-15371 | IC-34729 | Oct. 17, 2022 | Emerald Strategic Innovation Interval Fund and Emerald Mutual Fund Advisers Trust (Notice) |
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) |
812-15106 | IC-34185 | Feb. 1, 2021 | Esoterica Thematic Trust and Esoterica Capital LLC (Order) |
812-15106 | IC-34161 | Jan. 4, 2021 | Esoterica Thematic Trust and Esoterica Capital LLC (Notice) |
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) |
812-15088 | IC-33823 | Mar. 24, 2020 | ETF Managers Trust and ETF Managers Group LLC (Order) |
812-15088 | IC-33799 | Feb. 19, 2020 | ETF Managers Trust and ETF Managers Group LLC (Notice) |
812-15217 | IC-34494 | Feb. 2, 2022 | ETF Opportunities Trust and Applied Finance Advisors, LLC (Order) |
812-15217 | IC-34463 | Jan. 5, 2022 | ETF Opportunities Trust and Applied Finance Advisors, LLC (Notice) |
812-15014 | IC-33609 | Aug. 26, 2019 | ETF Opportunities Trust, et al. (Order) |
812-15014 | IC-33579 | Jul. 29, 2019 | ETF Opportunities Trust, 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) |
812-15167 | IC-34174 | Jan. 19, 2021 | ETF Series Solutions and Clearshares LLC (Order) |
812-15167 | IC-34144 | Dec. 21, 2020 | ETF Series Solutions and Clearshares LLC (Notice) |
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) |
812-15171 | IC-34190 | Feb. 8, 2021 | ETF Series Solutions and Distillate Capital Partners LLC (Order) |
812-15171 | IC-34169 | Jan. 11, 2021 | ETF Series Solutions and Distillate Capital Partners LLC (Notice) |
812-14451 | IC-31937 | Dec. 15, 2015 | ETF Series Solutions and U.S. Global Investors, Inc. (Order) |
812-15031 | IC-33622 | Sep. 11, 2019 | ETFis Series Trust I, et al. (Notice) |
812-15031 | IC-33655 | Oct. 8, 2019 | ETFis Series Trust I, et al. (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) |
812-14875 | IC-33267 | Oct. 11, 2018 | Exact Sciences Corporation (Order) |
812-14875 | IC-33228 | Sep. 14, 2018 | Exact Sciences Corporation (Notice) |
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) |
812-15257 | IC-34492 | Feb. 1, 2022 | Fairway Private Equity & Venture Capital Opportunities Fund and Fairway Capital Management, LLC (Order) |
812-15257 | IC-34462 | Jan. 4, 2022 | Fairway Private Equity & Venture Capital Opportunities Fund and Fairway Capital Management, LLC (Notice) |
812-15256 | IC-34467 | Jan. 10, 2022 | Fairway Private Equity & Venture Capital Opportunities Fund, et al., (Order) |
812-15256 | IC-34438 | Dec. 13, 2021 | Fairway Private Equity & Venture Capital Opportunities Fund, et al. (Notice) |
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) |
812-15055 | IC-34040 | Oct. 1, 2020 | Federated Hermes Adviser Series, et al. (Order) |
812-15055 | IC-34002 | Sep. 2, 2020 | Federated Hermes Adviser Series, et al. (Notice) |
812-15334 | IC-34650 | Jul. 19, 2022 | Federated Hermes Project and Trade Finance Tender Fund and Federated Investment Management Company (Order) |
812-15334 | IC-34621 | Jun. 22, 2022 | Federated Hermes Project and Trade Finance Tender Fund and Federated Investment Management Company (Notice) |
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) |
812-15175 | IC-34326 | Jul. 9, 2021 | Fidelity Beach Street Trust, et al. (Notice) |
812-15175 | IC-34350 | Aug. 5, 2021 | Fidelity Beach Street Trust, et al. (Order) |
812-14364 | IC-33683 | Nov. 14, 2019 | Fidelity Beach Street Trust, et al. (Notice) |
812-14364 | IC-33712 | Dec. 10, 2019 | Fidelity Beach 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) |
812-15397 | IC-34823 | Feb. 1, 2023 | Fidelity Multi-Strategy Credit Fund and Fidelity Diversifying Solutions LLC (Order) |
812-15397 | IC-34796 | Jan. 5, 2023 | Fidelity Multi-Strategy Credit Fund and Fidelity Diversifying Solutions LLC (Notice) |
812-15375 | IC-34814 | Jan. 24, 2023 | Fidelity Private Credit Fund and Fidelity Diversifying Solutions LLC (Notice) |
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) |
812-15315 | IC-34613 | Jun. 9, 2022 | First Eagle Alternative Capital BDC, Inc., et al. (Order) |
812-15315 | IC-34583 | May 13, 2022 | First Eagle Alternative Capital BDC, Inc., et al. (Notice) |
812-15151 | IC-34330 | Jul. 13, 2021 | First Eagle Alternative Capital BDC, Inc., et al. (Order) |
812-15151 | IC-34301 | Jun. 15, 2021 | First Eagle Alternative Capital Bdc, Inc., et al. (Notice) |
812-14949 | IC-34102 | Nov. 23, 2020 | First Eagle BDC, LLC, et al. (Order) |
812-14949 | IC-33746 | Jan. 14, 2020 | First Eagle BDC, LLC, et al. (Notice) |
812-15144 | IC-34126 | Dec. 1, 2020 | First Eagle Credit Opportunities Fund, et al. (Order) |
812-15144 | IC-34080 | Oct. 30, 2020 | First Eagle Credit Opportunities Fund, et al. (Notice) |
812-15260 | IC-34416 | Nov. 9, 2021 | First Eagle Global Opportunities Fund, and First Eagle Investment Management, LLC (Order) |
812-15260 | IC-34397 | Oct. 12, 2021 | First Eagle Global Opportunities Fund, Et Al (Notice) |
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) |
812-15075 | IC-33888 | May 27, 2020 | First Trust Series Fund, et al. (Order) |
812-15075 | IC-33857 | Apr. 28, 2020 | First Trust Series 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) |
812-15223 | IC-34481 | Jan. 25, 2022 | Flat Rock Global, LLC, et al. (Order) |
812-15223 | IC-34457 | Dec. 29, 2021 | Flat Rock Global, LLC, et al. (Notice) |
812-14150 | IC-30593 | Jul. 9, 2013 | FlexShares Trust, et al. (Notice) |
812-14150 | IC-30645 | Aug. 6, 2013 | FlexShares Trust, et al. (Order) |
812-15228 | IC-34475 | Jan. 19, 2022 | FMI Funds, Inc., et al. (Order) |
812-15228 | IC-34451 | Dec. 22, 2021 | FMI Funds, Inc., et al. (Notice) |
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) |
812-15263 | IC-34453 | Dec. 23, 2021 | Fortune V Separate Account and Universal Financial Services (Order) |
812-15263 | IC-34429 | Nov. 30, 2021 | Fortune V Separate Account, et al. (Notice) |
812-15041 | IC-33618 | Sep. 9, 2019 | Forum Funds; Absolute Investment Advisers LLC; and Foreside Fund Services, LLC (Order) |
812-15041 | IC-33587 | Aug. 12, 2019 | Forum Funds, et al. (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) |
812-15355 | IC-34810 | Jan. 18, 2023 | Forum Real Estate Income Fund, et al. (Order) |
812-15355 | IC-34780 | Dec. 21, 2022 | Forum Real Estate Income Fund, et al. (Notice) |
812-15224 | IC-34811 | Jan. 18, 2023 | Forum Real Estate Income Fund, et al. (Notice) |
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) |
812-15416 | IC-34791 | Dec. 23, 2022 | Franklin FTSE Russia ETF, a Series of Franklin Templeton ETF Trust, and Franklin Advisory Services, LLC (Notice and Temporary 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) |
812-15170 | IC-34307 | Jun. 22, 2021 | Franklin Templeton Co-Investing Interval Fund, et al., (Order) |
812-15170 | IC-34289 | May 27, 2021 | Franklin Templeton Co-Investing Interval Fund, 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) |
812-15142 | IC-34074 | Oct. 27, 2020 | Frost Family of Funds and Frost Investment Advisors, LLC (Order) |
812-15142 | IC-34031 | Sep. 29, 2020 | Frost Family of Funds and Frost Investment Advisors, LLC (Notice) |
812-14905 | IC-33871 | May 19, 2020 | FS Credit Income Fund, et al. (Order) |
812-14905 | IC-33848 | Apr. 22, 2020 | FS Credit Income Fund, et al. (Notice) |
812-14383 | IC-33803 | Feb. 25, 2020 | FS Energy and Power Fund and FS/EIG Advisor, LLC (Order) |
812-14383-09 | IC-33794 | Jan. 29, 2020 | FS Energy and Power Fund and FS/EIG Advisor, LLC (Notice) |
812-14987 | IC-33968 | Aug. 11, 2020 | FS Global Credit Opportunities Fund, et al. (Order) |
812-14987 | IC-33927 | Jul. 15, 2020 | FS Global Credit Opportunities Fund, et al. (Notice) |
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) |
812-15040 | IC-33793 | Jan. 28, 2020 | Fundrise Real Estate Interval Fund, LLC, et al. (Order) |
812-15040 | IC-33739 | Dec. 31, 2019 | Fundrise Real Estate Interval Fund, LLC, et al. (Notice) |
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 |
812-15036 | IC-33681 | Nov. 5, 2019 | Gabelli ETFs Trust, et al. (Notice) |
812-15036 | IC-33708 | Dec. 3, 2019 | Gabelli ETFs Trust, et al. (Order) |
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) |
812-15390 | IC-34802 | Jan. 11, 2023 | Elevation Series Trust and Paralel Advisors LLC (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) |
812-15237 | IC-34753 | Nov. 16, 2022 | Goldman Sachs Bdc, Inc., et al. (Order) |
812-15237 | IC-34533 | Mar. 15, 2022 | Goldman Sachs BDC, Inc., et al (Notice) |
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) |
812-15172 | IC-34097 | Nov. 17, 2020 | Goldman Sachs (Malaysia) Sdn. Bhd., et al. (Order) |
812-15172 | IC-34071 | Oct. 22, 2020 | Goldman Sachs (Malaysia) Sdn. Bhd., et al. (Notice and Temporary Order) |
812-15081 | IC-33797 | Feb. 4, 2020 | Goldman Sachs Real Estate Diversified Income Fund, et al. (Order) |
812-15081 | IC-33743 | Jan. 9, 2020 | Goldman Sachs Real Estate Diversified Income Fund, et al. (Notice) |
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) |
812-15336 | IC-34654 | Jul. 25, 2022 | Goldman Sachs Trust II, Goldman Sachs Asset Management, L.P., and Goldman Sachs Asset Management International (Order) |
812-15336 | IC-34638 | Jun. 27, 2022 | Goldman Sachs Trust II, et al (Notice) |
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) |
812-15326 | IC-34805 | Jan. 13, 2023 | Golub Capital BDC, Inc., et al. (Order) |
812-15326 | IC-34775 | Dec. 16, 2022 | Golub Capital BDC, Inc., et al. (Notice) |
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) |
812-15019 | IC-33864 | May 12, 2020 | Great Elm Capital Corp., et al. (Order) |
812-15019 | IC-33839 | Apr. 15, 2020 | Great Elm Capital Corp., et al. (Notice) |
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) |
812-15114 | IC-34044 | Oct. 6, 2020 | GSO Asset Management, LLC and Blackstone Private Credit Fund (Order) |
812-15114 | IC-34011 | Sep. 14, 2020 | GSO Asset Management LLC and Blackstone Private Credit Fund (Notice) |
812-14911 | IC-33594 | Aug. 20, 2019 | The Guardian Insurance & Annuity Company, Inc., et al. (Order) |
812-14911 | IC-33566 | Jul. 23, 2019 | The Guardian Insurance & Annuity Company, Inc., et al. (Notice) |
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) |
812-15409 | IC-34812 | Jan. 19, 2023 | Guidestone Funds and Guidestone Capital Management, 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) |
812-15062 | IC-33849 | Apr. 22, 2020 | Guinness Atkinson Funds and Guinness Atkinson Asset Management, Inc. (Order) |
812-15062 | IC-33813 | Mar. 10, 2020 | Guinness Atkinson Funds and Guinness Atkinson Asset Management, Inc. (Notice) |
812-14991 | IC-33555 | Jul. 16, 2019 | Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds (Order) |
812-14991 | IC-33516 | Jun. 20, 2019 | Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds (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) |
812-15099 | IC-34201 | Feb. 23, 2021 | Hamilton Lane Private Assets Fund, et al., (Order) |
812-15099 | IC-34182 | Jan. 28, 2021 | Hamilton Lane Private Assets Fund, et al. (Notice) |
812-15098 | IC-33926 | Jul. 14, 2020 | Hamilton Lane Private Assets Fund and Hamilton Lane Advisors, L.L.C . (Order) |
812-15098 | IC-33896 | Jun. 17, 2020 | Hamilton Lane Private Assets Fund and Hamilton Lane Advisors, L.L.C. (Notice) |
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) |
812-15232 | IC-34351 | Aug. 5, 2021 | Hartford Funds Exchange-Traded Trust, et al. (Order) |
812-15232 | IC-34324 | Jul. 7, 2021 | Hartford Funds Exchange-Traded 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) |
812-15004 | IC-33632 | Sep. 24, 2019 | Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC (Order) |
812-15004 | IC-33610 | Aug. 27, 2019 | Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC (Notice) |
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) |
812-14899 | IC-33278 | Oct. 23, 2018 | Hedge Fund Guided Portfolio Solution, et al. (Order) |
812-14899 | IC-33255 | Sep. 26, 2018 | Hedge Fund Guided Portfolio Solution, et al. (Notice) |
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) |
812-15387 | IC-34773 | Dec. 14, 2022 | Hennessy Funds Trust, et al. (Order) |
812-15387 | IC-34754 | Nov. 18, 2022 | Hennessy Funds Trust, 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) |
812-14910 | IC-33360 | Jan. 30, 2019 | Hercules Capital, Inc. (Order) |
812-14910 | IC-33341 | Dec. 21, 2018 | Hercules Capital, Inc. (Notice) |
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) |
812-15230 | IC-34395 | Oct. 5, 2021 | High Income Securities Fund (Order) |
812-15230 | IC-34373 | Sep. 9, 2021 | High Income Securities Fund (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) |
812-15089 | IC-34077 | Oct. 27, 2020 | Horizon Funds and Horizon Investments, LLC (Order) |
812-15089 | IC-34039 | Oct. 1, 2020 | Horizon Funds and Horizon Investments, LLC (Notice) |
812-14969 | IC-33359 | Jan. 29, 2019 | Hoya Capital Real Estate, LLC, et al. (Order) |
812-14969 | IC-33325 | Dec. 17, 2018 | Hoya Capital Real Estate, LLC, et al. (Notice) |
812-15190 | IC-34493 | Feb. 1, 2022 | HPS Corporate Lending Fund, et al. (Order) |
812-15190 | IC-34465 | Jan. 5, 2022 | HPS Corporate Lending Fund, et al. (Notice) |
812-15207 | IC-34275 | May 25, 2021 | HPS Corporate Lending Fund and HPS Investment Partners, LLC (Order) |
812-15207 | IC-34259 | Apr. 29, 2021 | HPS Corporate Lending Fund and HPS Investment Partners, LLC (Notice) |
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 |
812-15194 | IC-34332 | Jul. 15, 2021 | iCapital KKR Private Markets Fund, et al. (Order) |
812-15194 | IC-34317 | Jun. 24, 2021 | iCapital KKR Private Markets Fund, et al. (Notice) |
812-14944 | IC-33451 | Apr. 23, 2019 | iM Global Partner US LLC and Manager Directed Portfolios (Order) |
812-14944 | IC-33431 | Mar. 28, 2019 | iM Global Partner US LLC and Manager Directed Portfolios (Notice) |
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) |
812-15294 | IC-34574 | Apr. 29, 2022 | IndexIQ Active ETF Trust and IndexIQ Advisors LLC (Order) |
812-15294 | IC-34554 | Apr. 4, 2022 | IndexIQ Active ETF Trust and IndexIQ Advisors LLC (Notice) |
812-15205 | IC-34198 | Feb. 22, 2021 | Infinity Q Diversified Alpha Fund, a Series of Trust for Advised Portfolios, and Infinity Q Capital Management, LLC (Notice and Temporary Order) |
812-14938 | IC-33430 | Mar. 27, 2019 | Infusive US Trust and Infusive Asset Management, Inc. (Order) |
812-14938 | IC-33385 | Mar. 1, 2019 | Infusive US Trust, et al. (Notice) |
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) |
812-14837 | IC-33238 | Sep. 19, 2018 | Innovator ETFs Trust, et al. (Order) |
812-14837 | IC-33214 | Aug. 24, 2018 | Innovator ETFs Trust, et al. (Notice) |
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) |
812-15061 | IC-33844 | Apr. 21, 2020 | Invesco Advisers, Inc., et al. (Notice) |
812-15061 | IC-33870 | May 19, 2020 | Invesco Advisers, Inc., 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) |
812-15070 | IC-34127 | Dec. 2, 2020 | Invesco Capital Management LLC, Invesco Distributors, Inc. and Invesco Actively Managed Exchange-Traded Fund Trust (Order) |
812-15182 | IC-34193 | Feb. 9, 2021 | Invesco Capital Management LLC, Invesco Distributors, Inc., and Invesco Actively Managed Exchange-Traded Fund Trust (Order) |
812-15182 | IC-34170 | Jan. 12, 2021 | Invesco Capital Management LLC, et al. (Notice) |
812-15070 | IC-34087 | Nov. 6, 2020 | Invesco Capital Management LLC, et al. (Notice) |
812-15141 | IC-34076 | Oct. 27, 2020 | Invesco Capital Management LLC, et al. (Order) |
812-15141 | IC-34041 | Oct. 1, 2020 | Invesco Capital Management LLC, et al. (Notice) |
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) |
812-15176 | IC-34338 | Jul. 20, 2021 | Investcorp Credit Management BDC, Inc., et al. (Order) |
812-15176 | IC-34318 | Jun. 24, 2021 | Investcorp Credit Management BDC, Inc., et al. (Notice) |
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) |
812-14893 | IC-33349 | Jan. 29, 2019 | Investment Managers Series Trust and 361 Capital, LLC (Order) |
812-14893 | IC-33323 | Dec. 14, 2018 | Investment Managers Series Trust and 361 Capital, LLC (Notice) |
812-15100 | IC-34104 | Nov. 23, 2020 | Investment Managers Series Trust II and Axs Investments LLC (Order) |
812-15100 | IC-34075 | Oct. 27, 2020 | Investment Managers Series Trust II and AXS Investments LLC (Notice) |
812-15229 | IC-34385 | Sep. 27, 2021 | Investment Managers Series Trust and Hamilton Lane Advisors, L.L.C. (Order) |
812-15229 | IC-34370 | Sep. 1, 2021 | Investment Managers Series Trust and Hamilton Lane Advisors, L.L.C. (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) |
812-15377 | IC-34661 | Aug. 3, 2022 | iShares MSCI Russia ETF, a Series of iShares Inc., and BlackRock Fund Advisors (Notice and Temporary 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 |
812-15383 | IC-34767 | Nov. 30, 2022 | J.P. Morgan Exchange-Traded Fund Trust, J.P. Morgan Investment Management Inc. and JPMorgan Distribution Services, Inc. (Order) |
812-15383 | IC-34747 | Nov. 3, 2022 | J.P. Morgan Exchange-Traded Fund Trust, et al. (Notice) |
812-15093 | IC-33923 | Jul. 10, 2020 | J.P. Morgan Exchange-Traded Fund Trust, et al. (Notice) |
812-15093 | IC-33965 | Aug. 5, 2020 | J.P. Morgan Exchange-Traded Fund Trust, J.P. Morgan Investment Management Inc. and J.P. Morgan Distribution Services, Inc. (Order) |
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) |
812-15158 | IC-34180 | Jan. 21, 2021 | J.P. Morgan Investment Management Inc., et al. (Order) |
812-15158 | IC-34150 | Dec. 22, 2020 | J.P. Morgan Investment Management Inc., et al. (Notice) |
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) |
812-15136 | IC-34551 | Mar. 30, 2022 | Jefferies Private Credit BDC Inc. (Order) |
812-15136 | IC-34522 | Mar. 2, 2022 | Jefferies Private Credit BDC Inc., et al. (Notice) |
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) |
812-15286 | IC-34718 | Sep. 26, 2022 | John Hancock Asset-Based Lending Fund, et al. (Order) |
812-15286 | IC-34690 | Aug. 29, 2022 | John Hancock Asset-Based Lending Fund, et al. (Notice) |
812-15276 | IC-34524 | Mar. 3, 2022 | John Hancock Asset-Based Lending Fund and John Hancock Investment Management LLC (Order) |
812-15276 | IC-34491 | Jan. 31, 2022 | John Hancock Asset-Based Lending Fund and John Hancock Investment Management LLC (Notice) |
812-15235 | IC-34496 | Feb. 7, 2022 | John Hancock Exchange-Traded Fund Trust, John Hancock Investment Management LLC and Foreside Fund Services, LLC (Order) |
812-15235 | IC-34468 | Jan. 10, 2022 | John Hancock Exchange-Traded Fund 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) |
812-14917 | IC-33493 | May 28, 2019 | John Hancock GA Mortgage Trust, et al. (Notice) |
812-14917 | IC-33518 | Jun. 25, 2019 | John Hancock GA Mortgage 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 |
812-14940 | IC-33798 | Feb. 4, 2020 | Kayne Anderson MLP/Midstream Investment Company, et al. (Order) |
812-14940 | IC-33742 | Jan. 8, 2020 | Kayne Anderson MLP/Midstream Investment Company, et al. (Notice) |
812-14363 | IC-31645 | May 21, 2015 | KCAP Financial, Inc. (Notice) |
812-14363 | IC-31676 | Jun. 16, 2015 | KCAP Financial, Inc. (Order) |
812-15073 | IC-33957 | Jul. 28, 2020 | Keystone Private Income Fund and Keystone National Group, LLC (Order) |
812-15073 | IC-33917 | Jul. 1, 2020 | Keystone Private Income Fund and Keystone National Group, LLC (Notice) |
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) |
812-15067 | IC-33863 | May 12, 2020 | KKR Credit Opportunities Portfolio and KKR Credit Advisors (Us) LLC (Order) |
812-15067 | IC-33840 | Apr. 16, 2020 | KKR Credit Opportunities Portfolio and KKR Credit Advisors (US) LLC (Notice) |
812-14951-01 | IC-34164 - correction | Jan. 5, 2021 | KKR Income Opportunities Fund, et al., (Order) |
812-14951-01 | IC-34138 - correction | Dec. 11, 2020 | KKR Income Opportunities Fund, et al. (Notice) |
812-15096-01 | IC-34176 | Jan. 21, 2021 | KKR Registered Advisor LLC and KKR Real Estate Select Trust Inc. (Order) |
812-15096-01 | IC-34147 | Dec. 22, 2020 | KKR Registered Advisor LLC and KKR Real Estate Select Trust Inc. (Notice) |
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 |
812-15208 | IC-34617 | Jun. 15, 2022 | Lafayette Square Empire BDC, Inc., et al. (Order) |
812-15208 | IC-34590 | May 20, 2022 | Lafayette Square Empire BDC, Inc., et al (Notice) |
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) |
813-00394 | IC-33741 | Jan. 8, 2020 | Lazard Asset Management LLC and Lazard ESC Funds LLC (Order) |
813-00394 | IC-33709 | Dec. 3, 2019 | Lazard Asset Management LLC and Lazard ESC Funds LLC (Notice) |
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) |
812-15008 | IC-33873 | May 20, 2020 | Legg Mason Partners Equity Trust, et al. (Order) |
812-15008 | IC-33853 | Apr. 24, 2020 | Legg Mason Partners Equity Trust, et al. (Notice) |
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) |
812-15379 | IC-34749 | Nov. 8, 2022 | Lincoln Variable Insurance Products Trust, and Lincoln Investment Advisors Corporation (Order) |
812-15379 | IC-34727 | Oct. 13, 2022 | Lincoln Variable Insurance Products Trust and Lincoln Investment Advisors Corporation (Notice) |
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) |
812-15026 | IC-33596 | Aug. 20, 2019 | Liquid Strategies, LLC and Listed Funds Trust (Order) |
812-15026 | IC-33576 | Jul. 24, 2019 | Liquid Strategies, LLC and Listed Funds Trust (Notice) |
812-15202-01 | IC-34321 | Jun. 29, 2021 | Listed Funds Trust and Skyrocket Investments, LLC (Order) |
812-15202-01 | IC-34293 | Jun. 2, 2021 | Listed Funds Trust and Skyrocket Investments, LLC (Notice) |
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) |
812-14962 | IC-33558 | Jul. 16, 2019 | Lord Abbett Credit Opportunities Fund, Lord, Abbett & Co. LLC and Lord Abbett Distributor LLC (Order) |
812-14962 | IC-33513 | Jun. 19, 2019 | Lord Abbett Credit Opportunities Fund, et al. (Notice) |
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) |
812-15097 | IC-34336 | Jul. 19, 2021 | Lord Abbett Floating Rate High Income Fund, et al. (Order) |
812-15097 | IC-34308 | Jun. 22, 2021 | Lord Abbett Floating Rate High Income Fund, et al. (Notice) |
812-15009 | IC-33442 | Apr. 8, 2019 | Lyft, Inc. (Order) |
812-15009 | IC-33399 | Mar. 14, 2019 | Lyft, Inc. (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) |
812-14990 | IC-33436 | Apr. 2, 2019 | Macquarie Global Infrastructure Total Return Fund Inc., et al. (Order) |
812-14990 | IC-33389 | Mar. 5, 2019 | Macquarie Global Infrastructure Total Return Fund Inc., et al. (Notice) |
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) |
812-15242 | IC-34390 | Sep. 29, 2021 | Mainstay Cbre Global Infrastructure Megatrends Fund, Mainstay Mackay Defined Term Municipal Opportunities Fund, New York Life Investment Management LLC (Order) |
812-15242 | IC-34372 | Sep. 3, 2021 | Mainstay CBRE Global Infrastructure Megatrends Fund, et al. (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) |
812-15362 | IC-34748 | Nov. 8, 2022 | Main Street Capital Corporation, et al. (Order) |
812-15362 | IC-34726 | Oct. 11, 2022 | Main Street Capital Corporation, et al. (Notice) |
812-14979 | IC-34146 | Dec. 21, 2020 | Main Street Capital Corporation, et al. (Order) |
812-14979 | IC-34103 | Nov. 23, 2020 | Main Street Capital Corporation, et al. (Notice) |
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) |
812-13411 | IC-28082 | Dec. 21, 2007 | Main Street Capital Corporation, et al. (Notice) |
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) |
812-13411 | IC-28120 | Jan. 16, 2008 | Main Street Capital Corporation, et al. (Order) |
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) |
812-14585 | IC-32245 | Aug. 30, 2016 | Managed Portfolio Series and Port Street Investments, LLC (Order) |
812-15116 | IC-34105 | Nov. 23, 2020 | Managed Portfolio Series and Tortoise Index Solutions, LLC (Order) |
812-15116 | IC-34072 | Oct. 26, 2020 | Managed Portfolio Series and Tortoise Index Solutions, LLC (Notice) |
812-14250 | IC-31323 | Oct. 31, 2014 | Managed Portfolio Series, et al. (Order) |
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) |
812-15233 | IC-34459 | Dec. 30, 2021 | MassMutual Access Pine Point Fund, et al. (Order) |
812-15233 | IC-34435 | Dec. 8, 2021 | MassMutual Access Pine Point Fund, et al. (Notice) |
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) |
812-15052 | IC-33675 | Oct. 23, 2019 | MassMutual Select Funds, et al. (Notice) |
812-15052 | IC-33686 | Nov. 18, 2019 | MassMutual Select 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) |
812-14995 | IC-33479 | May 21, 2019 | M-CAM International LLC, et al. (Order) |
812-14995 | IC-33450 | Apr. 23, 2019 | M-CAM International 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) |
812-14433 | IC-31980 | Feb. 3, 2016 | Medallion Financial Corp. (Notice) |
812-14458 | IC-31977 | Feb. 1, 2016 | Medallion Financial Corp. (Notice) |
812-14458 | IC-32009 | Feb. 29, 2016 | Medallion Financial Corp. (Order) |
812-13666 | IC-30139 | Jul. 17, 2012 | Medallion Financial Corp. (Order) |
812-13666 | IC-30121 | Jun. 21, 2012 | Medallion Financial Corp. (Notice) |
812-13667 | IC-29201 | Apr. 1, 2010 | Medallion Financial Corp. (Notice) |
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) |
812-14778 | IC-32850 | Oct. 4, 2017 | Medley Capital Corporation, et al. (Order) |
812-14778 | IC-32809 | Sep. 8, 2017 | Medley Capital Corporation, et al. (Notice) |
812-14679 | IC-32581 | Mar. 29, 2017 | Medley Capital Corporation, et al. (Order) |
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) |
812-13787 | IC-30009 | Mar. 26, 2012 | Medley Capital Corporation, et al. (Order) |
812-14775 | IC-32934 | Dec. 5, 2017 | Meeder Funds Trust, et al. (Order) |
812-14775 | IC-32898 | Nov. 8, 2017 | Meeder Funds Trust, et al. (Notice) |
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) |
812-13133 | IC-27657 | Jan. 9, 2007 | Members Mutual Funds, et al. LLC (Order) |
812-05867 | IC-34700 | Sep. 13, 2022 | Merrill Lynch Corporate Dividend Fund, Inc., et al. (Order) |
812-05867 | IC-34678 | Aug. 17, 2022 | Merrill Lynch Corporate Dividend Fund, Inc., et al. (Notice) |
812-14221 | IC-31000 | Mar. 31, 2014 | MetLife Insurance Company of Connecticut, et al. (Notice) |
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) |
812-13347 | IC-27778 | Apr. 6, 2007 | MetLife Insurance Company of Connecticut, et al. (Notice) |
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) |
812-13549 | IC-29124 | Jan. 26, 2010 | MetLife, Inc. et al. (Order) |
812-13549 | IC-29101 | Dec. 30, 2009 | MetLife, Inc., et al. (Notice) |
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) |
812-13482 | IC-28987 | Oct. 29, 2009 | MFS Government Markets Income Trust, et al. (Notice) |
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) |
812-15382 | IC-34799 | Jan. 10, 2023 | MidCap Financial Investment Corporation, et al. (Order) |
812-15382 | IC-34770 | Dec. 9, 2022 | MidCap Financial Investment Corporation, et al. (Notice) |
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) |
812-13611 | IC-28901 | Sep. 15, 2009 | MML Series Investment Fund, et al. (Order) |
812-15247 | IC-34813 | Jan. 24, 2023 | Monachil Credit Income Fund, et al. (Order) |
812-15247 | IC-34792 | Dec. 28, 2022 | Monachil Credit Income Fund, et al. (Notice) |
812-14393 | IC-31410 | Jan. 13, 2015 | Montage Managers Trust, El Al. (Order) |
812-14393 | IC-31382 | Dec. 17, 2014 | Montage Managers Trust, et al. (Notice) |
812-15388 | IC-34800 | Jan. 10, 2023 | Monroe Capital Corporation, et al. (Order) |
812-15388 | IC-34769 | Dec. 8, 2022 | Monroe Capital Corporation, et al. (Notice) |
812-14028 | IC-31253 | Sep. 19, 2014 | Monroe Capital Corporation, et al. (Notice) |
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) |
812-14242 | IC-31274 | Oct. 2, 2014 | Monroe Capital Corporation et al. (Order) |
812-13346 | IC-27909 | Jul. 24, 2007 | MONY Life Insurance Company of America, et al. (Notice) |
812-13346 | IC-27929 | Aug. 17, 2007 | MONY Life Insurance Company of America, et al. (Order) |
812-14881 | IC-33463 | Apr. 30, 2019 | Monteagle Funds and Nashville Capital Corporation (Order) |
812-14881 | IC-33379 | Feb. 21, 2019 | Monteagle Funds and Nashville Capital Corporation (Notice) |
812-14093 | IC-31405 | Jan. 6, 2015 | Morgan Creek Global Equity Long/Short Institutional Fund, et al. (Order) |
812-14093 | IC-31369 | Dec. 11, 2014 | Morgan Creek Global Equity Long/Short Institutional Fund, et al. (Notice) |
812-15327 | IC-34658 | Aug. 2, 2022 | Morgan Stanley Direct Lending Fund et al. (Order) |
812-15327 | IC-34643 | Jul. 6, 2022 | Morgan Stanley Direct Lending Fund, et al. (Notice) |
812-15057 | IC-34016 | Sep. 18, 2020 | Morgan Stanley Direct Lending Fund, et al. (Order) |
812-15057 | IC-33958A | Aug. 28, 2020 | Morgan Stanley Direct Lending Fund, et al. (Notice) |
812-15057 | IC-33958 | Jul. 28, 2020 | Morgan Stanley Direct Lending Fund, et al. (Notice) |
812-14656 | IC-32539 | Mar. 21, 2017 | Morgan Stanley ETF Trust, et al. (Order) |
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) |
812-13656 | IC-28986 | Oct. 29, 2009 | Morgan Stanley Investment Management Inc. et al. (Order) |
812-13656 | IC-28941 | Oct. 6, 2009 | Morgan Stanley Investment Management Inc., et al. (Notice) |
812-13213 | IC-28125 | Jan. 18, 2008 | Morgan Stanley Investment Management Inc., et al. (Notice) |
812-13213 | IC-28150 | Feb. 13, 2008 | Morgan Stanley Investment Management Inc., et al. (Order) |
812-15295 | IC-34525 | Mar. 8, 2022 | Morgan Stanley Pathway Funds (Order) |
812-15295 | IC-34502 | Feb. 10, 2022 | Morgan Stanley Pathway Funds (Notice) |
812-13529 | IC-28388 | Sep. 23, 2008 | Morgan Stanley Series Funds, et al. (Notice) |
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) |
812-14808 | IC-33044 | Mar. 13, 2018 | Morningstar Funds Trust, et al. (Order) |
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) |
812-14804 | IC-32962 | Jan. 3, 2018 | Motley Fool Asset Management LLC, et al. (Order) |
812-14804 | IC-32899 | Nov. 17, 2017 | Motley Fool Asset Management, LLC, et al. (Notice) |
812-15320 | IC-34694 | Aug. 31, 2022 | MSD Investment Corp., et al. (Order) |
812-15320 | IC-34665 | Aug. 5, 2022 | MSD Investment Corp., et al. (Notice) |
812-15215 | IC-34509 | Feb. 16, 2022 | MSD Investment, Corp., et al., (Order) |
812-15215 | IC-34477 | Jan. 19, 2022 | MSD Investment, LLC, et al. (Notice) |
812-14331 | IC-31347 | Nov. 24, 2014 | MUFG Union Bank, N.A. (Notice) |
812-14331 | IC-31396 | Dec. 23, 2014 | MUFG Union Bank, N.A. (Order) |
812-14228 | IC-30860 | Jan. 15, 2014 | Multi-Strategy Growth & Income Fund, et al. (Notice) |
812-14228 | IC-30911 | Feb. 11, 2014 | Multi-Strategy Growth & Income Fund, et al. (Order) |
812-14099 | IC-30441 | Mar. 29, 2013 | Munder Series Trust, et al. (Notice) |
812-14099 | IC-30493 | Apr. 24, 2013 | Munder Series Trust, et al. (Order) |
812-14597 | IC-32220 | Aug. 16, 2016 | Mutual Fund Series Trust, et al. (Order) |
812-14597 | IC-32189 | Jul. 20, 2016 | Mutual Fund Series Trust, et al. (Notice) |
812-15033 | IC-33679 | Oct. 29, 2019 | Mutual of America Life Insurance Company, et al. (Order) |
812-15033 | IC-33654 | Oct. 2, 2019 | Mutual of America Life Insurance Company, et al. (Notice) |
812-14059 | IC-30292 | Dec. 5, 2012 | Mutual of America Life Insurance Company, et al. (Notice) |
812-14059 | IC-30335 | Dec. 31, 2012 | Mutual of America Life Insurance Company, et al. (Order) |
812-15086 | IC-34219 | Mar. 2, 2021 | Muzinich BDC, Inc., et al. (Order) |
812-15086 | IC-34186 | Feb. 2, 2021 | Muzinich BDC, Inc., et al. (Notice) |
812-14720 | IC-32797 | Aug. 28, 2017 | MVC Capital, Inc., et al. (Order) |
812-14720 | IC-32769 | Aug. 1, 2017 | MVC Capital, Inc., et al. (Notice) |
812-15249 | IC-34439 | Dec. 14, 2021 | MVP Private Markets Fund, et al., (Order) |
812-15249 | IC-34420 | Nov. 18, 2021 | MVP Private Markets Fund, et al. (Notice) |
812-15244 | IC-34356 | Aug. 11, 2021 | MVP Private Markets Fund and Portfolio Advisors, LLC (Order) |
812-15244 | IC-34334 | Jul. 16, 2021 | MVP Private Markets Fund, et al; (Notice) |
812-13376 | IC-28040 | Oct. 31, 2007 | MyShares Trust, et al. (Notice) |
N | |||
File No. | Release No. | Date | Investment Company |
812-13345 | IC-27740 | Feb. 27, 2007 | NASDAQ-100 Trust, Series 1, et al. (Notice) |
812-13345 | IC-27753 | Mar. 20, 2007 | Nasdaq-100 Trust, Series 1, PowerShares Capital Management LLC, and ALPS Distributors, Inc. (Order) |
812-13806 | IC-29627 | Apr. 7, 2011 | National Life Insurance Company, et al. (Notice) |
812-13806 | IC-29662 | Apr. 29, 2011 | National Life Insurance Company, et al. (Order) |
812-14818 | IC-32868 | Oct. 24, 2017 | The National Securities Clearing Corporation (Order) |
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) |
812-14751 | IC-32727 | Jul. 6, 2017 | Nationwide Fund Advisors, et al. (Notice) |
812-14783 | IC-32740 | Jul. 25, 2017 | Nationwide Fund Advisors, et al. (Order) |
812-14783 | IC-32712 | Jun. 27, 2017 | Nationwide Fund Advisors, et al. (Notice) |
812-13648 | IC-29486 | Oct. 25, 2010 | Nationwide Life Insurance Company, et al. (Notice) |
812-13495 | IC-28767 | Jun. 12, 2009 | Nationwide Life Insurance Company, et al. (Notice) |
812-13648 | IC-29505 | Nov. 22, 2010 | Nationwide Life Insurance Company, et al. (Order) |
812-13495 | IC-28815 | Jul. 8, 2009 | Nationwide Life Insurance Company, et al. (Order) |
812-13756 | IC-29337 | Jul. 2, 2010 | Nationwide Life Insurance Company, et. al. (Notice) |
812-13756 | IC-29369 | Jul. 27, 2010 | Nationwide Life Insurance Company, et. al. (Order) |
812-15210 | IC-34329 | Jul. 13, 2021 | Nationwide Mutual Funds and Nationwide Variable Insurance Trust (Each, a "Trust") and Nationwide Fund Advisors (Order) |
812-15210 | IC-34302 | Jun. 16, 2021 | Nationwide Mutual Funds, et al. (Notice) |
812-14573 | IC-32115 | May 16, 2016 | Nationwide Mutual Funds, et al. (Notice) |
812-14573 | IC-32148 | Jun. 13, 2016 | Nationwide Mutual Funds, et al. (Order) |
812-15157 | IC-34192 | Feb. 9, 2021 | Natixis Advisors, L.P., et al. (Order) |
812-15157 | IC-34171 | Jan. 12, 2021 | Natixis ETF Trust II, et al. (Notice) |
812-14870 | IC-33684 | Nov. 14, 2019 | Natixis ETF Trust II, et al. (Notice) |
812-14870 | IC-33711 | Dec. 10, 2019 | Natixis ETF Trust II, et al. (Order) |
812-14883 | IC-33287 | Oct. 31, 2018 | Natixis Funds Trust I, et al. (Order) |
812-14883 | IC-33265 | Oct. 5, 2018 | Natixis Funds Trust I, et al. (Notice) |
812-15150 | IC-34132 | Dec. 8, 2020 | NB Crossroads Private Markets Access Fund LLC and Neuberger Berman Investment Advisers LLC (Order) |
812-15150 | IC-34094 | Nov. 13, 2020 | NB Crossroads Private Markets Access Fund LLC and Neuberger Berman Investment Advisers LLC (Notice) |
812-13444 | IC-28195 | Mar. 17, 2008 | NETS Trust (Order) |
812-13444 | IC-28166 | Feb. 25, 2008 | NETS Trust, et al. (Notice) |
812-14050 | IC-30236 | Oct. 22, 2012 | Neuberger Berman Alternative Funds, et al. (Notice) |
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) |
812-13988-01 | IC-30232 | Oct. 15, 2012 | Neuberger Berman Alternative Funds, et al. (Order) |
812-15378 | IC-34730 | Oct. 25, 2022 | Neuberger Berman BDC LLC, et al. (Order) |
812-15378 | IC-34719 | Sep. 29, 2022 | Neuberger Berman BDC LLC, et al. (Notice) |
812-15124 | IC-34469 | Jan. 13, 2022 | Neuberger Berman BDC LLC, et al. (Order) |
812-15124 | IC-34443 | Dec. 16, 2021 | Neuberger Berman BDC LLC, et al. (Notice) |
812-13848 | IC-30473 | Apr. 22, 2013 | Neuberger Berman ETF Trust and Neuberger Berman Management LLC (Order) |
812-13848 | IC-30436 | Mar. 25, 2013 | Neuberger Berman ETF Trust and Neuberger Berman Management LLC (Notice) |
812-14563-11 | IC-32578 | Mar. 28, 2017 | Neuberger Berman Investment Advisers LLC, et al. (Order) |
812-14563-11 | IC-32513 | Feb. 27, 2017 | Neuberger Berman Investment Advisers LLC, et al. (Notice) |
812-13086-05 | IC-28945 | Oct. 14, 2009 | Neuberger Berman Management LLC, et al. (Notice) |
812-13086-05 | IC-28994 | Nov. 10, 2009 | Neuberger Berman Management LLC, et al. (Order) |
812-14998 | IC-33628 | Sep. 17, 2019 | New Age Alpha Advisors, LLC and New Age Alpha Trust (Order) |
812-14998 | IC-33606 | Aug. 21, 2019 | New Age Alpha Advisors, LLC and New Age Alpha Trust (Notice) |
812-15187 | IC-34348 | Aug. 3, 2021 | New Age Alpha Trust and New Age Alpha Advisors, LLC (Order) |
812-15187 | IC-34322 | Jul. 6, 2021 | New Age Alpha Trust and New Age Alpha Advisors, LLC (Notice) |
812-14290 | IC-31185 | Jul. 23, 2014 | The New Ireland Fund, Inc. and Kleinwort Benson Investors International Ltd. (Notice) |
812-14290 | IC-31216 | Aug. 19, 2014 | The New Ireland Fund, Inc. and Kleinwort Benson Investors International Ltd. (Order) |
812-15342 | IC-34691 | Aug. 30, 2022 | New Mountain Capital, L.L.C., et al. (Order) |
812-15342 | IC-34663 | Aug. 4, 2022 | New Mountain Capital, L.L.C., et al. (Notice) |
812-15030 | IC-33624 | Sep. 12, 2019 | New Mountain Finance Corporation, et al. (Notice) |
812-15030 | IC-33656 | Oct. 8, 2019 | New Mountain Finance Corporation, et al. (Order) |
812-14799 | IC-32941 | Dec. 18, 2017 | New Mountain Finance Corporation, et al. (Order) |
812-14799 | IC-32900 | Nov. 20, 2017 | New Mountain Finance Corporation, et al. (Notice) |
812-14699 | IC-32668 | Jun. 5, 2017 | New Mountain Finance Corporation, et al. (Order) |
812-14699 | IC-32630 | May 8, 2017 | New Mountain Finance Corporation, et al. (Notice) |
812-14279 | IC-31329 | Nov. 5, 2014 | New Mountain Finance Corporation (Order) |
812-14279 | IC-31282 | Oct. 10, 2014 | New Mountain Finance Corporation, et al. (Notice) |
812-13319 | IC-27653 | Jan. 3, 2007 | New River Funds and New River Advisers LLC (Notice) |
812-13319 | IC-27690 | Jan. 30, 2007 | New River Funds and New River Advisers LLC (Order) |
812-14450 | IC-32109 | May 10, 2016 | Newtek Business Services Corp. (Order) |
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) |
812-14419 | IC-31667 | Jun. 12, 2015 | New York Alaska ETF Management LLC, et al. (Notice) |
812-15121 | IC-34101 | Nov. 20, 2020 | New York Life Insurance and Annuity Corporation, et al. (Order) |
812-15121 | IC-34079 | Oct. 30, 2020 | New York Life Insurance and Annuity Corporation, Et Al (Notice) |
812-14589 | IC-32227 | Aug. 23, 2016 | New York Life Insurance and Annuity Corporation, et al. (Order) |
812-14589 | IC-32193 | Jul. 26, 2016 | New York Life Insurance and Annuity Corporation, et al. (Notice) |
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) |
812-14430 | IC-32048 | Mar. 24, 2016 | NexPoint Capital, Inc., et al. (Notice) |
812-14430 | IC-32078 | Apr. 19, 2016 | NexPoint Capital, Inc., et al. (Order) |
812-14407 | IC-31488 | Feb. 26, 2015 | Nexpoint Credit Strategies Fund, et al. (Order) |
812-14407 | IC-31448 | Feb. 5, 2015 | Nexpoint Credit Strategies Fund, et al. (Notice) |
812-14472 | IC-32362 | Nov. 22, 2016 | NF Investment Corp., et al. (Order) |
812-14472 | IC-32340 | Oct. 27, 2016 | NF Investment Corp., et al. (Notice) |
812-14161 | IC-30900 | Jan. 31, 2014 | NF Investment Corp., et al. (Notice) |
812-14161 | IC-30968 | Feb. 26, 2014 | NF Investment Corp., et al. (Order) |
812-13942 | IC-30630 | Jul. 25, 2013 | NGAM Advisors, L.P., et al. (Notice) |
812-13942 | IC-30654 | Aug. 20, 2013 | NGAM Advisors, L.P., et al. (Order) |
812-13941 | IC-30594 | Jul. 9, 2013 | NGAM Advisors, L.P., et al. (Notice) |
812-13941 | IC-30643 | Aug. 6, 2013 | NGAM Advisors, L.P., et al. (Order) |
812-13695 | IC-29831 | Oct. 7, 2011 | NGP Capital Resources Company, et al. (Notice) |
812-13695 | IC-29860 | Nov. 10, 2011 | NGP Capital Resources Company, et al. (Order) |
812-14500 | IC-31760 | Aug. 13, 2015 | Nile Capital Investment Trust, et al. (Notice) |
812-14500 | IC-31813 | Sep. 9, 2015 | Nile Capital Invesment Trust, et al. (Order) |
812-14957 | IC-33719 | Dec. 17, 2019 | North Square Investments Trust and North Square Investments, LLC (Order) |
812-14957 | IC-33702 | Nov. 21, 2019 | North Square Investments Trust, et al. (Notice) |
812-15155 | IC-34133 | Dec. 9, 2020 | Northern Funds and Northern Trust Investments, Inc. (Order) |
812-15155 | IC-34095 | Nov. 13, 2020 | Northern Funds and Northern Trust Investments, Inc. (Notice) |
812-13707 | IC-29368 | Jul. 23, 2010 | Northern Funds, et al. (Notice) |
812-13707 | IC-29381 | Aug. 18, 2010 | Northern Funds, et al. (Order) |
812-13424 | IC-28119 | Jan. 16, 2008 | Northern Institutional Funds (Notice) |
812-13424 | IC-28149 | Feb. 12, 2008 | Northern Institutional Funds, Northern Funds, Northern Trust Investments, N.A. (Order) |
812-15282 | IC-34537 | Mar. 22, 2022 | Northern Lights Fund Trust IV, First Manhattan Co. and Northern Lights Distributors, LLC (Order) |
812-15282 | IC-34516 | Feb. 24, 2022 | Northern Lights Fund Trust IV, et al. (Notice) |
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) |
812-15032 | IC-33585 | Aug. 9, 2019 | Howard Capital Management, Inc. and Northern Lights Fund Trust III (Order) |
812-15032 | IC-33551 | Jul. 11, 2019 | Northern Lights Fund Trust III, et al. (Notice) |
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) |
812-14898 | IC-33503 | Jun. 7, 2019 | Nuveen Churchill BDC LLC, et al. (Order) |
812-14898 | IC-33475 | May 15, 2019 | Nuveen Churchill BDC LLC, et al. (Notice) |
812-15322 | IC-34728 | Oct. 14, 2022 | Nuveen Churchill Direct Lending Corp., et al. (Order) |
812-15322 | IC-34702 | Sep. 15, 2022 | Nuveen Churchill Direct Lending Corp., et al. (Notice) |
812-14428 | IC-31705 | Jul. 6, 2015 | Nuveen ETF Trust, et al. (Order) |
812-15199 | IC-34265 | May 4, 2021 | Nushares ETF Trust, et al. (Order) |
812-15199 | IC-34243 | Apr. 8, 2021 | Nuveen Fund Advisors, LLC, et al. (Notice) |
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 |
812-15284 | IC-34498 | Feb. 9, 2022 | Oaktree Fund Advisors, LLC and Oaktree Strategic Credit Fund (Order) |
812-15284 | IC-34470 | Jan. 14, 2022 | Oaktree Fund Advisors, LLC and Oaktree Strategic Credit Fund (Notice) |
812-15246 | IC-34464 | Jan. 5, 2022 | Oaktree Diversified Income Fund Inc. and Oaktree Fund Advisors, LLC (Order) |
812-15246 | IC-34436 | Dec. 10, 2021 | Oaktree Fund Advisors, LLC and Oaktree Diversified Income Fund Inc. (Notice) |
812-15156 | IC-34141 | Dec. 15, 2020 | Oaktree Strategic Income II, Inc., et al. (Order) |
812-15156 | IC-34099 | Nov. 18, 2020 | Oaktree Strategic Income II, Inc., et al. (Notice) |
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) |
812-14887 | IC-33402 | Mar. 19, 2019 | OBP Capital LLC and Spinnaker ETF Series (Order) |
812-14887 | IC-33381 | Feb. 21, 2019 | OBP Capital LLC, et al. (Notice) |
812-14853 | IC-33204 | Aug. 20, 2018 | OFI Carlyle Private Credit Fund (formerly, OFI Carlyle Global Private Credit Fund) and OC Private Capital, LLC (Order) |
812-14853 | IC-33168 | Jul. 24, 2018 | OFI Carlyle Private Credit Fund and OC Private Capital, LLC (Notice) |
812-14909 | IC-33962 | Aug. 4, 2020 | OFS Capital Corp., et al. (Order) |
812-14909 | IC-33922 | Jul. 8, 2020 | OFS Capital Corp., et al. (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) |
812-15101 | IC-34264 | May 4, 2021 | The Ohio National Life Insurance Company, et al. (Order) |
812-15101 | IC-34242 | Apr. 7, 2021 | The Ohio National Life Insurance Company, et al. (Notice) |
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) |
812-15234 | IC-34546 | Mar. 29, 2022 | Onex Falcon Direct Lending BDC Fund, et al. (Order) |
812-15234 | IC-34523 | Mar. 2, 2022 | Onex Falcon Direct Lending BDC Fund, et al (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) |
812-15183 | IC-34410 | Oct. 25, 2021 | Optimum Fund Trust, et al. (Order) |
812-15183 | IC-34386 | Sep. 27, 2021 | Optimum Fund Trust, et al. (Notice) |
812-15250 | IC-34409 | Oct. 21, 2021 | The Optima Dynamic Alternatives Fund and Optima Asset Management LLC (Order) |
812-15250 | IC-34381 | Sep. 24, 2021 | The Optima Dynamic Alternatives Fund, Et Al (Notice) |
812-14929 | IC-33443 | Apr. 9, 2019 | O'Shaughnessy Asset Management, LLC, et al. (Order) |
812-14929 | IC-33395 | Mar. 11, 2019 | O'Shaughnessy Asset Management, LLC, et al. (Notice) |
812-15060 | IC-33705 | Nov. 26, 2019 | OSI ETF Trust and O’Shares Investment Advisers, LLC (Order) |
812-15060 | IC-33678 | Oct. 29, 2019 | OSI ETF Trust, et al. (Notice) |
812-14960 | IC-33366 | Feb. 1, 2019 | OSI ETF Trust, et al. (Order) |
812-14960 | IC-33330 | Dec. 19, 2018 | OSI ETF Trust, 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) |
812-15341 | IC-34696 | Sep. 7, 2022 | Owl Rock Capital Corporation, et al. (Order) |
812-15341 | IC-34670 | Aug. 10, 2022 | Owl Rock Capital Corporation, et al. (Notice) |
812-15095 | IC-34012 | Sep. 15, 2020 | Owl Rock Capital Corporation II, Owl Rock Core Income Corp. and Owl Rock Capital Advisors LLC (Order) |
812-15095 | IC-33972 | Aug. 17, 2020 | Owl Rock Capital Corporation II, 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) |
812-14974 | IC-33397 | Mar. 12, 2019 | Pacer Funds Trust, et al. (Order) |
812-14974 | IC-33374 | Feb. 13, 2019 | Pacer Funds Trust, et al. (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) |
812-15360 | IC-34697 | Sep. 8, 2022 | Pacific Funds Series Trust, Pacific Select Fund, and Pacific Life Fund Advisors LLC (Order) |
812-15360 | IC-34671 | Aug. 11, 2022 | Pacific Funds Series15 Trust, et al. (Notice) |
812-14933 | IC-33353 | Jan. 29, 2019 | Pacific Global ETF Trust and Cadence Capital Management LLC (Order) |
812-14933 | IC-33320 | Dec. 11, 2018 | Pacific Global ETF Trust and Cadence Capital Management LLC (Notice) |
812-14934 | IC-33326 | Dec. 17, 2018 | Pacific Global ETF Trust and Cadence Capital Management LLC (Order) |
812-14934 | IC-33296 | Nov. 19, 2018 | Pacific Global ETF Trust and Cadence Capital Management LLC (Notice) |
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) |
812-15113 | IC-34167 | Jan. 8, 2021 | Palmer Square Capital Bdc Inc., et al. (Order) |
812-15113 | IC-34139 | Dec. 14, 2020 | Palmer Square Capital BDC Inc., et al. (Notice) |
812-15267 | IC-34557 | Apr. 11, 2022 | Panagram Capital, LLC, et al. (Order) |
812-15267 | IC-34531 | Mar. 14, 2022 | Panagram Capital, LLC, et al. (Notice) |
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) |
812-15248 | IC-34808 | Jan. 17, 2023 | PCM Fund, Inc., et al. (Order) |
812-15248 | IC-34779 | Dec. 19, 2022 | PCM Fund, Inc., et al. (Notice) |
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) |
812-15305 | IC-34742 | Oct. 28, 2022 | PennantPark Investment Advisers, LLC, et al. (Order) |
812-15305 | IC-34723 | Oct. 3, 2022 | PennantPark Investment Advisers, LLC, et al. (Notice) |
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) |
812-15010 | IC-33595 | Aug. 20, 2019 | PFS Funds and Castle Investment Management, LLC (Order) |
812-15010 | IC-33563 | Jul. 23, 2019 | PFS Funds and Castle Investment Management, LLC. (Notice) |
812-15266 | IC-34455 | Dec. 29, 2021 | PGIM Private Real Estate Fund, et al. (Order) |
812-15266 | IC-34434 | Dec. 3, 2021 | PGIM Private Real Estate Fund, Inc. (Notice) |
812-14891 | IC-33394 | Mar. 11, 2019 | Pharos Capital BDC, Inc., et al. (Order) |
812-14891 | IC-33372 | Feb. 8, 2019 | Pharos Capital BDC, Inc., et al. (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) |
812-5611 | IC-34676 | Aug. 17, 2022 | Piedmont Income Fund, Inc. (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) |
812-14767 | IC-33262 | Oct. 2, 2018 | PIMCO Flexible Credit Income Fund, et al. (Order) |
812-14767 | IC-33219 | Sep. 6, 2018 | PIMCO Flexible Credit Income Fund, 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) |
812-15018 | IC-33546 | Jul. 8, 2019 | Pioneer ETF Series Trust I, et al. (Order) |
812-15018 | IC-33506 | Jun. 12, 2019 | Pioneer ETF Series Trust I, et al. (Notice) |
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) |
813-00393 | IC-34568 | Apr. 21, 2022 | Point72 Employee Investment Fund, L.P. and Point72 Asset Management, L.P. (Order) |
813-00393 | IC-34365A | Sep. 15, 2021 | Point72 Employee Investment Fund, L.P. and Point72 Asset Management, L.P. (Notice) |
813-00393 | IC-34365 | Aug. 26, 2021 | Point72 Employee Investment Fund, L.P. and Point72 Asset Management, L.P. (Notice) |
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) |
812-15218 | IC-34398 | Oct. 13, 2021 | Pomona Investment Fund, et al. (Order) |
812-15218 | IC-34374 | Sep. 14, 2021 | Pomona Investment Fund, 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) |
812-14405 | IC-33477 | May 20, 2019 | Precidian ETFs Trust, et al. (Order) |
812-14405 | IC-33440 | Apr. 8, 2019 | Precidian ETFs Trust, et al. (Notice) See also: Additional information |
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) |
812-15139 | IC-34098 | Nov. 17, 2020 | Primark Private Equity Investments Fund and Primark Advisors LLC (Order) |
812-15139 | IC-34054 | Oct. 20, 2020 | Primark Private Equity Investments Fund and Primark Advisors LLC (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) |
812-14932 | IC-33441 | Apr. 8, 2019 | Principal Diversified Select Income Fund, et al. (Notice) |
812-14932 | IC-33466 | May 6, 2019 | Principal Diversified Select Income Fund, et al. (Order) |
812-15083 | IC-34125 | Dec. 1, 2020 | Principal Diversified Select Real Asset Fund, et al. (Order) |
812-15083 | IC-34086 | Nov. 4, 2020 | Principal Diversified Select Real Asset Fund, et al. (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) |
812-15308 | IC-34571 | Apr. 26, 2022 | Principal Exchange-Traded Funds, et al. (Order) |
812-15308 | IC-34550 | Mar. 30, 2022 | Principal Exchange-Traded Funds, et al. (Notice) |
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) |
812-15115 | IC-34013 | Sep. 15, 2020 | Principal Funds, Inc., et al. (Order) |
812-15115 | IC-33973 | Aug. 19, 2020 | Principal Funds, Inc., et al. (Notice) |
812-14866 | IC-33843 | Apr. 21, 2020 | Principal Funds, Inc. et al. (Notice) |
812-14866 | IC-33886 | May 20, 2020 | Principal Funds, Inc., et al. (Order) |
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) |
812-14772 | IC-33292 | Nov. 7, 2018 | Procure Active ETF Trust, ProcureAM, LLC, and Quasar Distributors LLC (Order) |
812-14772 | IC-33273 | Oct. 17, 2018 | Procure Active ETF Trust, et al. (Notice) |
812-14771 | IC-33291 | Nov. 7, 2018 | Procure ETF Trust I, ProcureAM, LLC, and Quasar Distributors LLC (Order) |
812-14771 | IC-33274 | Oct. 17, 2018 | Procure ETF Trust I, et al. (Notice) |
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) |
812-15330 | IC-34659 | Aug. 2, 2022 | Prospect Capital Corporation, et al. (Order) |
812-15330 | IC-34642 | Jul. 5, 2022 | Prospect Capital Corporation, et al. (Notice) |
812-14977 | IC-33745 | Jan. 13, 2020 | Prospect Capital Corporation, et al. (Order) |
812-14977 | IC-33716 | Dec. 16, 2019 | Prospect Capital Corporation, et al. (Notice) |
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) |
812-15037 | IC-33800 | Feb. 19, 2020 | Prospect Capital Management L.P., et al. (Notice) |
812-15037 | IC-33822 | Mar. 24, 2020 | Prospect Capital Management L.P., et al. (Order) |
812-15393 | IC-34776 | Dec. 16, 2022 | Prospect Floating Rate and Alternative Income Fund, Inc. and Prospect Capital Management L.P. (Order) |
812-15393 | IC-34755 | Nov. 21, 2022 | Prospect Floating Rate and Alternative Income Fund, Inc. and Prospect Capital Management L.P. (Notice) |
812-15297 | IC-34807 | Jan. 13, 2023 | Prospect Capital Management L.P. and Prospect Floating Rate and Alternative Income Fund, Inc. (Notice) |
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) |
812-5419 | IC-34679 | Aug. 17, 2022 | Prudential-Bache Option Growth Fund, Inc (Order) |
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) |
812-15203 | IC-34266 | May 10, 2021 | Putnam ETF Trust, et al. (Order) |
812-15203 | IC-34245 | Apr. 15, 2021 | Putnam ETF Trust, et al. (Notice) |
812-14970 | IC-33474 | May 14, 2019 | Putnam Managed Municipal Income Trust, et al. (Order) |
812-14970 | IC-33449 | Apr. 17, 2019 | Putnam Managed Municipal Income Trust, et al. (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) |
Q | |||
File No. | Release No. | Date | Investment Company |
812-15319 | IC-34668 | Aug. 9, 2022 | Quaker Investment Trust and Community Capital Management, LLC (Order) |
812-15319 | IC-34648 | Jul. 13, 2022 | Quaker Investment Trust and Community Capital Management, LLC. (Notice) |
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) |
812-15348 | IC-34695 | Sep. 6, 2022 | Rand Capital Corporation, et al. (Order) |
812-15348 | IC-34667 | Aug. 9, 2022 | Rand Capital Corporation, et al. (Notice) |
812-15174 | IC-34237 | Mar. 29, 2021 | Rand Capital Corporation, et al. (Order) |
812-15174 | IC-34218 | Mar. 1, 2021 | Rand Capital Corporation, et al. (Notice) |
812-15108 | IC-34006 | Sep. 11, 2020 | Rand Capital Corporation, et al. (Notice) |
812-15108 | IC-34046 | Oct. 7, 2020 | Rand Capital Corporation, et al. (Order-correction) |
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) |
812-15165 | IC-34215 | Feb. 26, 2021 | The RBB Fund, Inc., et al. (Order) |
812-15165 | IC-34189 | Feb. 5, 2021 | The RBB Fund, Inc., et al. (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) |
812-15402 | IC-34804 | Jan. 12, 2023 | RBB Fund Trust and Element ETFs, LLC. (Notice) |
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) |
812-15245 | IC-34553 | Apr. 1, 2022 | Redwood Enhanced Income Corp., et al. (Order) |
812-15245 | IC-34480 | Jan. 21, 2022 | Redwood Enhanced Income Corp., 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) |
812-15147 | IC-34033 | Sep. 29, 2020 | Resource Credit Income Fund and Sierra Crest Investment Management LLC (Order) |
812-15147 | IC-34001 | Sep. 2, 2020 | Resource Credit Income Fund and Sierra Crest Investment Management LLC (Notice) |
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) |
812-14981 | IC-33471 | May 8, 2019 | Roundhill Financial LLC and Listed Funds Trust (Order) |
812-14981 | IC-33446 | Apr. 12, 2019 | Roundhill Financial LLC and Listed Funds Trust (Notice) |
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) |
812-15386 | IC-34757 | Nov. 22, 2022 | Royalty Pharma Plc and Royalty Pharma Finance Corporation (Order) |
812-15386 | IC-34741 | Oct. 27, 2022 | Royalty Pharma Plc and Royalty Pharma Finance Corporation (Notice) |
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) |
812-15134 | IC-34238 | Mar. 30, 2021 | Russell Investment Company and Russell Investment Funds and Russell Investment Management, LLC (Order) |
812-15134 | IC-34200 | Feb. 23, 2021 | Russell Investment Company, et al. (Notice) |
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) |
812-15350 | IC-34692 | Aug. 30, 2022 | Runway Growth Finance Corp., et al. (Order) |
812-15350 | IC-34664 | Aug. 4, 2022 | Runway Growth Finance Corp., et al. (Notice) |
812-15105 | IC-33967 | Aug. 10, 2020 | Runway Growth Credit Fund Inc., et al. (Order) |
812-15105 | IC-33925 | Jul. 13, 2020 | Runway Growth Credit Fund, Inc., et al. (Notice) |
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) |
812-14961 | IC-33362 | Jan. 31, 2019 | RYZZ Capital Management, LLC, et al. (Order) |
812-14961 | IC-33332 | Dec. 19, 2018 | RYZZ Capital Management, LLC, et al. (Notice) |
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) |
812-15216 | IC-34323 | Jul. 7, 2021 | Schwab Strategic Trust, Charles Schwab Investment Management, Inc. and Sei Investments Distribution Co. (Order) |
812-15216 | IC-34298 | Jun. 11, 2021 | Schwab Strategic Trust, et al. (Notice) |
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) |
812-15268 | IC-34437 | Dec. 13, 2021 | SEI Asset Allocation Trust, et al. (Order) |
812-15268 | IC-34418 | Nov. 15, 2021 | SEI Asset Allocation Trust, Et Al (Notice) |
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) |
812-15185 | IC-34262 | May 3, 2021 | SharesPost 100 Fund and Liberty Street Advisors, Inc. (Order) |
812-15185 | IC-34240 | Apr. 5, 2021 | SharesPost 100 Fund and Liberty Street Advisors, Inc. (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) |
813-00395 | IC-34175 | Jan. 19, 2021 | Signature PE Fund, LLC and McDermott Will & Emery LLP (Order) |
813-00395 | IC-34145 | Dec. 21, 2020 | Signature PE Fund, LLC and McDermott Will & Emery LLP (Notice) |
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) |
812-14556 | IC-34506 | Feb. 15, 2022 | Silver Point Specialty Lending Fund, et al. (Order) |
812-14556 | IC-34472 | Jan. 19, 2022 | Silver Point Specialty Lending Fund, et al. (Notice) |
812-15339 | IC-34798 | Jan. 9, 2023 | Silver Spike Investment Corp., et al. (Order) |
812-15339 | IC-34771 | Dec. 12, 2022 | Silver Spike Investment Corp., et al. (Notice) |
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) |
812-15154 | IC-34306 | Jun. 21, 2021 | Simplify Exchange Traded Funds and Simplify Asset Management Inc. (Order) |
812-15154 | IC-34274 | May 24, 2021 | Simplify Exchange Traded Funds and Simplify Asset Management 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) |
812-15090 | IC-34660 | Aug. 3, 2022 | Sixth Street Specialty Lending, Inc., et al. (Order) |
812-15090 | IC-34644 | Jul. 8, 2022 | Sixth Street Specialty Lending, Inc., Et Al (Notice) |
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) |
812-15159 | IC-34085 | Nov. 4, 2020 | Snowflake, Inc. (Order) |
812-15159 | IC-34049 | Oct. 9, 2020 | Snowflake, Inc. (Notice) |
812-14735 | IC-32677 | Jun. 13, 2017 | Solar Capital Ltd., et al. (Order) |
812-14735 | IC-32638 | May 17, 2017 | Solar Capital Ltd., et al. (Notice) |
812-14195 | IC-31187 | Jul. 28, 2014 | Solar Capital Ltd., Solar Senior Capital Ltd., and Solar Capital Partners, LLC (Order) |
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) |
812-14937 | IC-33386 | Mar. 4, 2019 | The Special Opportunities Fund, Inc. and Bulldog Investors, LLC (Order) |
812-14937 | IC-33367 | Feb. 4, 2019 | Special Opportunities Fund, Inc. and Bulldog Investors, LLC (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 |
812-15122 | IC-33969 | Aug. 12, 2020 | Spinnaker ETF Series, Obp Capital LLC and Capital Investment Group, Inc. (Order) |
812-15123 | IC-34018 | Sep. 23, 2020 | Spinnaker ETF Series, Obp Capital LLC and Capital Investment Group, Inc. (Order) |
812-15123 | IC-33998 | Aug. 28, 2020 | Spinnaker ETF Series, et al. (Notice) |
812-15122 | IC-33929 | Jul. 17, 2020 | Spinnaker ETF Series, et al. (Notice) |
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) |
812-15120 | IC-34228 | Mar. 23, 2021 | Star Mountain Credit Opportunities Fund, LP, et al. (Order) |
812-15120 | IC-34202 | Feb. 23, 2021 | Star Mountain Credit Opportunities Fund, LP, et al. (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) |
812-15255 | IC-34579 | May 9, 2022 | Stellus Capital Investment Corporation, et al. (Order) |
812-15255 | IC-34556 | Apr. 11, 2022 | Stellus Capital Investment Corporation, et al. (Notice) |
812-14855 | IC-33316 | Dec. 4, 2018 | Stellus Capital Investment Corporation, et al. (Order) |
812-14855 | IC-33289 | Nov. 6, 2018 | Stellus Capital Investment Corporation, et al. (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) |
812-15168 | IC-34614 | Jun. 14, 2022 | Stone Point Credit Corporation, et al. (Order) |
812-15168 | IC-34588 | May 18, 2022 | Stone Point Credit Corporation, et al. (Notice) |
812-14900 | IC-33363 | Feb. 1, 2019 | Stone Ridge Trust II, et al. (Order) |
812-14900 | IC-33315 | Dec. 4, 2018 | Stone Ridge Trust II, et al. (Notice) |
812-15160 | IC-34223 | Mar. 16, 2021 | Strategas Trust and Strategas Securities, LLC (Order) |
812-15160 | IC-34195 | Feb. 16, 2021 | Strategas Trust and Strategas Securities, LLC (Notice) |
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) |
812-15076 | IC-33894 | Jun. 16, 2020 | Sutter Rock Capital Corp. (Order) |
812-15076 | IC-33868 | May 19, 2020 | Sutter Rock Capital Corp. (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) |
812-15066 | IC-34187 | Feb. 2, 2021 | Symmetry Panoramic Trust and Symmetry Partners, LLC (Order) |
812-15066 | IC-34165 | Jan. 6, 2021 | Symmetry Panoramic Trust and Symmetry Partners, LLC (Notice) |
812-14943 | IC-33478 | May 21, 2019 | Symmetry Panoramic Trust and Symmetry Partners, LLC (Order) |
812-14943 | IC-33452 | Apr. 23, 2019 | Symmetry Panoramic Trust and Symmetry Partners, LLC (Notice) |
812-14942 | IC-33364 | Feb. 1, 2019 | Symmetry Panoramic Trust and Symmetry Partners, LLC (Order) |
812-14942 | IC-33317 | Dec. 6, 2018 | Symmetry Panoramic Trust and Symmetry Partners, LLC (Notice) |
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 |
812-15197 | IC-34272 | May 18, 2021 | T. Rowe Price Associates, Inc., et al. (Order) |
812-15197 | IC-34248 | Apr. 22, 2021 | T. Rowe Price Associates, Inc., et al. (Notice) |
812-14214 | IC-33685 | Nov. 14, 2019 | T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc. (Notice) |
812-14214 | IC-33713 | Dec. 10, 2019 | T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc. (Order) |
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) |
812-15143 |