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 | R | S | T | U | V | W | XYZ

File No.	Release No.	Date	Investment Company
A
812-14682	IC-32735	Jul. 18, 2017	1889 BDC, Inc., et al. (Order)
812-14682	IC-32687	Jun. 21, 2017	1889 BDC, Inc., et al. (Notice)
812-13251	IC-27918	Jul. 31, 2007	AARP Funds, et al. (Notice)
812-13251	IC-27956	Aug. 28, 2007	AARP Funds, et al. (Order)
812-14677	IC-32600	Apr. 18, 2017	AB Bond Fund, Inc., et al. (Order)
812-14677	IC-32540	Mar. 22, 2017	AB Bond Fund Inc., et al. (Notice)
812-14235	IC-31496	Mar. 3, 2015	AB Cap Fund, Inc., Alliancebernstein L.P. (Order)
812-14235	IC-31449	Feb. 6, 2015	AB Cap Fund, Inc., et al. (Notice)
812-14925	IC-33191	Aug. 6, 2018	AB Private Credit Investors Corp., et al. (Order)
812-14925	IC-33152	Jul. 9, 2018	AB Private Credit Investors Corp., et al. (Notice)
812-14920	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)
812-14696	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)
812-14299	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)
812-14912	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-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)
812-13578	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)
812-14722	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)
812-14663	IC-32418	Jan. 9, 2017	Alpha Architect ETF Trust, et al. (Order)
812-14663	IC-32389	Dec. 12, 2016	Alpha Architect ETF Trust, et al. (Notice)
812-14474	IC-31820	Sep. 11, 2015	AlphaClone, Inc., et al. (Notice)
812-14474	IC-31858	Oct. 5, 2015	AlphaClone, Inc., et al. (Order)
812-14402	IC-31469	Feb. 24, 2015	Alphamark Advisors, LLC et al. (Order)
812-14402	IC-31430	Jan. 28, 2015	Alphamark Advisors, LLC, et al. (Notice)
812-13630	IC-28897	Sep. 4, 2009	Alpine Global Dynamic Dividend Fund, et al. (Notice)
812-13630	IC-28937	Sep. 30, 2009	Alpine Global Dynamic Dividend Fund, et al. (Order)
812-13430	IC-28235	Apr. 9, 2008	ALPS Advisers, Inc., et al. (Notice)
812-13430	IC-28262	May 1, 2008	ALPS Advisers, Inc., et al. (Order)
812-14225	IC-31011	Apr. 8, 2014	ALPS ETF Trust, ALPS Advisors, Inc., ALPS Distributors, Inc., and ALPS Portfolio Solutions Distributor, Inc. (Notice)
812-14225	IC-31039	May 6, 2014	ALPS ETF Trust, ALPS Advisors, Inc., ALPS Distributors, Inc., and ALPS Portfolio Solutions Distributor, Inc. (Order)
812-14517	IC-31759	Aug. 13, 2015	ALPS ETMF Trust, et al. (Notice)
812-14517	IC-31815	Sep. 9, 2015	ALPS ETMF Trust, et al. (Order)
812-13884	IC-30553	Jun. 11, 2013	ALPS ETF Trust, et al. (Order)
812-13884	IC-30519	May 14, 2013	ALPS ETF Trust, et al. (Notice)
812-14218	IC-30858	Jan. 15, 2014	ALPS Series Trust, Brinker Capital, Inc. and ALPS Distributors, Inc. (Notice)
812-14218	IC-30917	Feb. 11, 2014	ALPS Series Trust, Brinker Capital, Inc. and ALPS Distributors, Inc. (Order)
812-14894	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)
812-15035	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)
812-14325	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)
812-13754	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)
812-14434	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)
812-14479	IC-31864	Oct. 7, 2015	ARK ETF Trust, et al. (Notice)
812-14479	IC-31889	Nov. 2, 2015	ARK ETF Trust, et al. (Order)
812-14172	IC-31009	Apr. 7, 2014	ARK ETF Trust, et al. (Notice)
812-14172	IC-31034	Apr. 29, 2014	ARK ETF Trust, et al. (Order)
812-14157	IC-30813	Nov. 26, 2013	Arrow Investment Advisors, LLC, and Arrow Investments Trust (Notice)
812-14157	IC-30846	Dec. 24, 2013	Arrow Investment Advisors, LLC and Arrow Investments Trust (Order)
812-13937	IC-30127	Jul. 3, 2012	Arrow Investment Advisers, LLC, et al. (Order)
812-13937	IC-30100	June 6, 2012	Arrow Investment Advisers, LLC, et al. (Notice)
812-13405	IC-28852	Aug. 25, 2009	Arrow Investment Advisers, LLC, et al. (Notice)
812-13405	IC-28910	Sep. 22, 2009	Arrow Investment Advisers, LLC, et al. (Order)
812-13877	IC-30539	May 22, 2013	ASA Gold and Precious Metals Limited (Notice)
812-13877	IC-30561	Jun. 18, 2013	ASA Gold and Precious Metals Limited (Order)
812-13866	IC-29793	Sep. 19, 2011	ASGI Agility Income Fund, et al. (Notice)
812-13866	IC-29837	Oct. 17, 2011	ASGI Agility Income Fund, et al. (Order)
812-14389	IC-32432	Jan. 24, 2017	Aspiration Funds and Aspiration Fund Adviser, LLC (Notice)
812-14389	IC-32504	Feb. 22, 2017	Aspiration Funds and Aspiration Fund Adviser, LLC (Order)
812-14155	IC-30640	Aug. 5, 2013	Aspiriant Global Equity Trust and Aspiriant, LLC (Notice)
812-14155	IC-30684	Sep. 3, 2013	Aspiriant Global Equity Trust and Aspiriant, LLC (Order)
812-14467	IC-32672	Jun. 6, 2017	Aspiriant Trust, et al. (Order)
812-14467	IC-32634	May 11, 2017	Aspiriant Trust, et al. (Notice)
812-13746	IC-29125	Jan. 26, 2010	Assurant, Inc., et al. (Notice)
812-13746	IC-29133	Feb. 23, 2010	Assurant, Inc., et al. (Order)
812-13375	IC-27910	Jul. 25, 2007	Aston Funds and Aston Asset Management LLC (Order)
812-13375	IC-27879	Jun. 29, 2007	Aston Funds et al. (Notice)
812-13775	IC-29400	Aug. 26, 2010	Aston Funds, et al. (Notice)
812-13775	IC-29443	Sep. 27, 2010	Aston Funds, et al. (Order)
812-14862	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)
B
File No.	Release No.	Date	Investment Company
812-13910	IC-29726	Jul. 18, 2011	BAC Home Loans Servicing, LP, et al. (Notice and Temporary Order)
812-13910	IC-29753	Aug. 15, 2011	BAC Home Loans Servicing, LP, et al. (Order)
812-13910	IC-29688	Jun. 1, 2011	BAC Home Loans Servicing, LP, et al. (Temporary Order)
812-14766	IC-33051	Mar. 22, 2018	Bain Capital Specialty Finance, Inc., et al. (Order)
812-14766	IC-33031	Feb. 23, 2018	Bain Capital Specialty Finance, Inc., et al. (Notice)
812-14575	IC-32226	Aug. 23, 2016	Bain Capital Specialty Finance, Inc., et al. (Order)
812-14575	IC-32197	Jul. 29, 2016	Bain Capital Specialty Finance, Inc., et al. (Notice)
812-12903	IC-28526	Dec. 1, 2008	Banc of America Funds Trust, et al. (Notice)
812-12903	IC-28573	Dec. 29, 2008	Banc of America Funds Trust, et al. (Order)
812-14390	IC-31359	Nov. 25, 2014	Banc of America Mortgage Securities, Inc, et al. (Notice and Temporary Order)
812-14390	IC-31397	Dec. 23, 2014	Banc of America Mortgage Securities, Inc., et al. (Order)
812-13662	IC-28764	Jun. 9, 2009	Banc of America Securities LLC, et al. (Notice and Temporary Order)
812-13662	IC-28810	Jul. 7, 2009	Banc of America Securities LLC, et al. (Order)
812-13936	IC-29864	Nov. 17, 2011	Bandon Capital Management, LLC and Northern Lights Fund Trust (Notice)
812-13936	IC-29882	Dec. 13, 2011	Bandon Capital Management, LLC and Northern Lights Fund Trust (Order)
812-14680-01	IC-32348	Nov. 1, 2016	The Bank of New York Mellon Trust Company, National Association and The Bank of New York Mellon (Order)
812-14680-01	IC-32309	Oct. 7, 2016	The Bank of New York Mellon Trust Company, National Association and The Bank of New York Mellon (Notice)
812-13391	IC-27851	Jun. 6, 2007	Barclays Global Fund Advisors (Notice)
812-13391	IC-27882	Jul. 5, 2007	Barclays Global Fund Advisors (Order)
812-13485	IC-28146	Feb. 6, 2008	Barclays Global Fund Advisors, et al. (Notice)
812-13485	IC-28173	Feb. 27, 2008	Barclays Global Fund Advisors, et al. (Order)
812-13208	IC-27608	Dec. 21, 2006	Barclays Global Fund Advisors, et al. (Notice)
812-13208	IC-27661	Jan. 17, 2007	Barclays Global Fund Advisors, iShares, Inc., iShares Trust, SEI Investments Distribution Co. (Order)
812-14689	IC-32864	Oct. 19, 2017	Barings Corporate Investors, et al., (Order)
812-14689	IC-32822	Sep. 20, 2017	Barings Corporate Investors, et al. (Notice)
812-14607	IC-32786	Aug. 21, 2017	Barings LLC, et al. (Order)
812-14607	IC-32734	Jul. 18, 2017	Barings LLC, et al. (Notice)
812-14860	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)
812-14497	IC-32209	Aug. 8, 2016	Blackrock Funds, et al. (Notice)
813-366	IC-31341	Nov. 20, 2014	BlackRock, Inc., et al. (Notice)
813-366	IC-31376	Dec. 16, 2014	BlackRock, Inc., et al. (Order)
812-13784	IC-31335	Nov. 12, 2014	BlackRock Advisors, LLC BlackRock Funds FDP Series, Inc. (Order)
812-13784	IC-31291	Oct. 16, 2014	BlackRock Advisors, LLC, et al. (Notice)
812-13235	IC-28719	May 5, 2009	BlackRock International Growth and Income Trust et al. (Order)
812-13235	IC-28690	Apr. 7, 2009	Blackrock International Growth and Income Trust, et al. (Notice)
812-13964	IC-30160	Aug. 2, 2012	BlackRock Preferred Partners LLC, et al. (Notice)
812-13964	IC-30182	Aug. 28, 2012	BlackRock Preferred Partners LLC, et al. (Order)
812-14901	IC-33119	Jun. 6, 2018	BlackRock Variable Series Funds, Inc., et al. (Notice)
812-14901	IC-33145	Jul. 3, 2018	BlackRock Variable Series Funds, Inc., et al. (Order)
812-14967	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)
812-14835	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)
812-14625	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)
812-14240	IC-31279	Oct. 7, 2014	BNY Mellon Funds Trust et al. (Order)
812-14240	IC-31245	Sep. 9, 2014	BNY Mellon Funds Trust, et al. (Notice)
812-14096	IC-30590	Jul. 3, 2013	BofA Funds Series Trust, et al. (Notice)
812-14096	IC-30638	Jul. 30, 2013	BofA Funds Series Trust, et al. (Order)
812-13916	IC-29741	Aug. 1, 2011	BofA Funds Series Trust, et al. (Notice)
812-13916	IC-29769	Aug. 24, 2011	BofA Funds Series Trust, et al. (Order)
813-00386	IC-32739	Jul. 25, 2017	The Boston Consulting Group, Inc. and Green Falcon Investors L.P. (Order)
813-00386	IC-32713	Jun. 27, 2017	The Boston Consulting Group, Inc. and Green Falcon Investors I, L.P. (Notice)
812-14654	IC-32377	Dec. 2, 2016	The Boston Trust & Walden Funds, et al. (Order)
812-14654	IC-32353	Nov. 7, 2016	The Boston Trust & Walden Funds, et al. (Notice)
812-13077	IC-28442	Oct. 20, 2008	Boulder Total Return Fund, Inc., et al. (Notice)
812-13077	IC-28486	Nov. 17, 2008	Boulder Total Return Fund, Inc., et al. (Order)
812-14413	IC-31765	Aug. 18, 2015	BPV Family of Funds, BPV Capital Management, LLC (Order)
812-14413	IC-31721	Jul. 21, 2015	BPV Capital Management, LLC and BPV Family of Funds (Notice)
812-14809	IC-32925	Nov. 28, 2017	Brandes Investment Trust, et al. (Order)
812-14809	IC-32893	Nov. 2, 2017	Brandes Investment Trust, et al. (Notice)
812-14492	IC-32103	May 4, 2016	Bridge Builder Trust, et al. (Notice)
812-14118	IC-30592	Jul. 9, 2013	Bridge Builder Trust, et al. (Notice)
812-14118	IC-30641	Aug. 6, 2013	Bridge Builder Trust, et al. (Order)
812-13525	IC-28685	Apr. 1, 2009	Bridgeway Capital Management, Inc. (Notice)
812-14718	IC-32535	Mar. 16, 2017	Brinker Capital Destinations Trust and Brinker Capital, Inc. (Order)
812-14718	IC-32479	Feb. 14, 2017	Brinker Capital Destinations Trust, et al. (Notice)
812-13525	IC-28716	Apr. 28, 2009	Bridgeway Capital Management, Inc. (Order)
812-14724	IC-32534	Mar. 16, 2017	Brinker Capital Destinations Trust and Brinker Capital, Inc. (Order)
812-14724	IC-32478	Feb. 14, 2017	Brinker Capital Destinations Trust, et al. (Notice)
812-14928	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
812-14169	IC-30628	Jul. 24, 2013	Calamos Advisors LLC, et al. (Notice)
812-14169	IC-30653	Aug. 20, 2013	Calamos Advisors LLC, et al. (Order)
812-13063	IC-28435	Oct. 7, 2008	Calamos Convertible Opportunities and Income Fund, et al. (Notice)
812-13552	IC-28615	Feb. 10, 2009	Calamos Convertible Opportunities and Income Fund, et al. (Order)
812-13063	IC-28483	Nov. 4, 2008	Calamos Convertible Opportunities and Income Fund, et al. (Order)
812-13552	IC-28603	Jan. 14, 2009	Calamos Convertible Opportunities and Income Fund, et al.(Notice)
812-14993	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)
812-14338	IC-31441	Feb. 2, 2015	Capital Group ETF Trust, et al. (Notice)
812-14338	IC-31491	Mar. 2, 2015	Capital Group ETF Trust, et al. (Order)
813-353	IC-29596	Mar. 8, 2011	Capital International, Inc. (Order)
813-353	IC-29577	Feb. 10, 2011	Capital International, Inc., et al. (Notice)
812-13616-09	IC-30150	Jul. 25, 2012	Capital Research and Management Company, et al. (Notice)
812-13616-09	IC-30173	Aug. 20, 2012	Capital Research and Management Company, et al. (Order)
812-14007	IC-29981	Mar. 14, 2012	Capital Research and Management Company, et al. (Notice)
812-14007	IC-30033	Apr. 10, 2012	Capital Research and Management Company, et al. (Order)
812-14740	IC-32742	Jul. 25, 2017	Capital Southwest Corporation (Notice)
812-14740	IC-32787	Aug. 22, 2017	Capital Southwest Corporation (Order)
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)
812-14426	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)
812-14729	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)
812-13857	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)
812-15001	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)
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)
812-14552	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)
812-14791	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)
812-13573	IC-28835	Jul. 22, 2009	Compagnie de Financement Foncier (Notice)
812-13573	IC-28848	Aug. 13, 2009	Compagnie de Financement Foncier (Order)
812-14154	IC-30852	Dec. 31, 2013	Compass Efficient Model Portfolios, LLC, Compass EMP Funds Trust, Northern Lights Distributors, LLC (Order)
812-14154	IC-30817	Dec. 4, 2013	Compass Efficient Model Portfolios, LLC (Notice)
812-13881	IC-30550	Jun. 4, 2013	Compass Efficient Model Portfolios, LLC and Compass EMP Funds Trust (Notice)
812-13881	IC-30588	Jul. 2, 2013	Compass Efficient Model Portfolios, LLC and Compass EMP Funds Trust (Order)
812-14779	IC-32966	Jan. 9, 2018	Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC (Order)
812-14779	IC-32940	Dec. 15, 2017	Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC (Notice)
812-14392	IC-31720	Jul. 21, 2015	Context Capital Advisers, LLC, et al. (Order)
812-14392	IC-31689	Jun. 24, 2015	Context Capital Advisers, LLC, et al. (Notice)
812-14266	IC-31445	Feb. 3, 2015	Context Capital Advisers, LLC and Context Capital Funds (Order)
812-14266	IC-31408	Jan. 6, 2015	Context Capital Advisers, LLC and Context Capital Funds (Notice)
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-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)
812-14313	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)
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)
812-14177	IC-31326	Nov. 3, 2014	DBX ETF Trust, et al. (Order)
812-14177	IC-31276	Oct. 6, 2014	DBX ETF Trust, et al. (Notice)
812-14004	IC-30811	Nov. 26, 2013	DBX ETF Trust, et al. (Order)
812-14004	IC-30770	Oct. 29, 2013	DBX ETF Trust, et al. (Notice)
812-14879	IC-33165	Jul. 23, 2018	Defiance ETFs, LLC, et al. (Order)
812-14879	IC-33136	Jun. 27, 2018	Defiance ETFs, LLC, et al. (Notice)
812-14595	IC-32423	Jan. 17, 2017	Delaware Management Business Trust, et al. (Order)
812-14595	IC-32395	Dec. 19, 2016	Delaware Management Business Trust, et al. (Notice)
812-13521	IC-28405	Sep. 24, 2008	Delaware Management Business Trust, et al. (Notice)
812-13521	IC-28445	Oct. 21, 2008	Delaware Management Business Trust, et al. (Order)
812-13333	IC-27886	Jul. 16, 2007	Delaware VIP Trust et al. (Notice)
812-13333	IC-27926	Aug. 9, 2007	Delaware VIP Trust, et al. (Order)
812-14629	IC-32510	Feb. 27, 2017	Destra Capital Advisors LLC, et al. (Order)
812-14629	IC-32458	Jan. 30, 2017	Destra Capital Advisors LLC, et al. (Notice)
812-14628	IC-32459	Jan. 30, 2017	Destra Capital Advisors LLC, et al. (Order)
812-14628	IC-32308	Oct. 7, 2016	Destra Capital Advisors LLC, et al. (Notice)
812-13574-01	IC-30087	May 30, 2012	Destra Capital Investments LLC and Destra Unit Investment Trust (Order)
812-13574-01	IC-30059	May 3, 2012	Destra Capital Investments LLC and Destra Unit Investment Trust (Notice)
812-13575	IC-29842	Oct. 25, 2011	Destra Capital Investments LLC and Destra Unit Investment Trust (Order)
812-13575	IC-29825	Sep. 29, 2011	Destra Capital Investments LLC and Destra Unit Investment Trust (Notice)
812-14789	IC-33069	Apr. 10, 2018	Destra Exchange-Traded Fund Trust, et al. (Order)
812-14789	IC-33049	Mar. 14, 2018	Destra Exchange-Traded Fund Trust, et al. (Notice)
812-14788	IC-33071	Apr. 10, 2018	Destra Exchange-Traded Fund Trust, et al. (Order)
812-14788	IC-33048	Mar. 14, 2018	Destra Exchange-Traded Fund Trust, et al. (Notice)
812-14903	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)
812-13664	IC-28763	Jun. 9, 2009	Deutsche Bank Securities Inc., et al. (Notice and Temporary Order)
812-13664	IC-28811	Jul. 7, 2009	Deutsche Bank Securities Inc., et al. (Order)
812-13212	IC-27644	Dec. 28, 2006	Deutsche Bank Trust Company Americas (Notice)
812-13212	IC-27673	Jan. 23, 2007	Deutsche Bank Trust Company Americas (Order)
812-14622	IC-32433	Jan. 24, 2017	DFA Investment Dimensions Group Inc., et al. (Order)
812-14622	IC-32406	Dec. 29, 2016	DFA Investment Dimensions Group Inc., et al. (Notice)
812-14208	IC-31001	Apr. 2, 2014	DFA Investment Dimensions Group Inc., et al. (Order)
812-14208	IC-30976	Mar. 7, 2014	DFA Investment Dimensions Group Inc., et al. (Notice)
812-13943	IC-29820	Sep. 22, 2011	DFA Investment Dimensions Group Inc., et al. (Notice)
812-13541	IC-28637	Feb. 26, 2009	DFA Investment Dimensions Group Inc., et al. (Notice)
812-13943	IC-29838	Oct. 18, 2011	DFA Investment Dimensions Group Inc., et al. (Order)
812-13541	IC-28654	Mar. 24, 2009	DFA Investment Dimensions Group Inc., et al. (Order)
812-14665	IC-32305	Oct. 5, 2016	Dhandho ETF Trust and Dhandho Funds LLC (Order)
812-14665	IC-32255	Sep. 9, 2016	Dhandho ETF Trust and Dhandho Funds LLC (Notice)
812-14398	IC-31472	Feb. 24, 2015	Diamond Hill Capital Management, Inc., et al. (Order)
812-14398	IC-31433	Jan. 28, 2015	Diamond Hill Capital Management, Inc., et al. (Notice)
812-14988	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)
812-13983	IC-29971	Feb. 28, 2012	DoubleLine Funds Trust, et al. (Order)
812-13983	IC-29971	Feb. 28, 2012	DoubleLine Funds Trust, et al. (Order)
812-14703	IC-32711	Jun. 26, 2017	Dreyfus ETF Trust, The Dreyfus Corporation and Mellon Capital Management Corporation, (Order)
812-14703	IC-32666	May 30, 2017	Dreyfus ETF Trust (Notice)
812-14283	IC-31403	Dec. 30, 2014	Dreyfus ETF Trust, et al. (Order)
812-14283	IC-31365	Dec. 3, 2014	Dreyfus ETF Trust, et al. (Notice)
812-13637	IC-30580	Jun. 26, 2013	The Dreyfus Corporation, et al. (Notice)
812-13637	IC-30608	Jul. 23, 2013	The Dreyfus Corporation, et al. (Order)
812-13906	IC-30137	Jul. 12, 2012	The Dreyfus Corporation, et al. (Notice)
812-13906	IC-30163	Aug. 7, 2012	The Dreyfus Corporation, et al. (Order)
812-14357	IC-31593	May 5, 2015	Dreyfus TMT Opportunities Fund, Inc. and The Dreyfus Corporation (Order)
812-14357	IC-31549	Apr. 7, 2015	Dreyfus TMT Opportunities Fund, Inc., et al. (Notice)
812-13539	IC-29295	Jun. 9, 2010	DWS Advisor Funds, et al. (Notice)
812-13383	IC-27919	Jul. 31, 2007	DWS Advisor Funds, et al. (Notice)
812-13539	IC-29339	Jul. 7, 2010	DWS Advisor Funds, et al. (Order)
812-13383	IC-27954	Aug. 27, 2007	DWS Advisor Funds, et al. (Order)
E
File No.	Release No.	Date	Investment Company
812-13639	IC-28645	Mar. 12, 2009	E*TRADE Capital Markets LLC, et al. (Notice)
812-13639	IC-28689	Apr. 7, 2009	E*TRADE Capital Markets LLC, et al. (Order)
812-14173	IC-31269	Sep. 29, 2014	Eagle Capital Appreciation Fund, et al. (Order)
812-14173	IC-31239	Sep. 3, 2014	Eagle Capital Appreciation Fund, et al. (Notice)
812-14330	IC-31507	Mar. 17, 2015	Eagle Point Credit Company Inc., et al. (Order)
812-14330	IC-31457	Feb. 18, 2015	Eagle Point Credit Company Inc., et al. (Notice)
812-14777-01	IC-32861	Oct. 16, 2017	Eagle Series Trust, et al. (Order)
812-14777-01	IC-32802A	Sep. 18, 2017	Eagle Series Trust, et al. (Notice)
812-14777	IC-32802	Aug. 31, 2017	Eagle Series Trust, et al. (Notice)
812-14304	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)
812-14205	IC-30910	Feb. 10, 2014	Emerging Global Advisors, LLC, et al. (Notice)
812-14205	IC-30975	Mar. 7, 2014	Emerging Global Advisors, LLC, et al. (Order)
812-14117	IC-30423	Mar. 12, 2013	Emerging Global Advisors, LLC, et al. (Order)
812-14117	IC-30382	Feb. 13, 2013	Emerging Global Advisors, LLC, et al. (Notice)
812-13954	IC-30184	Aug. 28, 2010	Emerging Global Advisors, LLC, et al. (Notice)
812-13954	IC-30212	Sep. 25, 2010	Emerging Global Advisors, LLC, et al. (Order)
812-14245	IC-30988	Mar. 21, 2014	Empowered Funds, LLC and Empowered Funds ETF Trust (Notice)
812-14245	IC-31018	Apr. 16, 2014	Empowered Funds, LLC and Empowered Funds ETF Trust (Order)
812-14803	IC-32887	Oct. 30, 2017	EntrepreneurShares Series Trust, et al. (Order)
812-14803	IC-32847	Oct. 3, 2017	EntrepreneurShares Series Trust, et al. (Notice)
812-14438	IC-31575	Apr. 23, 2015	ETMF Trust, et al. (Notice)
812-13706	IC-29294	Jun. 4, 2010	EQ Advisors Trust, et al. (Notice)
812-13706	IC-29336	Jun. 30, 2010	EQ Advisors Trust, et al. (Order)
812-14858	IC-33009	Feb. 21, 2018	EquBot LLC and ETF Series Solutions (Order)
812-14858	IC-32993	Jan. 26, 2018	EquBot LLC and ETF Series Solutions (Notice)
812-14129	IC-30673	Aug. 23, 2013	Equinox Funds Trust, et al. (Notice)
812-14129	IC-30691	Sep. 19, 2013	Equinox Funds Trust, et al. (Order)
812-13373	IC-27808	Apr. 30, 2007	The Equity Trust Inc., et al. (Notice)
812-13373	IC-27823	May 22, 2007	The Equity Trust Inc., et al. (Order)
812-14653	IC-32421	Jan. 10, 2017	Equus Total Return, Inc. (Order)
812-14653	IC-32392	Dec. 14, 2016	Equus Total Return, Inc. (Notice)
812-14145	IC-30636	Jul. 30, 2013	ERNY Financial ETF Trust, et al. (Notice)
812-14145	IC-30678	Aug. 27, 2013	ERNY Financial ETF Trust, et al. (Order)
812-14146	IC-30514	May 13, 2013	ERNY Financial ETF Trust and ERNY Financial Advisors, LLC (Notice)
812-14146	IC-30552	Jun. 10, 2013	ERNY Financial ETF Trust and ERNY Financial Advisors, LLC (Order)
812-14080	IC-30568	Jun. 26, 2013	ETF Issuer Solutions Inc., et al. (Notice)
812-14080	IC-30607	Jul. 23, 2013	ETF Issuer Solutions Inc., et al. (Order)
812-14508	IC-32358	Nov. 10, 2016	ETF Managers Group LLC et al. (Order)
812-14508	IC-32317	Oct. 13, 2016	ETF Managers Group, et al. (Notice)
812-14598	IC-32171	Jul. 6, 2016	ETF Managers Group LLC, et al. (Order)
812-14598	IC-32142	Jun. 8, 2016	ETF Managers Group LLC, et al. (Notice)
812-15088	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)
812-15014	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)
812-14475	IC-31906	Nov. 19, 2015	ETF Series Solutions and AlphaClone, Inc. (Notice)
812-14475	IC-31938	Dec. 15, 2015	ETF Series Solutions and AlphaClone, Inc. (Order)
812-14451	IC-31937	Dec. 15, 2015	ETF Series Solutions and U.S. Global Investors, Inc. (Order)
812-15031	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)
812-13638	IC-28991	Nov. 5, 2009	FaithShares Trust, et al. (Notice)
812-13638	IC-29065	Dec. 1, 2009	FaithShares Trust, et al. (Order)
812-13351	IC-27676	Jan. 24, 2007	FBR Fund Advisers, Inc., FBR Investment Services, Inc., and FBR Investment Management, Inc. (Order)
812-13421	IC-28837	Jul. 27, 2009	Federated Core Trust III and Federated Investment Management Company (Order)
812-13421	IC-28806	Jun. 30, 2009	Federated Core Trust III, et al. (Notice)
812-13743	IC-29341	Jul. 14, 2010	Federated Enhanced Treasury Income Fund, et al. (Notice)
812-13743	IC-29379	Aug. 10, 2010	Federated Enhanced Treasury Income Fund, et al. (Order)
812-13946	IC-30093	Jun. 1, 2012	Federated Investment Management Company and Federated ETF Trust (Notice)
812-13946	IC-30123	Jun. 26, 2012	Federated Investment Management Company and Federated ETF Trust (Order)
812-14352	IC-31758	Aug. 13, 2015	FEG Absolute Access TEI Fund LLC and FEG Investors, LLC (Notice)
812-14352	IC-31814	Sep. 9, 2015	FEG Absolute Access TEI Fund LLC, et al. (Order)
812-13748	IC-29292	Jun. 2, 2010	FFCM, LLC and FQF Trust (Notice)
812-13748	IC-29335	Jun. 29, 2010	FFCM, LLC and FQF Trust (Order)
812-14440	IC-31669	Jun. 15, 2015	FFI Advisors, LLC, et al. (Notice)
812-14440	IC-31713	Jul. 13, 2015	FFI Advisors, LLC, et al. (Order)
812-13731	IC-30258	Nov. 6, 2012	Fidelity Aberdeen Street Trust, et al. (Notice)
812-13731	IC-30288	Dec. 3, 2012	Fidelity Aberdeen Street Trust, et al. (Order)
812-13505	IC-28376	Sep. 5, 2008	Fidelity Aberdeen Street Trust, et al. (Notice)
812-13505	IC-28425	Sep. 30, 2008	Fidelity Aberdeen Street Trust, et al. (Order)
812-14364	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)
812-13476	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)
812-14949	IC-33746	Jan. 14, 2020	First Eagle BDC, LLC, 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)
812-13161-01	IC-29189	Mar. 24, 2010	First Trust/Aberdeen Global Opportunity Income Fund, et al. (Order)
812-13598	IC-28722	May 8, 2009	Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Notice)
812-13598	IC-28754	Jun. 1, 2009	Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Order)
812-14150	IC-30593	Jul. 9, 2013	FlexShares Trust, et al. (Notice)
812-14150	IC-30645	Aug. 6, 2013	FlexShares Trust, et al. (Order)
812-13376	IC-28066	Nov. 27, 2007	FocusShares Trust F/N/A MyShares Trust, et al. (Order)
812-14659	IC-32304	Oct. 5, 2016	Foreside Advisor Services, LLC, et al. (Order)
812-14659	IC-32256	Sep. 9, 2016	Foreside Advisor Services, LLC, et al. (Notice)
812-14023	IC-30284	Nov. 29, 2012	Foreside Advisor Services, LLC, et al. (Notice)
812-14023	IC-30318	Dec. 27, 2012	Foreside Advisor Services, LLC, et al. (Order)
812-14660	IC-32323	Oct. 24, 2016	Foreside ETF Trust, et al. (Order)
812-14660	IC-32284	Sep. 26, 2016	Foreside ETF Trust, et al. (Notice)
812-14198	IC-30840	Dec. 19, 2013	Forethought Variable Insurance Trust, et al. (Notice)
812-14198	IC-30857	Jan. 14, 2014	Forethought Variable Insurance Trust, et al. (Order)
812-14183	IC-30716	Sep. 25, 2013	Forethought Variable Insurance Trust, et al. (Notice)
812-14183	IC-30750	Oct. 22, 2013	Forethought Variable Insurance Trust, et al. (Order)
812-14695	IC-32637	May 16, 2017	Formula Folio Investments, LLC et al. (Order)
812-14695	IC-32607	Apr. 20, 2017	Formula Folio Investments, LLC and Northern Lights Fund Trust IV (Notice)
812-15041	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)
812-13249	IC-27814	May 1, 2007	Forward Funds (Order)
812-13533	IC-28420	Sep. 29, 2008	Forward Funds and Forward Management, LLC (Notice)
812-13533	IC-28469	Oct. 27, 2008	Forward Funds and Forward Management, LLC (Order)
812-14043	IC-30411	Feb. 28, 2013	Forward Funds, et al. (Notice)
812-14043	IC-30437	Mar. 26, 2013	Forward Funds, et al. (Order)
812-13996	IC-29982	Mar. 15, 2012	Forward Funds, et al. (Notice)
812-13996	IC-30031	Apr. 10, 2012	Forward Funds, et al. (Order)
812-13543	IC-28640	Mar. 3, 2009	Forward Funds, et al. (Notice)
812-13543	IC-28682	Mar. 30, 2009	Forward Funds, et al. (Order)
812-13249	IC-27777	Apr. 5, 2007	Forward Funds, et al. (Notice)
812-14742	IC-32970	Jan. 17, 2018	FQF Trust, et al. (Order)
812-14742	IC-32942	Dec. 19, 2017	FQF Trust, et al. (Notice)
812-13741	IC-29720	Jul. 11, 2011	FQF Trust, et al. (Notice)
812-13741	IC-29747	Aug. 5, 2011	FQF Trust, et al. (Order)
812-13783	IC-30524	May 17, 2013	Frank Russell Company, et al. (Notice)
812-13783	IC-30556	Jun. 12, 2013	Frank Russell Company, et al. (Order)
812-14042	IC-30312	Dec. 19, 2012	Franklin Advisers, Inc., et al. (Notice)
812-14042	IC-30350	Jan. 15, 2013	Franklin Advisers, Inc., et al. (Order)
812-13900	IC-30138	Jul. 17, 2012	Franklin Advisers, Inc. and Franklin Templeton International Trust (Order)
812-13900	IC-30105	Jun. 18, 2012	Franklin Advisers, Inc. and Franklin Templeton International Trust (Notice)
812-14819	IC-33117	Jun. 5, 2018	Franklin Alternative Strategies Funds, et al. (Order)
812-14819	IC-33095	May 10, 2018	Franklin Alternative Strategies Funds, et al. (Notice)
812-13500	IC-28229	Mar. 31, 2008	Franklin California Tax-Free Income Fund, et al. (Notice)
812-13500	IC-28257	Apr. 28, 2008	Franklin California Tax-Free Income Trust, et al. (Order)
812-14611	IC-32722	Jul. 3, 2017	Franklin Fund Allocator Series, et al. (Order)
812-14611	IC-32669	Jun. 5, 2017	Franklin Fund Allocator Series, et al. (Notice)
812-14566	IC-32105	May 5, 2016	Franklin Templeton ETF Trust, et al. (Notice)
812-14566	IC-32133	May 31, 2016	Franklin Templeton ETF Trust, et al. (Order)
812-13499	IC-28574	Dec. 29, 2008	Franklin Templeton Fund Allocator Series, et al. (Notice)
812-13499	IC-28608	Jan. 26, 2009	Franklin Templeton Fund Allocator Series, et al. (Order)
812-14167	IC-30679	Aug. 27, 2013	Franklin Templeton International Trust, et al. (Notice)
812-14167	IC-30698	Sep. 24, 2013	Franklin Templeton International Trust, et al. (Order)
812-14383	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)
812-14567	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)
812-13935	IC-29867	Nov. 21, 2011	Genesis Capital, LLC and Northern Lights Fund Trust (Notice)
812-13935	IC-29888	Dec. 19, 2011	Genesis Capital, LLC and Northern Lights Fund Trust (Order)
812-13878	IC-30154	Jul. 26, 2012	Gladstone Capital Corporation, et al. (Order)
812-13878	IC-30125	Jun. 29, 2012	Gladstone Capital Corporation, et al. (Notice)
812-14484	IC-31851	Sep. 28, 2015	The Glenmede Portfolios and Glenmede Investment Management LP (Order)
812-14484	IC-31801	Aug. 31, 2015	The Glenmede Portfolios and Glenmede Investment Management LP (Notice)
812-13517	IC-28378	Sep. 10, 2008	Global X Funds and Global X Management Company LLC (Notice)
812-13517	IC-28433	Oct. 3, 2008	Global X Funds and Global X Management Company LLC (Order)
812-14241	IC-31084	Jun. 17, 2014	Global X Funds, Global X Management Company LLC, and Sei Investments Distribution Company (Notice)
812-14241	IC-31153	Jul. 14, 2014	Global X Funds, Global X Management Company LLC, and Sei Investments Distribution Company (Order)
812-14549	IC-32311	Oct. 12, 2016	Global X Funds, et al. (Order)
812-14549	IC-32262	Sep. 14, 2016	Global X Funds, et al. (Notice)
812-14079	IC-30426	Mar. 14, 2013	Global X Funds, et al. (Notice)
812-14079	IC-30454	Apr. 9, 2013	Global X Funds, et al. (Order)
812-13830	IC-29829	Sep. 30, 2011	Global X Funds, et al. (Notice)
812-13830	IC-29852	Oct. 28, 2011	Global X Funds, et al. (Order)
812-14219	IC-32409	Jan. 4, 2017	Goldman Sachs BDC, Inc., et al. (Order)
812-14219	IC-32382	Dec. 7, 2016	Goldman Sachs BDC, Inc., et al. (Notice)
812-14361	IC-31465	Feb. 23, 2015	Goldman Sachs ETF Trust, et al. (Order)
812-14361	IC-31428	Jan. 26, 2015	Goldman Sachs ETF Trust, et al. (Notice)
812-14362	IC-31427	Jan. 26, 2015	Goldman Sachs ETF Trust, et al. (Notice)
812-14362	IC-31466	Feb. 23, 2015	Goldman Sachs ETF Trust, et al. (Order)
812-15081	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)
812-14078	IC-30496	Apr. 29, 2013	Goldman Sachs Trust II, et al. (Notice)
812-14078	IC-30542	May 29, 2013	Goldman Sachs Trust II, et al. (Order)
812-13796	IC-29366	Jul. 21, 2010	Goldman, Sachs & Co., et al. (Notice and Temporary Order)
812-13796	IC-29382	Aug. 18, 2010	Goldman, Sachs & Co., et al. (Order)
812-14702	IC-32460	Jan. 31, 2017	Goldman, Sachs & Co. (Notice)
812-14702	IC-32514	Feb. 28, 2017	Goldman, Sachs & Co. (Order)
812-13764	IC-32509	Feb. 27, 2017	Golub Capital BDC, Inc., et al. (Order)
812-13764	IC-32461	Jan. 31, 2017	Golub Capital BDC, Inc., et al. (Notice)
812-13794	IC-29756	Aug. 16, 2011	Golub Capital BDC, Inc., et al. (Notice)
812-13794	IC-29786	Sep. 13, 2011	Golub Capital BDC, Inc., et al. (Order)
812-14507	IC-31897	Nov. 6, 2015	Good Hill ETF Trust (Notice)
812-14507	IC-31923	Dec. 2, 2015	Good Hill Partners LP, Good Hill ETF Trust, (Order)
812-14505	IC-32021	Mar. 2, 2016	Good Hill Partners LP and Good Hill ETF Trust (Order)
812-14505	IC-31986	Feb. 5, 2016	Good Hill Partners LP and Good Hill ETF Trust (Notice)
812-14506	IC-31904	Nov. 17, 2015	Good Hill Partners LP and Good Hill ETF Trust (Order)
812-14506	IC-31878	Oct. 22, 2015	Good Hill Partners LP and Good Hill ETF Trust (Notice)
812-14507	IC-31897	Nov. 6, 2015	Good Hill Partners LP and Good Hill ETF Trust (Notice)
812-13986	IC-30067	May 22, 2012	GPS Funds I, et al. (Order)
812-13986	IC-30067	May 22, 2012	GPS Funds I, et al. (Order)
812-13986	IC-30044	Apr. 24, 2012	GPS Funds I, et al. (Notice)
812-13516-01	IC-28900	Sep. 14, 2009	Grail Advisors LLC and Grail Advisors ETF Trust (Notice)
812-13440	IC-28571	Dec. 23, 2008	Grail Advisors, LLC and Grail Advisors' Alpha ETF Trust (Notice)
812-13440	IC-28604	Jan. 16, 2009	Grail Advisors, LLC and Grail Advisors ETF Trust (formerly known as Grail Advisors' Alpha ETF Trust) (Order)
812-13516-01	IC-28944	Oct. 8, 2009	Grail Advisors, LLC and Grail Advisors ETF Trust (Order)
812-14252	IC-31295	Oct. 20, 2014	Great-West Funds, Inc., Great-West Capital Management, LLC, and Gwfs Equities, Inc. (Order)
812-14252	IC-31262	Sep. 24, 2014	Great-West Funds, Inc., et al. (Notice)
812-14373	IC-31559	Apr. 20, 2015	Griffin Institutional Access Real Estate Fund et al. (Order)
812-14373	IC-31509	Mar. 23, 2015	Griffin Institutional Access Real Estate Fund and Griffin Capital Advisor, LLC (Notice)
812-14110	IC-30599	Jul. 15, 2013	Grosvenor Alternative Funds Master Trust, et al. (Notice)
812-14110	IC-30648	Aug. 12, 2013	Grosvenor Alternative Funds Master Trust, et al. (Order)
812-14911	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)
812-14821	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-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)
812-14784	IC-33000	Feb. 5, 2018	Harbor Funds and Harbor Capital Advisors, Inc. (Order)
812-14784	IC-32965	Jan. 9, 2018	Harbor Funds and Harbor Capital Advisors, Inc. (Notice)
812-14669	IC-32285	Sep. 26, 2016	Harris & Harris Group, Inc. (Order)
812-14515	IC-31891	Nov. 4, 2015	Harris & Harris Group, Inc. (Order)
812-14317	IC-31271	Sep. 30, 2014	Harris & Harris Group, Inc. (Certification)
812-14164	IC-30604	Jul. 22, 2013	Harris & Harris Group, Inc. (Certification)
812-14029	IC-30104	Jun. 15, 2012	Harris & Harris Group, Inc. (Certification)
812-13896	IC-29736	Jul. 22, 2011	Harris & Harris Group, Inc. (Certification)
812-13768	IC-29289	May 28, 2010	Harris & Harris Group, Inc. (Certification)
812-13655	IC-28761	Jun. 9, 2009	Harris & Harris Group, Inc. (Certification)
812-13374	IC-27870	Jun. 20, 2007	Harris & Harris Group, Inc. (Certification)
812-13313	IC-29976	Mar. 7, 2012	Harris & Harris Group, Inc. (Notice)
812-13313	IC-29976	Mar. 7, 2012	Harris & Harris Group, Inc. (Notice)
812-13520	IC-28294	May 30, 2008	Harris & Harris Group, Inc. (Order)
812-13313	IC-30027	Apr. 3, 2012	Harris & Harris Group, Inc. (Order)
812-14609	IC-32347	Nov. 1, 2016	Harris Associates Investment Trust, et al. (Order)
812-14609	IC-32306	Oct. 5, 2016	Harris Associates Investment Trust, et al. (Notice)
812-13828-01	IC-32413	Jan. 4, 2017	Hartford Funds Exchange-Traded Trust, et al. (Notice)
812-13828-01	IC-32454	Jan. 27, 2017	Hartford Funds Exchange-Traded Trust, et al. (Order)
812-14592	IC-32350	Nov. 1, 2016	Hartford Funds Exchange-Traded Trust, et. al. (Order)
812-14592	IC-32307	Oct. 6, 2016	Hartford Funds Exchange-Traded Trust, et. al. (Notice)
812-14439	IC-31607	May 19, 2015	Hartford Funds NextShares Trust, et al. (Order)
812-14439	IC-31576	Apr. 23, 2015	Hartford Funds NextShares Trust, et al. (Notice)
812-14447	IC-32570	Mar. 23, 2017	Hartford Life Insurance Company, et al. (Order)
812-14447	IC-32386	Dec. 8, 2016	Hartford Life Insurance Company, et al (Notice) See also: requests and additional information
812-14446	IC-32569	Mar. 23, 2017	Hartford Life Insurance Company, et al. (Order)
812-14446	IC-32385	Dec. 8, 2016	Hartford Life Insurance Company, et al (Notice) See also: requests and additional information
812-13267	IC-27933	Aug. 22, 2007	Hartford Life Insurance Company, et al. (Notice)
812-13267	IC-27972	Sep. 18, 2007	Hartford Life Insurance Company, et al. (Order)
812-14652	IC-32364	Nov. 22, 2016	Hartford Mutual Funds, Inc., et al. (Order)
812-14652	IC-32338	Oct. 26, 2016	Hartford Mutual Funds Inc., et al. (Notice)
812-14564	IC-32971	Jan. 17, 2018	The Hartford Mutual Funds, et al. (Order)
812-14564	IC-32944	Dec. 20, 2017	The Hartford Mutual Funds, Inc., et al. (Notice)
812-14024	IC-30164	Aug. 8, 2012	The Hartford Mutual Funds, Inc., et al. (Notice)
812-14024	IC-30194	Sep. 5, 2012	The Hartford Mutual Funds, Inc., et al. (Order)
812-15004	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)
812-14001	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)
812-14006	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)
812-14969	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)
812-13186	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
812-14944	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)
812-14938	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)
813-180-09	IC-30581	Jun. 26, 2013	Invesco Advisers, Inc., et al. (Notice)
813-180-09	IC-30609	Jul. 23, 2013	Invesco Advisers, Inc., et al. (Order)
812-13927	IC-30069	May 22, 2012	Invesco Total Property Market Income Fund, et al. (Order)
812-13927	IC-30055	Apr. 26, 2012	Invesco Total Property Market Income Fund, et al. (Notice)
812-13491	IC-28411	Sep. 29, 2008	Invesco PowerShares Capital Management LLC, et al. (Notice)
812-13491	IC-28467	Oct. 27, 2008	Invesco PowerShares Capital Management LLC, et al. (Order)
812-14635	IC-32224	Aug. 23, 2016	Investment Managers Series Trust, et al. (Order)
812-14635	IC-32195	Jul. 28, 2016	Investment Managers Series Trust, et al. (Notice)
812-13891	IC-29787	Sep. 13, 2011	Investment Managers Series Trust, et al. (Notice)
812-13891	IC-29833	Oct. 12, 2011	Investment Managers Series Trust, et al. (Order)
812-14478	IC-31989	Feb. 8, 2016	Investment Managers Series Trust, et al. (Order)
812-14478	IC-31954	Jan. 11, 2016	Investment Managers Series Trust, et al. (Notice)
812-14893	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)
812-14710	IC-32599	Apr. 17, 2017	Investment Managers Series Trust II and Vivaldi Asset Management, LLC (Order)
812-14710	IC-32536	Mar. 20, 2017	Investment Managers Series Trust II and Vivaldi Asset Management, LLC (Notice)
812-13728	IC-29093	Dec. 16, 2009	Investools Inc., et al. (Notice and Temporary Order)
812-13728	IC-29110	Jan. 12, 2010	Investools Inc., et al. (Order)
812-14678	IC-32235	Aug. 24, 2016	iShares Trust, et al. (Notice)
812-14678	IC-32268	Sep. 20, 2016	iShares Trust, et al. (Order)
812-13601	IC-29543	Dec. 27, 2010	iShares Trust et al. (Notice)
812-13570	IC-29129	Feb. 16, 2010	iShares Trust et al. (Notice)
812-13601	IC-29571	Jan. 24, 2011	iShares Trust et al. (Order)
812-13570	IC-29172	Mar. 10, 2010	iShares Trust et al. (Order)
812-14216	IC-31068	Jun. 2, 2014	Ivy Funds, et al. (Notice)
812-14216	IC-31138	Jun. 30, 2014	Ivy Funds, et al. (Order)
812-14210	IC-31013	Apr. 10, 2014	Ivy Funds, et al. (Notice)
812-14210	IC-31040	May 6, 2014	Ivy Funds, et al. (Order)
812-14114	IC-30427	Mar. 15, 2013	Ivy Funds Variable Insurance Portfolios, et al. (Notice)
812-14114	IC-30458	Apr. 10, 2013	Ivy Funds Variable Insurance Portfolios, et al. (Order)
812-14516	IC-31757	Aug. 13, 2015	Ivy NextShares, et al. (Notice)
812-14516	IC-31816	Sep. 9, 2015	Ivy NextShares, et al. (Order)
J
File No.	Release No.	Date	Investment Company
812-13761	IC-31956	Jan. 14, 2016	J.P. Morgan Exchange-Traded Fund Trust, et al. (Notice)
812-13761	IC-31990	Feb. 9, 2016	J.P. Morgan Exchange-Traded Fund Trust, et al. (Order)
812-13760	IC-30898	Jan. 30, 2014	J.P. Morgan Exchange-Traded Fund Trust, et al. (Notice)
812-13760	IC-30927	Feb. 24, 2014	J.P. Morgan Exchange-Traded Fund Trust, et al. (Order)
812-14094	IC-30347	Jan. 9, 2013	J.P. Morgan Securities LLC, et al. (Notice and Temporary Order)
812-14094	IC-30380	Feb. 6, 2013	J.P. Morgan Securities LLC, et al. (Order)
812-13919	IC-29719	Jul. 11, 2011	J.P. Morgan Securities LLC, et al. (Notice)
812-13914	IC-29711	Jun. 29, 2011	J.P. Morgan Securities LLC, et al. (Notice)
812-13919	IC-29749	Aug. 8, 2011	J.P. Morgan Securities LLC, et al. (Order)
812-13914	IC-29737	Jul. 26, 2011	J.P. Morgan Securities LLC, et al. (Order)
812-13710	IC-29265	May 10, 2010	Jackson National Life Insurance Company of New York, et al. (Notice)
812-13710	IC-29293	Jun. 3, 2010	Jackson National Life Insurance Company of New York, et al. (Order)
812-13841	IC-29621	Mar. 31, 2011	Jackson National Life Insurance Company, et al. (Notice)
812-13765	IC-29442	Sep. 27, 2010	Jackson National Life Insurance Company, et al. (Notice)
812-13703	IC-29205	Apr. 7, 2010	Jackson National Life Insurance Company, et al. (Notice)
812-13584	IC-28890	Aug. 27, 2009	Jackson National Life Insurance Company, et al. (Notice)
812-13841	IC-29658	Apr. 25, 2011	Jackson National Life Insurance Company, et al. (Order)
812-13765	IC-29484	Oct. 25, 2010	Jackson National Life Insurance Company, et al. (Order)
812-13703	IC-29262	Apr. 30, 2010	Jackson National Life Insurance Company, et al. (Order)
812-13584	IC-28907	Sep. 22, 2009	Jackson National Life Insurance Company, et al. (Order)
812-13320	IC-27660	Jan. 16, 2007	Jackson National Life Insurance Company, et al. (Order)
812-13320	IC-27603	Dec. 19, 2006	Jackson National Life Insurance Company, et al. (Notice)
812-14401	IC-31544	Apr. 1, 2015	Janus ETF Trust, et al. (Notice)
812-14401	IC-31580	Apr. 28, 2015	Janus ETF Trust, et al. (Order)
812-13819	IC-31540	Mar. 30, 2015	Janus ETF Trust, et al. (Order)
812-13819	IC-31492	Mar. 3, 2015	Janus ETF Trust, et al. (Notice)
812-14412	IC-31808	Sep. 9, 2015	Janus Investment Fund, et al. (Order)
812-14412	IC-31753	Aug. 13, 2015	Janus Investment Fund, et al. (Notice)
812-14294	IC-31145	Jul. 2, 2014	Janus Investment Fund, et al. (Notice)
812-14294	IC-31192A	Jul. 29, 2014	Janus Investment Fund, et al. (Order)
812-13425	IC-28350	Jul. 31, 2008	Javelin Exchange-Traded Trust, et al. (Notice)
812-13425	IC-28367	Aug. 26, 2008	Javelin Exchange-Traded Trust, et al. (Order)
813-228	IC-30037	Apr. 18, 2012	Jefferies Employees Special Opportunities Partners, LLC, et al. (Order)
813-228	IC-30007	Mar. 23, 2012	Jefferies Employees Special Opportunities Partners, LLC, et al. (Notice)
812-13452	IC-28191	Mar. 10, 2008	Jefferson National Life Insurance Company, et al. (Notice)
812-13342	IC-27779	Apr. 6, 2007	Jefferson National Life Insurance Company, et al. (Notice)
812–13452	IC-28234	Apr. 3, 2008	Jefferson National Life Insurance Company, et al. (Order)
812-13342	IC-27813	Apr. 30, 2007	Jefferson National Life Insurance Company, et al. (Order)
812-14624	IC-32526	Mar. 7, 2017	Jeffrey LLC (Notice)
812-14624	IC-32590	Apr. 4, 2017	Jeffrey LLC (Order)
812-13419	IC-28010	Oct. 2, 2007	JNF Advisors, Inc. and Northern Lights Variable Trust (Notice)
812-13419	IC-28038	Oct. 29, 2007	JNF Advisors, Inc. and Northern Lights Variable Trust (Order)
812-14270	IC-31297	Oct. 20, 2014	JNL Series Trust, JNL Investors Series Trust, Curian Series Trust, Curian Variable Series Trust, JNL Variable Fund LLC, JNL Strategic Income Fund LLC, Jackson National Asset Management, LLC and Curian Capital, LLC (Order)
812-14270	IC-31261	Sep. 24, 2014	JNL Series Trust, et al. (Notice)
812-13683	IC-31546	Apr. 2, 2015	John Hancock Exchange-Traded Fund Trust, et al. (Notice)
812-13683	IC-31581	Apr. 28, 2015	John Hancock Exchange-Traded Fund Trust, et al. (Order)
812-13734	IC-30469	Apr. 18, 2013	John Hancock Exchange-Traded Fund Trust, et al. (Notice)
812-13734	IC-30518	May 14, 2013	John Hancock Exchange-Traded Fund Trust, et al. (Order)
812-14917	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)
813-367	IC-28047	Nov. 15, 2007	Kiewit Investment Fund LLLP (Notice)
813-367	IC-28076	Dec. 11, 2007	Kiewit Investment Fund LLLP (Order)
812-13745	IC-29270	May 17, 2010	Kinetics Mutual Funds, Inc., et al. (Notice)
812-13745	IC-29297	Jun. 14, 2010	Kinetics Mutual Funds, Inc., et al. (Order)
812-14124	IC-30905	Feb. 4, 2014	KKR Series Trust and Prisma Capital Partners LP (Notice)
812-14124	IC-30973	Mar. 4, 2014	KKR Series Trust and Prisma Capital Partners LP (Order)
812-13882	IC-29975	Mar. 5, 2012	Kohlberg Capital Corporation (Notice)
812-13882	IC-29975	Mar. 5, 2012	Kohlberg Capital Corporation (Notice)
812-13623	IC-29376	Aug. 3, 2010	Kohlberg Capital Corporation (Notice)
812-13368	IC-28228	Mar. 28, 2008	Kohlberg Capital Corporation (Notice)
812-13367	IC-28168	Feb. 25, 2008	Kohlberg Capital Corporation (Notice)
812-13882	IC-30011	Mar. 27, 2012	Kohlberg Capital Corporation (Order)
812-13623	IC-29407	Aug. 31, 2010	Kohlberg Capital Corporation (Order)
812-13368	IC-28239	Apr. 23, 2008	Kohlberg Capital Corporation (Order)
812-13367	IC-28199	Mar. 24, 2008	Kohlberg Capital Corporation (Order)
813-382	IC-31070	Jun. 3, 2014	Kohlberg Kravis Roberts & Co. L.P., et al. (Notice)
813-382	IC-31141	Jul. 1, 2014	Kohlberg Kravis Roberts & Co. L.P. et al. (Order)
812-13752	IC-29332	Jun. 25, 2010	Korea Finance Corporation (Notice)
812-13752	IC-29343	Jul. 20, 2010	Korea Finance Corporation (Order)
812-14143	IC-30693	Sep. 23, 2013	The KP Funds and Callan Associates Inc. (Notice)
812-14143	IC-30748	Oct. 21, 2013	The KP Funds and Callan Associates Inc. (Order)
812-14142	IC-30545	Jun. 3, 2013	KP Funds, et al. (Notice)
812-14142	IC-30586	Jul. 1, 2013	KP Funds, et al. (Order)
812-14675	IC-32412	Jan. 4, 2017	Krane Funds Advisors, LLC, et al. (Notice)
812-14675	IC-32455	Jan. 27, 2017	Krane Funds Advisors, LLC, , et al. (Order)
812-13989	IC-30425	Mar. 14, 2013	Krane Funds Advisors LLC., et al. (Notice)
812-13989	IC-30452	Apr. 8, 2013	Krane Fund Advisors LLC, et al. (Order)
812-14284	IC-31144	Jul. 2, 2014	KraneShares Trust and Krane Funds Advisors, LLC (Notice)
812-14284	IC-31190	Jul. 29, 2014	KraneShares Trust and Krane Funds Advisors, LLC (Order)
L
File No.	Release No.	Date	Investment Company
812-14318	IC-31343	Nov. 20, 2014	Lattice Strategies, LLC, et al. (Notice)
812-14318	IC-31380	Dec. 16, 2014	Lattice Strategies, LLC, et al. (Order)
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)
812-14127	IC-30923	Feb. 24, 2014	Legg Mason Partners Equity Trust, et al. (Notice)
812-14127	IC-30990	Mar. 24, 2014	Legg Mason Partners Equity Trust, et al. (Order)
812-13757	IC-30237	Oct. 22, 2012	Legg Mason Partners Equity Trust, et al. (Notice)
812-13892	IC-29789	Sep. 15, 2011	Legg Mason Partners Equity Trust, et al. (Notice)
812-13681	IC-29192	Mar. 26, 2010	Legg Mason Partners Equity Trust, et al. (Notice)
812-13892	IC-29835	Oct. 12, 2011	Legg Mason Partners Equity Trust, et al. (Order)
812-13681	IC-29255	Apr. 21, 2010	Legg Mason Partners Equity Trust, et al. (Order)
812-14491	IC-31895	Nov. 5, 2015	Legg Mason Partners Fund Advisor, LLC, et al. (Notice)
812-14491	IC-31920	Dec. 1, 2015	Legg Mason Partners Fund Advisor, LLC, et al. (Order)
812-12973	IC-27920	Aug. 1, 2007	Lehman Brothers Asset Management LLC, et al. (Notice)
812-12973	IC-27957	Aug. 28, 2007	Lehman Brothers Asset Management LLC, et al. (Order)
812-13327	IC-27741	Feb. 27, 2007	Liberty All-Star Equity Fund, et al. (Notice)
812-13327	IC-27769	Mar. 27, 2007	Liberty All-Star Equity Fund, Liberty All-Star Growth Fund, Inc., and ALPS Advisers, Inc. (Order)
812-13732	IC-29170	Mar. 9, 2010	Lincoln Investment Advisors Corporation, et al. (Notice)
812-13732	IC-29197	Mar. 31, 2010	Lincoln Investment Advisors Corporation, et al. (Order)
812-14063	IC-30468	Apr. 18, 2013	Lincoln National Life Insurance Company, et al (Notice)
812-14063	IC-30517	May 14, 2013	Lincoln National Life Insurance Company, et al. (Order)
812-13660	IC-29168	Mar. 5, 2010	Lincoln Variable Insurance Products Trust, et al. (Notice)
812-13287	IC-27821	May 11, 2007	Lincoln Variable Insurance Products Trust, et al. (Notice)
812-13660	IC-29196	Mar. 31, 2010	Lincoln Variable Insurance Products Trust, et al. (Order)
812-13287	IC-27850	Jun. 4, 2007	Lincoln Variable Insurance Products Trust, et al. (Order)
812-15026	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)
812-14845	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)
812-15009	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)
812-14360	IC-31597	May 11, 2015	The MainStay Funds, et al. (Notice)
812-14360	IC-31663	Jun. 8, 2015	The MainStay Funds, et al. (Order)
812-13257	IC-27595	Dec. 11, 2006	The MainStay Funds, et al. (Notice)
812-13257	IC-27656	Jan. 8, 2007	The Mainstay Funds, Mainstay VP Series Fund, Inc., New York Life Investment Management LLC (Order)
812-13804	IC-29922	Jan. 17, 2012	Main Street Capital Corporation, et al. (Notice)
812-13804	IC-29922	Jan. 17, 2012	Main Street Capital Corporation, et al. (Notice)
812-13649	IC-28726	May 19, 2009	Main Street Capital Corporation, et al. (Notice)
812-13438	IC-28265	May 8, 2008	Main Street Capital Corporation, et al. (Notice)
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)
812-14250	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)
812-14376	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)
812-14221	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)
812-13464	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)
812-14393	IC-31410	Jan. 13, 2015	Montage Managers Trust, El Al. (Order)
812-14393	IC-31382	Dec. 17, 2014	Montage Managers Trust, et al. (Notice)
812-14028	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)
812-14656	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)
812-13529	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)
812-14331	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)
812-14720	IC-32797	Aug. 28, 2017	MVC Capital, Inc., et al. (Order)
812-14720	IC-32769	Aug. 1, 2017	MVC Capital, Inc., et al. (Notice)
812-13376	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)
812-14573	IC-32115	May 16, 2016	Nationwide Mutual Funds, et al. (Notice)
812-14573	IC-32148	Jun. 13, 2016	Nationwide Mutual Funds, et al. (Order)
812-14870	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)
812-13444	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)
812-13848	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)
812-14290	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)
812-15030	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)
812-14589	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)
812-13707	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)
812-14806	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)
812-14428	IC-31705	Jul. 6, 2015	Nuveen ETF Trust, et al. (Order)
812-14619	IC-32359	Nov. 16, 2016	Nuveen Fund Advisors, LLC, et al. (Order)
812-14619	IC-32322	Oct. 21, 2016	Nuveen Fund Advisors, LLC, et al. (Notice)
812-14557	IC-32111	May 10, 2016	Nuveen Fund Advisers, LLC et al. (Order)
812-14557	IC-32069	Apr. 12, 2016	Nuveen Fund Advisors, LLC, et al. (Notice)
812-14258	IC-31924	Dec. 2, 2015	Nuveen Fund Advisors, LLC, et al. (Notice)
812-14258	IC-31950	Dec. 29, 2015	Nuveen Fund Advisors, LLC, et al. (Order)
812-14428	IC-31664	Jun. 8, 2015	Nuveen Fund Advisors, LLC, et al. (Notice)
812-14215	IC-30883	Jan. 16, 2014	Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC (Notice)
812-14215	IC-30913	Feb. 11, 2014	Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC (Order)
812-13619	IC-28758	Jun. 4, 2009	Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Notice) (Comments received are available.)
812-13619	IC-28893	Aug. 28, 2009	Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Order)
O
File No.	Release No.	Date	Investment Company
812-14758	IC-32862	Oct. 18, 2017	Oaktree Strategic Income, LLC, et al. (Order)
812-14758	IC-32831	Sep. 22, 2017	Oaktree Strategic Income, LLC, et al. (Notice)
812-14887	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)
812-14602	IC-32312	Oct. 12, 2016	OFS Capital Corporation, et al. (Order)
812-14602	IC-32259	Sep. 13, 2016	OFS Capital Corporation, et al. (Notice)
812-14185	IC-30771	Oct. 30, 2013	OFS Capital Corporation, et al. (Notice)
812-14185	IC-30812	Nov. 26, 2013	OFS Capital Corporation, et al. (Order)
812-14482	IC-32061	Mar. 30, 2016	OHA Investment Corporation, et al. (Notice)
812-14482	IC-32094	Apr. 25, 2016	OHA Investment Corporation, et al. (Order)
812-14182	IC-30895	Jan. 28, 2014	The Ohio National Life Insurance Company, et al. (Notice)
812-14182	IC-30925	Feb. 24, 2014	The Ohio National Life Insurance Company, et al. (Order)
812-13614	IC-28847	Aug. 13, 2009	Old Mutual Global Shares Trust, et al. (Notice)
812-13614	IC-28898	Sep. 9, 2009	Old Mutual Global Shares Trust, et al. (Order)
812-13286	IC-27837	May 23, 2007	Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Order)
812-13286	IC-27807	Apr. 27, 2007	Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Notice)
812-14726	IC-32872	Oct. 25, 2017	Olden Lane Securities, LLC and Olden Lane Trust (Order)
812-14726	IC-32845	Sep. 29, 2017	Olden Lane Securities LLC and Olden Lane Trust (Notice)
812-14436-01	IC-32619	May 1, 2017	Olden Lane Securities LLC and Olden Lane Trust (Order)
812-14436-01	IC-32589	Apr. 3, 2017	Olden Lane Securities LLC and Olden Lane Trust (Notice)
812-13504	IC-28851	Aug. 25, 2009	OOK, Inc., et al. (Notice)
812-13504	IC-28902	Sep. 17, 2009	OOK, Inc., et al. (Order)
813-356	IC-27612	Dec. 27, 2006	Opal Private Equity Fund, L.P. et al. (Notice)
813-356	IC-27675	Jan. 23, 2007	Opal Private Equity Fund, LP, and Schottenstein, Zox and Dunn Co., L.P.A. (Order)
812-14749	IC-32972	Jan. 23, 2018	Oppenheimer Capital Appreciation Fund, et al. (Order)
812-14749	IC-32956	Dec. 27, 2017	Oppenheimer Capital Appreciation Fund et al. (Notice)
812-14248	IC-32891	Oct. 31, 2017	OppenheimerFunds, Inc., et al. (Order)
812-14248	IC-32849	Oct. 4, 2017	OppenheimerFunds, Inc., et al. (Notice)
812-14929	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)
812-14568	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)
812-14933	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)
812-14709	IC-32595	Apr. 5, 2017	Parker Global Strategies, LLC, et al. (Order)
812-14709	IC-32528	Mar. 10, 2017	Parker Global Strategies, LLC (Notice)
812-14147	IC-31046	May 14, 2014	Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc. (Notice)
812-14147	IC-31075	Jun. 10, 2014	Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc. (Order)
812-14193-01	IC-32726	Jul. 6, 2017	Partners Group Private Equity (Master Fund), LLC, et al. (Order)
812-14193-01	IC-32667	Jun. 1, 2017	Partners Group (USA) Inc., et al. (Notice)
812-13348	IC-28176	Feb. 28, 2008	Patriot Capital Funding, Inc. (Notice)
812-13348	IC-28200	Mar. 25, 2008	Patriot Capital Funding, Inc. (Order)
812-13883	IC-29751	Aug. 10, 2011	Pax World Funds Series Trust I, et al. (Notice)
812-13883	IC-29783	Sep. 7, 2011	Pax World Funds Series Trust I, et al. (Order)
812-13702	IC-29257	Apr. 26, 2010	Pax World Funds Trust II, et al. (Notice)
812-13503	IC-28834	Jul. 22, 2009	Pax World Funds Trust II, et al. (Notice)
812-13702	IC-29269	May 17, 2010	Pax World Funds Trust II, et al. (Order)
812-13503	IC-28846	Aug. 13, 2009	Pax World Funds Trust II, et al. (Order)
813-248	IC-30143	Jul. 20, 2012	P.E. Partners III, LLC, et al. (Notice)
813-248	IC-30170	Aug. 16, 2012	P.E. Partners III, LLC, et al. (Order)
812-13401	IC-28328	Jul. 2, 2008	The Penn Mutual Life Insurance Company, et al. (Notice)
812-13401	IC-28342	Jul. 25, 2008	The Penn Mutual Life Insurance Company, et al. (Order)
812-14134	IC-30985	Mar. 19, 2014	PennantPark Investment Corp., et al. (Notice)
812-14134	IC-31015	Apr. 15, 2014	PennantPark Investment Corp., et al. (Order)
812-13772	IC-29665	May 6, 2011	PennantPark Investment Corporation, et al. (Notice)
812-13772	IC-29686	Jun. 1, 2011	PennantPark Investment Corporation, et al. (Order)
812-14011	IC-30228	Oct. 9, 2012	Permal Hedge Strategies Fund, et al. (Notice)
812-14011	IC-30257	Nov. 5, 2012	Permal Hedge Strategies Fund, et al. (Order)
812-14251	IC-31284	Oct. 10, 2014	Persimmon Capital Management LP and Northern Lights Fund Trust III (Order)
812-14251	IC-31218	Aug. 19, 2014	Persimmon Capital Management LP and Northern Lights Fund Trust III (Notice)
812-14815	IC-33121	Jun. 13, 2018	PFM Multi-Manager Series Trust and PFM Asset Management LLC (Order)
812-14815	IC-33098	May 15, 2018	PFM Multi-Manager Series Trust and PFM Asset Management LLC (Notice)
812-15010	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)
812-14891	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)
812-14715	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)
812-14763	IC-32781	Aug. 15, 2017	Point Bridge Capital, LLC and ETF Series Solutions (Order)
812-14763	IC-32738	Jul. 21, 2017	Point Bridge Capital, LLC, et al. (Notice)
812-14577	IC-32064	Apr. 4, 2016	Pointbreak Advisers LLC, et al. (Order)
812-14577	IC-32023	Mar. 7, 2016	Pointbreak Advisers LLC, et al. (Notice)
812-14499	IC-31921	Dec. 1, 2015	Pointbreak Advisers LLC et al. (Order)
812-14499	IC-31894	Nov. 5, 2015	Pointbreak Advisers LLC, et al. (Notice)
812-14416	IC-31862	Oct. 7, 2015	Pomona Investment Fund, et al. (Order)
812-14416	IC-31819	Sep. 11, 2015	Pomona Investment Fund, et al. (Notice)
812-13386	IC-28140	Feb. 1, 2008	PowerShares Capital Management LLC, et al. (Notice)
812-13386	IC-28171	Feb. 27, 2008	PowerShares Capital Management LLC, et al. (Order)
812-14442	IC-32035	Mar. 22, 2016	PowerShares Exchange-Traded Fund Trust, et al. (Order)
812-14442	IC-32006	Feb. 25, 2016	PowerShares Exchange-Traded Fund Trust, et al. (Notice)
812-13820	IC-30238	Oct. 23, 2012	PowerShares Exchange-Traded Fund Trust, PowerShares Exchange-Traded Fund Trust II, PowerShares Actively Managed Exchange-Traded Fund Trust, and Invesco PowerShares Capital Management LLC (Order)
812-13820	IC-30222	Sep. 26, 2012	PowerShares Exchange-Traded Fund Trust, et al. (Notice)
812-13335	IC-27811	Apr. 30, 2007	PowerShares Exchange-Traded Fund Trust, et al. (Notice)
812-13604	IC-28760	Jun. 8, 2009	PowerShares Exchange-Traded Fund Trust, et al. (Notice)
812-13343	IC-27693	Jan. 31, 2007	PowerShares Exchange-Traded Fund Trust, et al. (Notice)
812-13604	IC-28813	Jul. 7, 2009	PowerShares Exchange-Traded Fund Trust, et al. (Order)
812-13335	IC-27841	May 25, 2007	PowerShares Exchange-Traded Fund Trust, et al. (Order)
812-13343	IC-27743	Feb. 27, 2007	PowerShares Exchange-Traded Fund Trust, PowerShares Capital Management LLC, and AIM Distributors, Inc. (Order)
812-14574	IC-32025	Mar. 8, 2016	PowerShares Exchange-Traded Self-Indexed Fund Trust, et al. (Order)
812-14574	IC-31995	Feb. 11, 2016	PowerShares Exchange-Traded Self-Indexed Fund Trust, et al. (Notice)
812-13627	IC-30066	May 21, 2012	Praxis Mutual Funds, et al. (Order)
812-13627	IC-30042	Apr. 23, 2012	Praxis Mutual Funds, et al. (Notice)
812-14405	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)
812-14776	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)
812-14496	IC-31746	Aug. 11, 2015	Principal ETMF Trust, et al. (Notice)
812-14496	IC-31812	Sep. 9, 2015	Principal ETMF Trust, et al. (Order)
812-14509	IC-31872	Oct. 19, 2015	Principal Exchange-Traded Funds, et al. (Order)
812-14509	IC-31834	Sep. 21, 2015	Principal Exchange-Traded Funds, et al. (Notice)
812-14138	IC-31203	Aug. 11, 2014	Principal Funds, Inc., et al. (Notice)
812-14138	IC-31244	Sep. 8, 2014	Principal Funds, Inc., et al. (Order)
812-13869	IC-29824	Sep. 29, 2011	Principal Funds, Inc., et al. (Notice)
812-13869	IC-29843	Oct. 25, 2011	Principal Funds, Inc., et al. (Order)
812-14586	IC-32030	Mar. 17, 2016	Principal Life Insurance Company, et al. (Notice)
812-14586	IC-32067	Apr. 8, 2016	Principal Life Insurance Company, et al. (Order)
812-14600	IC-32029	Mar. 17, 2016	Principal Life Insurance Company, et al. (Notice)
812-14600	IC-32068	Apr. 8, 2016	Principal Life Insurance Company, et al. (Order)
812-14136	IC-30692	Sep. 20, 2013	Principal Management Corporation, et al. (Notice)
812-14136	IC-30742	Oct. 16, 2013	Principal Management Corporation, et al. (Order)
812-14295	IC-31334	Nov. 12, 2014	Principal Real Estate Income Fund ALPS Advisors, Inc. (Order)
812-14295	IC-31290	Oct. 16, 2014	Principal Real Estate Income Fund and Alps Advisors, Inc. (Notice)
812-13338	IC-27852	Jun. 18, 2007	Principal Variable Contracts Fund, Inc., et al. (Notice)
812-13338	IC-27887	Jul. 17, 2007	Principal Variable Contracts Fund, Inc., et al. (Order)
812-14772	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)
812-14977	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)
812-13437	IC-28180	Mar. 4, 2008	Pruco Life Insurance Company, et al. (Notice)
812-13437	IC-28231	Apr. 1, 2008	Pruco Life Insurance Company, et al. (Order)
812-13713	IC-29302	Jun. 18, 2010	Pruco Life Insurance Company, et. al. (Notice)
812-13713	IC-29342	Jul. 15, 2010	Pruco Life Insurance Company, et. al. (Order)
812-13990	IC-30186	Aug. 29, 2012	Pruco Life Insurance Company, et al. (Notice)
812-13990	IC-30209	Sep. 20, 2012	Pruco Life Insurance Company, et.al (Order)
812-13532	IC-28373	Sep. 3, 2008	Prudential Annuities Life Assurance Corp., et. al. (Order)
812-13446	IC-28179	Mar. 4, 2008	Prudential Annuities Life Assurance Corporation, et al. (Notice)
812-13446	IC-28233	Apr. 1, 2008	Prudential Annuities Life Assurance Corporation, et al. (Order)
812-13532	IC-28354	Aug. 8, 2008	Prudential Annuities Life Assurance Corporation, et. al. (Notice)
812-14633	IC-32374	Nov. 30, 2016	Prudential ETF Trust, et. al. (Order)
812-14633	IC-32351	Nov. 1, 2016	Prudential ETF Trust, et al. (Notice)
812-13572	IC-28377	Sep. 5, 2008	Prudential Financial, Inc., et al. (Notice and Temporary Order)
812-13572	IC-28430	Oct. 1, 2008	Prudential Financial, Inc., et al. (Order)
812-13993	IC-30200	Sep. 11, 2012	Prudential Investment Portfolios 3, et al. (Notice)
812-13993	IC-30229	Oct. 9, 2012	Prudential Investment Portfolios 3, et al. (Order)
812-14267	IC-31063	May 29, 2014	Prudential Investments LLC, et al. (Notice)
812-14267	IC-31095	Jun. 24, 2014	Prudential Investments LLC, et al. (Order)
812-13455	IC-28263	May 7, 2008	Prudential Retirement Insurance and Annuity Company, et al. (Notice)
812-13455	IC-28297	Jun. 6, 2008	Prudential Retirement Insurance and Annuity Company, et al. (Order)
812-13998	IC-30195	Sep. 5, 2012	Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC (Notice)
812-13998	IC-30226	Oct. 2, 2012	Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC (Order)
812-14356	IC-31809	Sep. 9, 2015	Pulteney Street Capital Management, LLC and PSP Family of Funds (Order)
812-14356	IC-31754	Aug. 13, 2015	Pulteney Street Capital Management, LLC and PSP Family of Funds (Notice)
812-14970	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)
R
File No.	Release No.	Date	Investment Company
812-13416	IC-28039	Oct. 30, 2007	Rafferty Asset Management, et al. (Notice)
812-13610	IC-28905	Sep. 22, 2009	Rafferty Asset Management, LLC, et al. (Order)
812-13610	IC-28889	Aug. 27, 2009	Rafferty Asset Management, LLC, et al. (Notice)
812-13483	IC-28379	Sep. 12, 2008	Rafferty Asset Management, LLC, et al. (Notice)
812-13483	IC-28434	Oct. 6, 2008	Rafferty Asset Management, LLC, et al. (Order)
812-13416	IC-28067	Nov. 27, 2007	Rafferty Asset Management, LLC, et al. (Order)
812-14501	IC-32168	Jul. 5, 2016	Ramius Archview Credit and Distressed Fund Ramius Advisors, LLC (Order)
812-14501	IC-32139	Jun. 6, 2016	Ramius Archview Credit and Distressed Fund and Ramius Advisors, LLC (Notice)
812-13634	IC-29941	Feb. 1, 2012	Rand Capital Corporation, et al. (Notice)
812-13634	IC-29941	Feb. 1, 2012	Rand Capital Corporation, et al. (Notice)
812-13634	IC-29972	Feb. 28, 2012	Rand Capital Corporation, et al. (Order)
812-13634	IC-29972	Feb. 28, 2012	Rand Capital Corporation, et al. (Order)
812-14131	IC-30778	Nov. 12, 2013	Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Notice)
812-14131	IC-30824	Dec. 11, 2013	Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Order)
812-14071	IC-30639	Aug. 1, 2013	Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Notice)
812-14071	IC-30677	Aug. 27, 2013	Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Order)
812-14657	IC-32292	Sep. 27, 2016	Rational Advisors, Inc. and Strategy Shares (Order)
812-14657	IC-32243	Aug. 30, 2016	Rational Advisors, Inc. and Strategy Shares (Notice)
813-326	IC-28012	Oct. 11, 2007	Raymond James Employee Investment Fund I, L.P., et al. (Notice)
813-326	IC-28043	Nov. 6, 2007	Raymond James Employee Investment Fund I, L.P., et al. (Order)
812-14372	IC-31827	Sep. 16, 2015	The RBB Fund, Inc. and Abbey Capital Limited (Order)
812-14372	IC-31766	Aug. 21, 2015	The RBB Fund, Inc. and Abbey Capital Limited (Notice)
812-13496	IC-28260	Apr. 30, 2008	The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)
812-13295	IC-27749	Mar. 8, 2007	The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)
812-13496	IC-28288	May 28, 2008	The RBB Fund, Inc. and Abundance Technologies, Inc. (Order)
812-14386	IC-32538	Mar. 21, 2017	The RBB Fund, Inc. and Altair Advisers LLC (Order)
812-14386	IC-32483	Feb. 21, 2017	The RBB Fund, Inc. and Altair Advisers LLC (Notice)
812-14206	IC-31687	Jun. 23, 2015	The RBB Fund, Inc., et al. (Order)
812-14206	IC-31648	May 27, 2015	The RBB Fund, Inc., et al. (Notice)
812-13295	IC-27775	Apr. 3, 2007	The RBB Fund, Inc., et al. (Order)
812-13663	IC-28762	Jun. 9, 2009	RBC Capital Markets Corporation, et al. (Notice and Temporary Order)
812-13663	IC-28812	Jul. 7, 2009	RBC Capital Markets Corporation, et al. (Order)
812-14232	IC-30842	Dec. 23, 2013	RBS Securities Inc. and Citizens Investment Advisors (Order)
812-14232	IC-30808	Nov. 25, 2013	RBS Securities Inc. and Citizens Investment Advisors (Temporary Order and Notice)
812-13399	IC-27877	Jun. 28, 2007	RealNetworks, Inc. (Notice)
812-13399	IC-27888	Jul. 24, 2007	RealNetworks, Inc. (Order)
812-14341	IC-31506	Mar. 17, 2015	Realty Capital Income Funds Trust, et al. (Order)
812-14341	IC-31458	Feb. 18, 2015	Realty Capital Income Funds Trust, et al. (Notice)
812-13200	IC-28818	Jul. 14, 2009	Reaves Utility Income Fund, et al. (Notice)
812-13200	IC-28843	Aug. 11, 2009	Reaves Utility Income Fund, et al. (Order)
812-14461	IC-31961	Jan. 19, 2016	Recon Capital Series Trust, et al. (Order)
812-14461	IC-31945	Dec. 21, 2015	Recon Capital Series Trust, et al. (Notice)
812-14068	IC-30203	Sep. 17, 2012	ReconTrust Company, N.A., et al. (Order)
812-14068	IC-30174	Aug. 20, 2012	ReconTrust Company, N.A., et al. (Notice)
812-14873	IC-33100	May 21, 2018	Redwood Investment Manangement, LLC and Two Roads Shared Trust (Order)
812-14873	IC-33076A	Apr. 26, 2018	Redwood Investment Management, LLC and Two Roads Shared Trust (Notice)
812-14658	IC-32291	Sep. 27, 2016	Regents Park Funds, LLC (Order)
812-14658	IC-32249	Aug. 31, 2016	Regents Park Funds, LLC, et al. (Notice)
812-14834	IC-32954	Dec. 27, 2017	Regents Park Funds, LLC and Two Roads Shared Trust (Order)
812-14834	IC-32931	Dec. 1, 2017	Regents Park Funds, LLC and Two Roads Shared Trust (Notice)
812-14830	IC-32924	Nov. 28, 2017	Reinhart Partners, Inc., et al. (Order)
812-14830	IC-32892	Nov. 1, 2017	Reinhart Partners, Inc., et al. (Notice)
812-14683	IC-32904	Nov. 21, 2017	The Relative Value Fund et al. (Order)
812-14683	IC-32884	Oct. 26, 2017	The Relative Value Fund et al. (Notice)
812-13976	IC-30422	Mar. 11, 2013	Renaissance Capital Greenwich Funds, et al. (Notice)
812-13976	IC-30451	Apr. 8, 2013	Renaissance Capital Greenwich Funds, et al. (Order)
812-13576	IC-28465	Oct. 24, 2008	The Reserve Fund (Notice) (Comments received are available.; See also: Responses to Frequently Asked Questions about The Reserve Fund and Money Market Funds)
812-13576	IC-28386	Sep. 22, 2008	The Reserve Fund, on behalf of two of its series, the Primary Fund and the U.S. Government Fund (Order)
812-13585	IC-28466	Oct. 24, 2008	Reserve Municipal Money-Market Trust, et al. (Notice of Application and Temporary Order)
812-14244	IC-31093	Jun. 23, 2014	Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc. (Notice)
812-14244	IC-31162	Jul. 22, 2014	Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc. (Order)
812-13569	IC-28931	Sep. 25, 2009	Ridgewood Capital Energy Growth Fund, LLC, et al. (Notice)
812-13569	IC-28982	Oct. 21, 2009	Ridgewood Capital Energy Growth Fund, LLC, et al. (Order)
812-13860	IC-29743	Aug. 3, 2011	RidgeWorth Funds et al. (Notice)
812-13860	IC-29773	Aug. 30, 2011	RidgeWorth Funds et al. (Order)
813-358	IC-29446	Sep. 28, 2010	RIEF RMP LLC and Renaissance Technologies LLC (Notice)
813-358	IC-29489	Oct. 26, 2010	RIEF RMP LLC and Renaissance Technologies LLC (Order)
812-13777	IC-29889	Dec. 19, 2011	Rio Tinto plc and Rio Tinto Limited (Notice)
812-13777	IC-29921	Jan. 17, 2012	Rio Tinto plc et al. (Order)
812-13777	IC-29921	Jan. 17, 2012	Rio Tinto plc et al. (Order)
812-14698	IC-32673	Jun. 7, 2017	RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC (Order)
812-14698	IC-32635	May 12, 2017	RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC (Notice)
812-14160	IC-30919	Feb. 18, 2014	RiverNorth Funds, et al. (Notice)
812-14160	IC-30983	Mar. 18, 2014	RiverNorth Funds, et al. (Order)
812-13755	IC-29840	Oct. 19, 2011	RiverPark Advisors, LLC, et al. (Notice)
812-13755	IC-29863	Nov. 17, 2011	RiverPark Advisors, LLC, et al. (Order)
813-361	IC-29576	Feb. 8, 2011	Riverside Casualty, Inc. (Notice)
813-361	IC-29597	Mar. 8, 2011	Riverside Casualty, Inc. (Order)
812-13492	IC-28527	Dec. 4, 2008	RiverSource Life Insurance Company, et al. (Notice)
812-13492	IC-28575	Dec. 30, 2008	RiverSource Life Insurance Company, et al. (Order)
812-13058-06	IC-29178	Mar. 23, 2010	RMR Real Estate Income Fund, et al. (Notice)
812-13058-06	IC-29213	Apr. 20, 2010	RMR Real Estate Income Fund, et al. (Order)
812-14265	IC-31134	Jun. 25, 2014	Rothschild Larch Lane Management Company LLC and The Advisors' Inner Circle Fund III (Notice)
812-14265	IC-31164	Jul. 22, 2014	Rothschild Larch Lane Management Company LLC and the Advisors' Inner Circle Fund III (Order)
812-14981	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)
812-14034	IC-30447	Apr. 4, 2013	Royce Focus Trust, Inc., et al. (Notice)
812-14034	IC-30499	Apr. 30, 2013	Royce Focus Trust, Inc., et al. (Order)
812-13880	IC-30448	Apr. 4, 2013	Royce Value Trust, Inc., et al. (Notice)
812-13880	IC-30500	Apr. 30, 2013	Royce Value Trust, Inc., et al. (Order)
812-13815	IC-29706	Jun. 22, 2011	Russell Exchange Traded Funds Trust, et al. (Notice)
812-13815	IC-29727	Jul. 19, 2011	Russell Exchange Traded Funds Trust, et al. (Order)
812-13870	IC-29623	Apr. 6, 2011	Russell Investment Company, et al. (Notice)
812-13870	IC-29664	May 3, 2011	Russell Investment Company, et al. (Order)
812-13669	IC-29655	Apr. 20, 2011	Russell Investment Management Company, et al. (Notice)
812-13669	IC-29671	May 16, 2011	Russell Investment Management Company, et al. (Order)
812-13390	IC-28000	Sep. 27, 2007	Rydex ETF Trust, et al. (Notice)
812-13387	IC-27958	Aug. 28, 2007	Rydex ETF Trust, et al. (Notice)
812-13337	IC-27703	Feb. 20, 2007	Rydex ETF Trust, et al. (Notice)
812-13390	IC-28018	Oct. 23, 2007	Rydex ETF Trust, et al. (Order)
812-13387	IC-27981	Sep. 25, 2007	Rydex ETF Trust, et al. (Order)
812-13337	IC-27754	Mar. 20, 2007	Rydex ETF Trust, Rydex Distributors, Inc. and PADCO Advisors II, Inc. (Order)
812-13685	IC-29179	Mar. 23, 2010	Rydex Series Funds, et al. (Notice)
812-13685	IC-29212	Apr. 20, 2010	Rydex Series Funds, et al. (Order)
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)
812-13753	IC-29176	Mar. 17, 2010	SeaCo Ltd. (Notice)
812-13753	IC-29206	Apr. 9, 2010	SeaCo Ltd. (Order)
812-13952	IC-29879	Dec. 8, 2011	Seasons Series Trust, et al. (Notice)
812-13952	IC-29914	Jan. 4, 2012	Seasons Series Trust, et al. (Order)
812-13952	IC-29914	Jan. 4, 2012	Seasons Series Trust, et al. (Order)
812-14091	IC-30354	Jan. 22, 2013	Securian Funds Trust, et al. (Notice)
812-14091	IC-30387	Feb. 19, 2013	Securian Funds Trust, et al. (Order)
812-13929	IC-29884	Dec. 14, 2011	SEI Investments Management Corporation et al. (Order)
812-13929	IC-29866	Nov. 18, 2011	SEI Investments Management Corporation, et al. (Notice)
812-13353	IC-27921	Aug. 3, 2007	Sentinel Variable Products Trust and Sentinel Asset Management, Inc. (Notice)
812-13353	IC-27959	Aug. 29, 2007	Sentinel Variable Products Trust, et al. (Order)
812-14641	IC-32325	Oct. 24, 2016	SerenityShares Investments LLC, et al. (Order)
812-14641	IC-32283	Sep. 26, 2016	SerenityShares Investments LLC, et al. (Notice)
812-14717	IC-32684	Jun. 20, 2017	Series Portfolios Trust and Highmore Group Advisors, LLC (Order)
812-14717	IC-32660	May 24, 2017	Series Portfolios Trust and Highmore Group Advisors, LLC (Notice)
812-14759	IC-32799	Aug. 28, 2017	Sharespost 100 Fund and SP Investments Management, LLC (Order)
812-14759	IC-32768	Jul. 31, 2017	Sharespost 100 Fund and SP Investments Management, LLC (Notice)
812-13559	IC-29127	Jan. 29, 2010	ShariahShares Exchange-Traded Fund Trust, et al. (Notice)
812-13559	IC-29130	Feb. 22, 2010	ShariahShares Exchange-Traded Fund Trust, et al. (Order)
812-14713	IC-32670	Jun. 6, 2017	Sierra Total Return Fund, et al. (Order)
812-14713	IC-32632	May 10, 2017	Sierra Total Return Fund, et al. (Notice)
812-14046	IC-30559	Jun. 14, 2013	Sigma Investment Advisors, LLC, et al. (Notice)
812-14046	IC-30597	Jul. 10, 2013	Sigma Investment Advisors, LLC, et al. (Order)
813-264	IC-27770	Mar. 27, 2007	Silas Partners I, LLC et al. (Notice)
813-264	IC-27782	Apr. 24, 2007	Silas Partners I, LLC, et al. (Order)
812-13801	IC-29629	Apr. 19, 2011	Simple Alternatives, LLC (Order)
812-13801	IC-29616	Mar. 24, 2011	Simple Alternatives, LLC and The RBB Fund, Inc. (Notice)
812-13944	IC-29817	Sep. 22, 2011	The Singapore Fund, Inc. (Notice) (Comments received are available.)
812-13944	IC-29880	Dec. 8, 2011	The Singapore Fund, Inc. (Order)
813-194	IC-30091	May 31, 2012	SK Private Investment Fund 1998 LLC et al. (Order)
813-194	IC-30060	May 4, 2012	SK Private Investment Fund 1998 LLC, et al. (Notice)
812-14828	IC-33193	Aug. 6, 2018	SL Advisors, LLC and ETF Series Solutions (Order)
812-14828	IC-33158	Jul. 11, 2018	SL Advisors, LLC and ETF Series Solutions (Notice)
812-14802	IC-32832	Sep. 26, 2017	SL Advisors, LLC, et al. (Order)
812-14802	IC-32801	Aug. 30, 2017	SL Advisors, LLC, et al. (Notice)
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
812-14397	IC-32601	Apr. 18, 2017	Spinnaker ETF Trust, et al. (Order)
812-14397	IC-32568	Mar. 22, 2017	Spinnaker ETF Trust, et al. (Notice)
812-14872	IC-33155	Jul. 10, 2018	Sprott ETF Trust and Sprott Asset Management USA Inc. (Order)
812-14872	IC-33123	Jun. 15, 2018	Sprott ETF Trust and Sprott Asset Management USA Inc. (Notice)
812-14871	IC-33138	Jun. 28, 2018	Sprott ETF Trust and Sprott Asset Management USA Inc. (Order)
812-14871	IC-33112	Jun. 1, 2018	Sprott ETF Trust and Sprott Asset Management USA Inc. (Notice)
812-14437	IC-31592	May 4, 2015	Sprott Focus Trust, Inc. and Sprott Asset Management LP (Order)
812-14437	IC-31548	Apr. 7, 2015	Sprott Focus Trust, Inc. and Sprott Asset Management LP (Notice)
812-13953	IC-31301	Oct. 21, 2014	Spruce ETF Trust, et al. (Notice)
812-13953	IC-31337	Nov. 14, 2014	Spruce ETF Trust, et al. (Order)
812-13961	IC-31412	Jan. 13, 2015	SSgA Funds Management, Inc., El Al. (Order)
812-13961	IC-31384	Dec. 18, 2014	SSgA Funds Management, Inc., et al. (Notice)
812-14291	IC-31278	Oct. 7, 2014	SSgA Master Trust SSgA Funds Management, Inc. (Order)
812-13487	IC-29499	Nov. 17, 2010	SSgA Funds Management, Inc., et al. (Notice)
812-13356	IC-27809	Apr. 30, 2007	SSgA Funds Management, Inc., et al. (Notice)
812-13487	IC-29524	Dec. 13, 2010	SSgA Funds Management, Inc., et al. (Order)
812-13356	IC-27839	May 25, 2007	SSgA Funds Management, Inc., et al. (Order)
812-14291	IC-31249	Sep. 11, 2014	SSgA Mastertrust and SSgA Funds Management, Inc. (Notice)
812-14630	IC-32282	Sep. 26, 2016	Starboard Investment Trust and Cavalier Investments, Inc. (Order)
812-14630	IC-32241	Aug. 29, 2016	Starboard Investment Trust and Cavalier Investments, Inc (Notice)
812-14170	IC-31647	May 27, 2015	Starboard Investment Trust and Foliometrix, LLC (Order)
812-14170	IC-31587	Apr. 30, 2015	Starboard Investment Trust and Foliometrix, LLC (Notice)
812-14558	IC-32357	Nov. 10, 2016	State Farm Associates' Funds Trust, et al. (Order)
812-14558	IC-31988	Feb. 8, 2016	State Farm Associates' Funds Trust, et al. (Notice)
812-14725	IC-32897	Nov. 7, 2017	Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC (Order)
812-14725	IC-32860	Oct. 12, 2017	Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC (Notice)
812-14314	IC-31186	Jul. 24, 2014	Steben Alternative Investment Funds and Steben & Company, Inc. (Notice)
812-14314	IC-31215	Aug. 19, 2014	Steben Alternative Investment Funds and Steben & Company, Inc. (Order)
812-14144	IC-31029	Apr. 25, 2014	Steben Select Multi-Strategy Fund and Steben & Company, Inc. (Notice)
812-14144	IC-31052	May 21, 2014	Steben Select Multi-Strategy Fund and Steben & Company, Inc. (Order)
812-13793	IC-30070	May 23, 2012	Steel Partners Holdings L.P. (Order)
812-13793	IC-30056	Apr. 27, 2012	Steel Partners Holdings L.P. (Notice)
812-14855	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)
812-14900	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)
812-13712	IC-29064	Nov. 30, 2009	Strategic Funds, Inc., et al. (Notice)
812-13712	IC-29097	Dec. 23, 2009	Strategic Funds, Inc., et al. (Order)
812-14701	IC-32522	Mar. 7, 2017	StrongVest ETF Trust, et al. (Order)
812-14701	IC-32471	Feb. 7, 2017	StrongVest ETF Trust, et al. (Notice)
812-14700	IC-32453	Jan. 26, 2017	StrongVest ETF Trust, et al. (Notice)
812-14700	IC-32507	Feb. 22, 2017	StrongVest ETF Trust, et al. (Order)
812-13402	IC-28570	Dec. 23, 2008	Sun Life Assurance Company of Canada (U.S.), et al. (Notice)
812-13402	IC-28607	Jan. 22, 2009	Sun Life Assurance Company of Canada (U.S.), et al. (Order)
812-13282	IC-27651	Dec. 29, 2006	Sun Life Assurance Company of Canada (U.S.), et al. (Notice)
812-13282	IC-27688	Jan. 25, 2007	Sun Life Assurance Company of Canada (U.S.), et al. (Order)
812-13239	IC-28578	Jan. 6, 2009	SunAmerica Focused Alpha Growth Fund, Inc., et al. (Notice)
812-13239	IC-28612	Feb. 3, 2009	SunAmerica Focused Alpha Growth Fund, Inc., et al. (Order)
812-14226	IC-31281	Oct. 10, 2014	SunAmerica Series Trust, et al. (Notice)
812-14226	IC-31331	Nov. 5, 2014	SunAmerica Series Trust, et al. (Order)
812-13778	IC-30046	Apr. 24, 2012	Sunwest Rollover Member LLC (Order)
812-13778	IC-30014	Mar. 29, 2012	Sunwest Rollover Member LLC (Notice)
812-14518	IC-32004	Feb. 24, 2016	Susa Registered Fund, L.L.C., et al. (Order)
812-14518	IC-31975	Jan. 29, 2016	Susa Registered Fund, L.L.C., et al. (Notice)
812-14857	IC-33099	May 21, 2018	The Swiss Helvetia Fund, Inc., et al. (Order)
812-14857	IC-33075	Apr. 23, 2018	The Swiss Helvetia Fund, Inc., et al. (Notice)
812-14082	IC-30353	Jan. 22, 2013	Symetra Life Insurance Company, et al. (Notice)
812-14082	IC-30386	Feb. 19, 2013	Symetra Life Insurance Company, et al. (Order)
812-14081	IC-30472	Apr. 19, 2013	Symetra Mutual Funds Trust, et al. (Notice)
812-14081	IC-30516	May 14, 2013	Symetra Mutual Funds Trust, et al. (Order)
812-14943	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
812-14214	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)
812-14296	IC-31296	Oct. 20, 2014	Tennenbaum Opportunities Fund V, LLC, et al. (Notice)
812-14296	IC-31358	Nov. 25, 2014	Tennenbaum Opportunities Fund V, LLC, et al. (Order)
812-14645	IC-32117	May 18, 2016	Terra Capital Partners, LLC, et al. (Order)
812-14645	IC-32097	Apr. 26, 2016	Terra Capital Partners, LLC, et al. (Notice)
812-14452	IC-32349	Nov. 1, 2016	Terra Income Fund 6, Inc., et al. (Order)
812-14452	IC-32303	Oct. 4, 2016	Terra Income Fund 6, Inc., et al. (Notice)
812-14593	IC-31943	Dec. 16, 2015	Third Avenue Trust and Third Avenue Management LLC (Notice and Temporary Order)
812-14807	IC-33239	Sep. 19, 2018	THL Credit, Inc., et al. (Order)
812-14807	IC-33213	Aug. 24, 2018	THL Credit, Inc., et al. (Notice)
812-14256	IC-31899	Nov. 10, 2015	THL Credit, Inc., et al. (Notice)
812-14256	IC-31929	Dec. 8, 2015	THL Credit, Inc. (Order)
812-13508	IC-28252	Apr. 24, 2008	Thrivent Mutual Funds, et al. (Notice)
812-13508	IC-28267	May 20, 2008	Thrivent Mutual Funds, et al. (Order)
812-14723	IC-32814	Sep. 12, 2017	TIAA-CREF Funds, et al. (Order)
812-14723	IC-32779	Aug. 15, 2017	TIAA-CREF Funds, et al. (Notice)
812-13995	IC-31861	Oct. 6, 2015	TIAA-CREF Funds, et al. (Order)
812-13995	IC-31807	Sep. 8, 2015	TIAA-CREF Funds, et al. (Notice)
812-13831	IC-29707	Jun. 24, 2011	TIAA-CREF Funds, et al. (Notice)
812-13831	IC-29728	Jul. 19, 2011	TIAA-CREF Funds, et al. (Order)
812-13563	IC-28530	Dec. 10, 2008	TIAA-CREF Life Funds, et al. (Notice)
812-13563	IC-28577	Jan. 6, 2009	TIAA-CREF Life Funds, et al. (Order)
812-13791	IC-29687	Jun. 1, 2011	TIAA-CREF Life Insurance Company, et al. (Notice)
812-13791	IC-29600	Mar. 22, 2011	TIAA-CREF Life Insurance Company, et al. (Notice)
812-13791	IC-29709	Jun. 28, 2011	TIAA-CREF Life Insurance Company, et al. (Order)
812-14707	IC-32680	Jun. 14, 2017	TICC Capital Corp., et al. (Order)
812-14707	IC-32641	May 19, 2017	TICC Capital Corp., et al. (Notice)
812-14980	IC-33438	Apr. 2, 2019	TigerShares Trust, Wealthn LLC and Quasar Distributor, LLC (Order)
812-14980	IC-33392	Mar. 7, 2019	TigerShares Trust, et al. (Notice)
812-14947	IC-33350	Jan. 29, 2019	TigerShares Trust and Wealthn LLC (Order)
812-14947	IC-33334	Dec. 20, 2018	TigerShares Trust, et al. (Notice)
812-13363	IC-28123	Jan. 18, 2008	The TIGERS Revenue Trust and VTL Associates, LLC (Notice)
812-13363	IC-28151	Feb. 13, 2008	The TIGERS Revenue Trust and VTL Associates, LLC (Order)
812-14958	IC-33352	Jan. 29, 2019	Timothy Plan and Timothy Partners, Ltd. (Order)
812-14958	IC-33331	Dec. 19, 2018	Timothy Plan and Timothy Partners, Ltd. (Notice)
812-14939	IC-33433	Mar. 29, 2019	Tidal ETF Trust and Toroso Investments, LLC (Order)
812-14996	IC-33499	Jun. 3, 2019	Toroso Investments, LLC and Tidal ETF Trust (Order)
812-14996	IC-33469	May 8, 2019	Toroso Investments, LLC and Tidal ETF Trust (Notice)
812-14939	IC-33378	Feb. 21, 2019	Toroso Investments, LLC and Tidal ETF Trust (Notice)
812-14924	IC-33313	Dec. 3, 2018	Toroso Investments, LLC and Tidal ETF Trust (Order)
812-14924	IC-33288	Nov. 5, 2018	Toroso Investments, LLC and Tidal ETF Trust (Notice)
812-14839	IC-33205	Aug. 21, 2018	Tortoise Capital Advisors, L.L.C., et al. (Notice)
812-14839	IC-33237	Sep. 18, 2018	Tortoise Capital Advisors, L.L.C., et al. (Order)
812-14706	IC-32579	Mar. 28, 2017	Tortoise Index Solutions, LLC, et al. (Order)
812-14706	IC-32512	Feb. 27, 2017	Tortoise Index Solutions, LLC, et al. (Notice)
812-13862	IC-29785	Sep. 12, 2011	Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Order)
812-13862	IC-29755	Aug. 16, 2011	Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Notice)
812-14854	IC-33547	Jul. 9, 2019	Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC (Order)
812-14854	IC-33509	Jun. 13, 2019	Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC (Notice)
812-14184	IC-30859	Jan. 15, 2014	Total Income+ Real Estate Fund, et al. (Notice)
812-14184	IC-30912	Feb. 11, 2014	Total Income+ Real Estate Fund, et al. (Order)
812-14612	IC-32580	Mar. 28, 2017	Touchstone Investment Trust, et al. (Order)
812-14612	IC-32515	Feb. 28, 2017	Touchstone Investment Trust, et al. (Notice)
813-350	IC-28046	Nov. 8, 2007	Tower 21st Century Fund LLC, et al. (Notice)
813-350	IC-28072	Dec. 4, 2007	Tower 21st Century Fund, LLC, et al. (Order)
812-13980	IC-31338	Nov. 18, 2014	TPG Specialty Lending, Inc., et al. (Notice)
812-13980	IC-31379	Dec. 16, 2014	TPG Specialty Lending, Inc., et al. (Order)
812-14489	IC-32604	Apr. 19, 2017	Transamerica Advisors Life Insurance Company, et al. (Order)
812-14489	IC-32573	Mar. 24, 2017	Transamerica Advisors Life Insurance Company, et al. (Notice)
812-14649	IC-32743	Jul. 26, 2017	Transamerica ETF Trust, et al. (Order)
812-14649	IC-32718	Jun. 30, 2017	Transamerica ETF Trust, et al. (Notice)
812-14487	IC-32606	Apr. 19, 2017	Transamerica Financial Life Insurance Company, et al. (Order)
812-14487	IC-32571	Mar. 24, 2017	Transamerica Financial Life Insurance Company, et al. (Notice)
812-14676	IC-32424	Jan. 18, 2017	Transamerica Funds, et al. (Order)
812-14676	IC-32400	Dec. 21, 2016	Transamerica Funds, et al. (Notice)
812-14490	IC-32603	Apr. 19, 2017	Transamerica Life Insurance Company, et al. (Order)
812-14488	IC-32605	Apr. 19, 2017	Transamerica Life Insurance Company, et al. (Order)
812-14490	IC-32574	Mar. 24, 2017	Transamerica Life Insurance Company, et al. (Notice)
812-14488	IC-32572	Mar. 24, 2017	Transamerica Life Insurance Company, et al. (Notice)
812-14133	IC-30816	Dec. 3, 2013	Transamerica Life Insurance Company, et al. (Order)
812-14133	IC-30776	Nov. 6, 2013	Transamerica Life Insurance Company, et al. (Notice)
812-13661	IC-29410	Sep. 3, 2010	Transamerica Asset Management, Inc., et al. (Notice)
812-13661	IC-29447	Sep. 28, 2010	Transamerica Asset Management, Inc., et al. (Order)
812-14121	IC-30558	Jun. 14, 2013	Transparent Value Trust, et al. (Notice)
812-14121	IC-30596	Jul. 10, 2013	Transparent Value Trust, et al. (Order)
812-14077	IC-30432	Mar. 21, 2013	Triangle Capital Corporation (Order)
812-13647	IC-28692	Apr. 13, 2009	Triangle Capital Corporation (Notice)
812-13447	IC-28165	Feb. 20, 2008	Triangle Capital Corporation (Notice)
812-13647	IC-28718	May 5, 2009	Triangle Capital Corporation (Order)
812-13447	IC-28196	Mar. 18, 2008	Triangle Capital Corporation (Order)
812-13771	IC-29453	Sep. 30, 2010	Triangle Capital Corporation, et al. (Notice)
812-13355	IC-28383	Sep. 19, 2008	Triangle Capital Corporation, et al. (Notice)
812-13771	IC-29482	Oct. 22, 2010	Triangle Capital Corporation, et al. (Order)
812-13355	IC-28437	Oct. 14, 2008	Triangle Capital Corporation, et al. (Order)
812-13465	IC-29415	Sep. 10, 2010	Tri-Continental Corporation, et al. (Notice)
812-13465	IC-29457	Oct. 5, 2010	Tri-Continental Corporation, et al. (Order)
812-14829	IC-33192	Aug. 6, 2018	TriLine Index Solutions, LLC and ETF Series Solutions (Order)
812-14829	IC-33159	Jul. 11, 2018	TriLine Index Solutions, LLC and ETF Series Solutions (Notice)
812-14750	IC-32639	May 17, 2017	TriLine Index Solutions, et al. (Order)
812-14750	IC-32608	Apr. 21, 2017	TriLine Index Solutions, LLC, et al. (Notice)
812-14848	IC-33070	Apr. 10, 2018	Triloma EIG Energy Income Fund, et al. (Order)
812-14848	IC-33047	Mar. 14, 2018	Triloma EIG Energy Income Fund, et al. (Notice)
812-14435	IC-32730	Jul. 11, 2017	Triloma EIG Energy Income Fund, et al. (Order)
812-14435	IC-32679	Jun. 13, 2017	Triloma EIG Energy Income Fund, et al. (Notice)
812-14429	IC-32106	May 5, 2016	Triloma EIG Global Energy Fund, et al. (Notice)
812-14429	IC-32132	May 31, 2016	Triloma EIG Global Energy Fund, et al. (Order)
812-14298	IC-31165	Jul. 22, 2014	TrimTabs Asset Management, LLC, et al. (Notice)
812-14298	IC-31214	Aug. 19, 2014	TrimTabs Asset Management, LLC, et al. (Order)
812-14661	IC-32208	Aug. 4, 2016	TrimTabs ETF Trust, et al. (Notice)
812-14661	IC-32244	Aug. 30, 2016	TrimTabs ETF Trust, et al. (Order)
812-14773	IC-33037	Feb. 28, 2018	TriplePoint Venture Growth BDC Corp., et al. (Notice)
812-14773	IC-33060	Mar. 28, 2018	TriplePoint Venture Growth BDC Corp., et al. (Order)
812-14122	IC-31856	Sep. 30, 2015	Triton Pacific Investment Corporation, Inc., et al. (Notice)
812-14838	IC-33217	Sep. 5, 2018	Thrivent Financial for Lutherans, et al. (Order)
812-14838	IC-33197	Aug. 9, 2018	Thrivent Financial for Lutherans, et al. (Notice)
812-14354	IC-31543	Apr. 1, 2015	Trust for Professional Managers and William Blair & Company, L.L.C. (Notice)
812-14354	IC-31584	Apr. 28, 2015	Trust for Professional Managers and William Blair & Company, L.L.C. (Order)
812-14113	IC-30460	Apr. 12, 2013	Trust for Professional Managers and Aurora Investment Management L.L.C. (Notice)
812-14113	IC-30510	May 8, 2013	Trust for Professional Managers and Aurora Investment Management L.L.C. (Order)
812-14349	IC-31464	Feb. 23, 2015	Trust for Professional Managers and William Blair & Company, L.L.C. (Order)
812-14349	IC-31435	Jan. 28, 2015	Trust for Professional Managers and William Blair & Company L.L.C. (Notice)
812-14012	IC-30235	Oct. 18, 2012	Trust for Professional Managers, et al. (Notice)
812-14012	IC-30263	Nov. 14, 2012	Trust for Professional Managers , et al. (Order)
812-13514	IC-28382	Sep. 19, 2008	Trust for Professional Managers, et al. (Notice)
812-13514	IC-28439	Oct. 15, 2008	Trust for Professional Managers, et al. (Order)
812-13408	IC-27995	Sep. 26, 2007	Trust for Professional Managers, et al. (Order)
812-13408	IC-27964	Aug. 31, 2007	Trust for Professional Managers, Inc., et al. (Notice)
812-14054	IC-30449	Apr. 4, 2013	TSC Distributors LLC and TSC UITS (Notice)
812-14054	IC-30501	Apr. 30, 2013	TSC Distributors LLC and TSC UITS (Order)
813-359	IC-29409	Sep. 3, 2010	Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Notice)
813-359	IC-29449	Sep. 29, 2010	Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Order)
813-00391	IC-33510	Jun. 17, 2019	Tudor Investment Corporation and Tudor Employee Investment Fund LLC (Order)
813-00391	IC-33492	May 23, 2019	Tudor Investment Corporation and Tudor Employee Investment Fund LLC (Notice)
812-14514	IC-32101	May 3, 2016	Türkiye Sinai Kalkinma Bankasi A.S. (Order)
812-14514	IC-32066	Apr. 6, 2016	Türkiye Sinai Kalkinma Bankasi A.S. (Notice)
813-332	IC-28528	Dec. 9, 2008	TWB Investment Partnership, L.P., et al. (Notice)
813-332	IC-28576	Jan. 6, 2009	TWB Investment Partnership, L.P., et al. (Order)
813-00389	IC-33811	Mar. 5, 2020	Two Sigma Investments, LP and Two Sigma Luna, LLC (Notice)
U
File No.	Release No.	Date	Investment Company
812-14404	IC-31916	Nov. 24, 2015	U.S. Bank National Association (Order)
812-14404	IC-31886	Oct. 29, 2015	U.S. Bank National Association (Notice)
812-13246	IC-28264	May 7, 2008	U.S. Bank National Association FAF Advisors, Inc. (Order)
812-13246	IC-28238	Apr. 16, 2008	U.S. Bank National Association, et al. (Notice)
812-14869	IC-33118	Jun. 5, 2018	U.S. Global Investors, Inc. et al. (Order)
812-14869	IC-33092	May 9, 2018	U.S. Global Investors, Inc. et al. (Notice)
812-14451	IC-31905	Nov. 18, 2015	U.S. Global Investors, Inc., et al. (Notice)
812-14188	IC-30723	Sep. 25, 2013	U.S. Global Investors, Inc., et al. (Notice)
812-14188	IC-30755	Oct. 23, 2013	U.S. Global Investors ETF Trust, et al. (Order)
812-13658-01	IC-29128	Feb. 2, 2010	U.S. One, Inc. and U.S. One Trust (Notice)
812-13658-01	IC-29164	Mar. 1, 2010	U.S. One, Inc. and U.S. One Trust (Order)
812-14469	IC-31673	Jun. 16, 2015	The Royal Bank of Scotland plc, et al. (Order)
812-14465	IC-31672	Jun. 16, 2015	UBS AG, et al. (Order)
812-14465	IC-31612	May 20, 2015	UBS AG, et al. (Notice)
813-336	IC-31019	Apr. 17, 2014	UBS AG, et al. (Notice)
813-336	IC-31042	May 13, 2014	UBS AG, et al. (Order)
812-14105	IC-30311	Dec. 19, 2012	UBS AG, et al. (Temporary Order)
812-14105	IC-30383	Feb. 15, 2013	UBS AG, et al. (Notice and Temporary Order)
812-14105	IC-30424	Mar. 13, 2013	UBS AG, et al. (Order)
812-13902	IC-29666	May 9, 2011	UBS AG, et al. (Notice and Temporary Order)
812-13645	IC-28652	Mar. 19, 2009	UBS AG, et al. (Notice and Temporary Order)
812-13902	IC-29690	Jun. 6, 2011	UBS AG, et al. (Order)
812-13645	IC-28695	Apr. 14, 2009	UBS AG, et al. (Order)
812-14727	IC-32594	Apr. 5, 2017	UBS ETMF Trust, et al. (Order)
812-14727	IC-32529	Mar. 10, 2017	UBS ETMF Trust, et al. (Notice)
812-13453	IC-28080	Dec. 19, 2007	The UBS Funds, et al. (Notice)
812-13453	IC-28122	Jan. 16, 2008	The UBS Funds, et al. (Order)
812-13609	IC-28569	Dec. 23, 2008	UBS Securities LLC, et al. (Notice and Temporary Order)
812-13609	IC-28606	Jan. 16, 2009	UBS Securities LLC, et al. (Order)
812-13450	IC-28071	Nov. 30, 2007	Unified Series Trust and Envestnet Asset Management, Inc. (Notice)
812-13450	IC-28117	Dec. 27, 2007	Unified Series Trust, et al. (Order)
812-14693	IC-32525	Mar. 7, 2017	USAA Asset Management Company, et al. (Order)
812-14693	IC-32474	Feb. 9, 2017	USAA Asset Management Company, et al. (Notice)
812-14140	IC-30891	Jan. 23, 2014	USAA Asset Management Company, et al. (Notice)
812-14140	IC-30921	Feb. 19, 2014	USAA Asset Management Company, et al. (Order)
812-14692	IC-32576	Mar. 27, 2017	USAA ETF Trust, et al. (Order)
812-14692	IC-32511	Feb. 27, 2017	USAA ETF Trust, et al. (Notice)
812-14277	IC-31133	Jun. 25, 2014	USCF Equity Trust, et al. (Notice)
812-14277	IC-31163	Jul. 22, 2014	USCF Equity Trust, et al. (Order)
812-14340	IC-32889	Oct. 31, 2017	USCF Fund Advisors, LLC, et al. (Order)
812-14340	IC-32851	Oct. 4, 2017	USCF Fund Advisors, LLC, et al. (Notice)
812-14733	IC-32798	Aug. 28, 2017	USQ Core Real Estate Fund and Union Square Capital Partners, LLC (Order)
812-14733	IC-32767	Jul. 31, 2017	USQ Core Real Estate Fund and Union Square Capital Partners, LLC (Notice)
V
File No.	Release No.	Date	Investment Company
812-14805	IC-33002	Feb. 6, 2018	Validea Capital Management, ETF Series Solutions, and Quasar Distributors LLC (Order)
812-14805	IC-32952	Dec. 26, 2017	Validea Capital Management, LLC, et al. (Notice)
812-14322	IC-31277	Oct. 7, 2014	Validea Capital Management, LLC, et al. (Order)
812-14322	IC-31246	Sep. 9, 2014	Validea Capital Management, LLC, et al. (Notice)
812-13951	IC-31071	Jun. 4, 2014	Valmark Advisers, Inc. and Northern Lights Variable Trust (Notice)
812-13951	IC-31142	Jul. 1, 2014	Valmark Advisers, Inc. and Northern Lights Variable Trust (Order)
812-14400	IC-31547	Apr. 6, 2015	Van Eck Associates Corporation, et al. (Notice)
812-14400	IC-31596	May 6, 2015	Van Eck Associates Corporation, et al. (Order)
812-13624	IC-29455	Oct. 1, 2010	Van Eck Associates Corporation, et al. (Notice)
812-13605	IC-29459	Oct. 7, 2010	Van Eck Associates Corporation, et al. (Notice)
812-13507	IC-28349	Jul. 31, 2008	Van Eck Associates Corporation, et al. (Notice)
812-13426	IC-28007	Sep. 28, 2007	Van Eck Associates Corporation, et al. (Notice)
812-13339	IC-27694	Jan. 31, 2007	Van Eck Associates Corporation, et al. (Notice)
812-13624	IC-29490	Oct. 26, 2010	Van Eck Associates Corporation, et al. (Order)
812-13605	IC-29496	Nov. 3, 2010	Van Eck Associates Corporation, et al. (Order)
812-13507	IC-28365	Aug. 25, 2008	Van Eck Associates Corporation, et al. (Order)
812-13426	IC-28021	Oct. 24, 2007	Van Eck Associates Corporation, et al. (Order)
812-13339	IC-27742	Feb. 27, 2007	Van Eck Associates Corporation, Market Vectors ETF Trust, and Van Eck Securities Corporation (Order)
812-13740	IC-30252	Oct. 25, 2012	Van Eck Funds, et al. (Notice)
812-13740	IC-30279	Nov. 23, 2012	Van Eck Funds, et al. (Order)
812-13846	IC-30063	May 10, 2012	Van Eck VIP Trust, et al. (Notice)
812-13846	IC-30096	June 5, 2012	Van Eck VIP Trust, et al. (Order)
812-13304	IC-27820	May 9, 2007	Van Eck Worldwide Insurance Trust, et al. (Notice)
812-13304	IC-27849	Jun. 1, 2007	Van Eck Worldwide Insurance Trust, et al. (Order)
812-13506	IC-28406	Sep. 25, 2008	Van Kampen Retirement Strategy Trust, et al. (Notice)
812-13506	IC-28440	Oct. 17, 2008	Van Kampen Retirement Strategy Trust, et al. (Order)
812-13597	IC-31044	May 13, 2014	Vanguard Admiral Funds, et al. (Order)
812-13597	IC-31021	Apr. 17, 2014	Vanguard Admiral Funds, et al. (Notice)
812-13336	IC-27750	Mar. 9, 2007	Vanguard Bond Index Funds, et al. (Notice)
812-13336	IC-27773	Apr. 2, 2007	Vanguard Bond Index Funds, et al. (Order)
812-14691	IC-32852	Oct. 4, 2017	The Vanguard Group, Inc., et al. (Order)
812-14691	IC-32810	Sep. 8, 2017	The Vanguard Group, Inc., et al. (Notice)
812-13412	IC-28009	Sep. 28, 2007	Vanguard STAR Funds, et al. (Notice)
812-13412	IC-28024	Oct. 24, 2007	Vanguard STAR Funds, et al. (Order)
812-14108	IC-30700	Sep. 24, 2013	Variable Insurance Trust, et al. (Notice)
812-14108	IC-30749	Oct. 22, 2013	Variable Insurance Trust, et al. (Order)
812-14895	IC-33269	Oct. 12, 2018	Variant Alternative Income Fund and Variant Investments, LLC (Order)
812-14895	IC-33242	Sep. 20, 2018	Variant Alternative Income Fund and Variant Investments, LLC (Notice)
812-14008	IC-30103	Jun. 14, 2012	Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC (Notice)
812-14008	IC-30133	Jul. 10, 2012	Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC (Order)
812-15000	IC-33548	Jul. 9, 2019	Vertical Capital Income Fund and Oakline Advisors, LLC (Order)
812-15000	IC-33505	Jun. 12, 2019	Vertical Capital Income Fund and Oakline Advisors, LLC (Notice)
812-14716	IC-32766	Jul. 31, 2017	Vertical Capital Income Fund and Oakline Advisors, LLC, (Order)
812-14716	IC-32723	Jul. 3, 2017	Vertical Capital Income Fund and Oakline Advisors, LLC (Notice)
812-14985	IC-33390	Mar. 6, 2019	Victory Capital Management Inc., Victory Portfolios II and Foreside Fund Services, LLC (Order)
812-14985	IC-33371	Feb. 8, 2019	Victory Capital Management Inc., et al. (Notice)
812-14986	IC-33387	Mar. 5, 2019	Victory Capital Management Inc., et al. (Order)
812-14986	IC-33369	Feb. 6, 2019	Victory Capital Management Inc. et al. (Notice)
812-14409	IC-31493	Mar. 3, 2015	Victory Capital Management Inc., the Victory Portfolios, Victory Capital Advisers, Inc. (Order)
812-14409	IC-31444	Feb. 3, 2015	Victory Capital Management Inc., et al. (Notice)
812-14495	IC-31745	Aug. 11, 2015	Victory NextShares Trust, et al. (Notice)
812-14495	IC-31811	Sep. 9, 2015	Victory Nextshares Trust, et al. (Order)
812-14719	IC-32577	Mar. 28, 2017	Victory Portfolios, et al. (Order)
812-14719	IC-32519	Mar. 2, 2017	Victory Portfolios, et al. (Notice)
812-14923	IC-33284	Oct. 30, 2018	Vident Advisory, LLC et al. (Order)
812-14923	IC-33263	Oct. 3, 2018	Vident Advisory, LLC et al. (Notice)
812-14603	IC-32425	Jan. 18, 2017	Virtus Alternative Solutions Trust, et al. (Order)
812-14603	IC-32398	Dec. 21, 2016	Virtus Alternative Solutions Trust, et al. (Notice)
812-14538	IC-32327	Oct. 25, 2016	Virtus Alternative Solutions Trust, et al. (Order)
812-14538	IC-32293	Sep. 28, 2016	Virtus Alternative Solutions Trust, et al. (Notice)
812-14231	IC-30986	Mar. 19, 2014	Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc. (Notice)
812-14231	IC-31014	Apr. 15, 2014	Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc. (Order)
812-13751	IC-29370	Jul. 27, 2010	Virtus Opportunities Trust, et al. (Notice)
812-13751	IC-29383	Aug. 23, 2010	Virtus Opportunities Trust, et al. (Order)
812-14896	IC-33185	Jul. 31, 2018	The Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC (Order)
812-14896	IC-33147	Jul. 3, 2018	Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC (Notice)
812-14572	IC-32288	Sep. 27, 2016	Voya ETF Trust, et al. (Order)
812-14571	IC-32287	Sep. 27, 2016	Voya ETF Trust, et al. (Order)
812-14572	IC-32248	Aug. 30, 2016	Voya ETF Trust, et al. (Notice)
812-14571	IC-32246	Aug. 30, 2016	Voya ETF Trust, et al. (Notice)
812-14856	IC-33586	Aug. 9, 2019	ReliaStar Life Insurance Company of New York, et al. (Order)
812-14856	IC-33554	Jul. 15, 2019	Voya Retirement Insurance and Annuity Company et al. (Notice)
812-14302	IC-31599	May 12, 2015	Voya Retirement Insurance and Annuity Company, et al. (Order)
812-14302	IC-31552	Apr. 15, 2015	Voya Retirement Insurance and Annuity Company, et al. (Notice)
812-14201	IC-30815	Dec. 2, 2013	VTL Associates, LLC, et al. (Notice)
812-14201	IC-30849	Dec. 30, 2013	VTL Associates, LLC, et al. (Order)
812-14200	IC-30789	Nov. 19, 2013	VTL Associates, LLC, et al. (Order)
W
File No.	Release No.	Date	Investment Company
812-13632	IC-28618	Feb. 18, 2009	Wachovia Securities, LLC, et al. (Notice and Temporary Order)
812-13632	IC-28648	Mar. 17, 2009	Wachovia Securities, LLC, et al. (Order)
812-14994	IC-33549	Jul. 9, 2019	Wahed Invest LLC, et al. (Order)
812-14994	IC-33507	Jun. 12, 2019	Wahed Invest LLC, et al. (Notice)
812-14919	IC-33266	Oct. 10, 2018	Wealthn LLC and TigerShares Trust (Order)
812-14919	IC-33223	Sep. 11, 2018	Wealthn LLC and TigerShares Trust (Notice)
812-14832	IC-33124	Jun. 18, 2018	Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC (Order)
812-14832	IC-33101	May 21, 2018	Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC (Notice)
812-14176	IC-30644	Aug. 6, 2013	Wells Fargo Bank, N.A., et al. (Notice and Temporary Order)
812-14176	IC-30685	Sep. 4, 2013	Wells Fargo Bank, N.A., et al. (Permanent Order)
812-14176	IC-30600	Jul. 15, 2013	Wells Fargo Bank, N.A., et al. (Temporary Order)
812-14074	IC-30210	Sep. 21, 2012	Wells Fargo Bank, N.A., et al. (Temporary Order)
812-14074	IC-30266	Nov. 16, 2012	Wells Fargo Bank, N.A., et al. (Notice and Temporary Order)
812-14074	IC-30303	Dec. 12, 2012	Wells Fargo Bank, N.A., et al. (Order)
812-13987	IC-29881	Dec. 9, 2011	Wells Fargo Bank, N.A. (Notice and Temporary Order)
812-14599	IC-32218	Aug. 16, 2016	Wells Fargo Bank, National Association, et al. (Notice)
812-14599	IC-32253	Sep. 7, 2016	Wells Fargo Bank, National Association, et al. (Order)
812-14681	IC-32869	Oct. 24, 2017	Wells Fargo Exchange-Traded Funds Trust, et al. (Order)
812-14681	IC-32836	Sep. 27, 2017	Wells Fargo Exchange-Traded Funds Trust, et al. (Notice)
812-14323	IC-31156	Jul. 15, 2014	Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust (Notice)
812-14323	IC-31205	Aug. 12, 2014	Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust (Order)
812-14090	IC-30830	Dec. 13, 2013	Wells Fargo Funds Trust, et al. (Notice)
812-14090	IC-30853	Jan. 8, 2014	Wells Fargo Funds Trust, et al. (Order)
812-13967	IC-30201	Sep. 12, 2012	Wells Fargo Funds Trust, et al. (Notice)
812-13967	IC-30231	Oct. 10, 2012	Wells Fargo Funds Trust, et al. (Order)
812-13548	IC-28482	Oct. 31, 2008	Wells Fargo Funds Trust, et al. (Notice)
812-13548	IC-28524	Nov. 26, 2008	Wells Fargo Funds Trust, et al. (Order)
812-15011	IC-33448	Apr. 16, 2019	Wells Fargo Securities, LLC, et al. (Order)
812-15011	IC-33404	Mar. 20, 2019	Wells Fargo Securities, LLC, et al. (Notice and Temporary Order)
812-14728	IC-32682	Jun. 16, 2017	Westcore Trust and Denver Investment Advisors LLC (Notice)
812-14728	IC-32732	Jul. 12, 2017	Westcore Trust and Denver Investment Advisors LLC (Order)
812-14120	IC-31080	Jun. 12, 2014	WhiteHorse Finance, Inc., et al. (Notice)
812-14120	IC-31152	Jul. 8, 2014	WhiteHorse Finance, Inc., et al. (Order)
812-14817	IC-32890	Oct. 31, 2017	Whitford Asset Management LLC, et al. (Order)
812-14817	IC-32853	Oct. 4, 2017	Whitford Asset Management, LLC, et al. (Notice)
812-15039	IC-33584	Aug. 8, 2019	WicShares Trust and Water Island Capital, LLC (Order)
812-15039	IC-33535	Jun. 27, 2019	WicShares Trust and Water Island Capital, LLC (Notice)
812-14534	IC-31896	Nov. 5, 2015	Wildermuth Endowment Strategy Fund, et al. (Notice)
812-14534	IC-31922	Dec. 1, 2015	Wildermuth Endowment Strategy Fund, et al. (Order)
813-274	IC-28700	Apr. 22, 2009	William Blair & Company, L.L.C. and Wilblairco II, L.L.C. (Notice)
813-274	IC-28727	May 20, 2009	William Blair & Company, L.L.C., Wilblairco II, L.L.C. (Order)
812-13871	IC-30314	Dec. 21, 2012	William Blair & Company, L.L.C. and William Blair Funds (Order)
812-13871	IC-30285	Nov. 29, 2012	William Blair & Company, L.L.C. and William Blair Funds (Notice)
812-14350	IC-31456	Feb. 12, 2015	Wilshire Mutual Funds, Inc., et al. (Order)
812-14350	IC-31381	Dec. 16, 2014	Wilshire Mutual Funds, Inc., et al. (Notice)
812-13272	IC-27751	Mar. 15, 2007	Wilshire Variable Insurance Trust and Wilshire Associates Incorporated (Order)
812-13272	IC-27701	Feb. 16, 2007	Wilshire Variable Insurance Trust, et al. (Notice)
813-374	IC-30374	Jan. 31, 2013	WINCO Investment Partnership 2008 L.P. and Winstead PC (Notice)
813-374	IC-30407	Feb. 26, 2013	WINCO Investment Partnership 2008 L.P. and Winstead PC (Order)
812-14694	IC-32614	Apr. 26, 2017	Winton Diversified Opportunities Fund and Winton Capital US LLC (Order)
812-14694	IC-32585	Mar. 30, 2017	Winton Diversified Opportunities Fund and Winton Capital US LLC (Notice)
812-13470	IC-28147	Feb. 6, 2008	Wisdom Tree Trust, et al. (Notice)
812-13733	IC-29380	Aug. 13, 2010	WisdomTree Asset Management Inc, et al. (Notice)
812-13642	IC-28836	Jul. 24, 2009	WisdomTree Asset Management Inc. (Order)
812-13733	IC-29412	Sep. 8, 2010	WisdomTree Asset Management Inc., et al. (Order)
812-13642	IC-28804	Jun. 29, 2009	WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice)
812-13458	IC-28419	Sep. 29, 2008	WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice)
812-13458	IC-28471	Oct. 27, 2008	WisdomTree Asset Management, Inc. and WisdomTree Trust (Order)
812-13650	IC-28755	Jun. 1, 2009	WisdomTree Investments, Inc., et al. (Notice)
812-13417	IC-27976	Sep. 21, 2007	WisdomTree Investments, Inc., et al. (Notice)
812-13650	IC-28805	Jun. 29, 2009	WisdomTree Investments, Inc., et al. (Order)
812-13417	IC-28015	Oct. 17, 2007	WisdomTree Investments, Inc., et al. (Order)
812-14238	IC-30790	Nov. 20, 2013	WisdomTree Trust, et al. (Notice)
812-14238	IC-30826	Dec. 11, 2013	WisdomTree Trust, et al. (Order)
812-13470	IC-28174	Feb. 27, 2008	WisdomTree Trust, et al. (Order)
812-13687	IC-29202	Apr. 2, 2010	WNC Tax Credits 38, LLC, et al. (Notice)
812-13687	IC-29260	Apr. 27, 2010	WNC Tax Credits 38, LLC, et al. (Order)
812-13885	IC-29715	Jul. 6, 2011	WNC Tax Credits 40, LLC, et al. (Notice)
812-13885	IC-29742	Aug. 2, 2011	WNC Tax Credits 40, LLC, et al. (Order)
813-365	IC-28484	Nov. 10, 2008	Wortham Finance, L.P. et al. (Notice)
813-365	IC-28529	Dec. 9, 2008	Wortham Finance, L.P., et al. (Order)
812-14964	IC-33589	Aug. 14, 2019	1WS Credit Income Fund and 1WS Capital Advisors, LLC (Order)
812-14964	IC-33556	Jul. 16, 2019	1WS Credit Income Fund and 1WS Capital Advisers, LLC (Notice)
XYZ
File No.	Release No.	Date	Investment Company
812-13449	IC-28766	Jun. 11, 2009	X Exchange-Traded Funds, Inc., et al. (Notice)
812-13449	IC-28814	Jul. 7, 2009	X Exchange-Traded Funds, Inc., et al. (Order)
812-13334	IC-27783	Apr. 25, 2007	XTF Advisors Trust, et al. (Notice)
812-13334	IC-27825	May 22, 2007	XTF Advisors Trust, et al. (Order)
812-14966	IC-33370	Feb. 6, 2019	Yleana Advisors, LLC and Yleana Trust (Notice)
812-14965	IC-33368	Feb. 6, 2019	Yleana Advisors, LLC and Yleana Trust (Notice)
812-13874	IC-30306	Dec. 17, 2012	Yorkville ETF Trust and Yorkville ETF Advisors, LLC (Notice)
812-13874	IC-30349	Jan. 14, 2013	Yorkville ETF Trust and Yorkville ETF Advisers, LLC (Order)
812-14984	IC-33593	Aug. 20, 2019	Zacks Investment Management, Inc. and Zacks Trust (Order)
812-14984	IC-33565	Jul. 23, 2019	Zacks Investment Management, Inc. and Zacks Trust (Notice)
812-14983	IC-33592	Aug. 20, 2019	Zacks Investment Management, Inc. and Zacks Trust (Order)
812-14983	IC-33564	Jul. 23, 2019	Zacks Investment Management, Inc. and Zacks Trust (Notice)
812-13224	IC-27610	Dec. 22, 2006	Ziegler Exchange Traded Trust, et al. (Notice)
812-13224	IC-27664	Jan. 18, 2007	Ziegler Exchange Traded Trust, Ziegler Capital Management, LLC, B.C. Ziegler and Company (Order)
812-13497	IC-28441	Oct. 20, 2008	The Zweig Total Return Fund, Inc., et al. (Notice)
812-13497	IC-28485	Nov. 17, 2008	The Zweig Total Return Fund, Inc., et al. (Order)