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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

A

File No. Release No. Date Investment Company
812-14682 IC-32735 Jul. 18, 2017 1889 BDC, Inc., et al. (Order)
812-14682 IC-32687 Jun. 21, 2017 1889 BDC, Inc., et al. (Notice)
812-13251 IC-27918 Jul. 31, 2007 AARP Funds, et al. (Notice)
812-13251 IC-27956 Aug. 28, 2007 AARP Funds, et al. (Order)
812-14677 IC-32600 Apr. 18, 2017 AB Bond Fund, Inc., et al. (Order)
812-14677 IC-32540 Mar. 22, 2017 AB Bond Fund Inc., et al. (Notice)
812-14235 IC-31496 Mar. 3, 2015 AB Cap Fund, Inc., Alliancebernstein L.P. (Order)
812-14235 IC-31449 Feb. 6, 2015 AB Cap Fund, Inc., et al. (Notice)
812-14670 IC-33080 Apr. 24, 2018 Aberdeen Asset Management Inc., et al. (Order)
812-14670 IC-33058 Mar. 27, 2018 Aberdeen Asset Management Inc., et al. (Notice)
812-13530 IC-28429 Sep. 30, 2008 Aberdeen Asset Management Inc. and Aberdeen Funds (Notice)
812-13528 IC-28364 Aug. 25, 2008 Aberdeen Asset Management Inc. and Aberdeen Funds (Notice)
812-13530 IC-28475 Oct. 28, 2008 Aberdeen Asset Management Inc. and Aberdeen Funds (Order)
812-13531 IC-28407 Sep. 25, 2008 Aberdeen Asset Management Inc., et al. (Notice)
812-13531 IC-28443 Oct. 21, 2008 Aberdeen Asset Management Inc., et al. (Order)
812-13528 IC-28385 Sep. 22, 2008 Aberdeen Asset Management Inc., et al. (Order)
812-14453 IC-32310 Oct. 11, 2016 AB Private Credit Investors Corporation, et al. (Order)
812-14453 IC-32261 Sep. 13, 2016 AB Private Credit Investors Corporation, et al. (Notice)
812-14587 IC-32116 May 18, 2016 ABS Long/Short Strategies Fund and ABS Investment Management LLC (Order)
812-14587 IC-32090 Apr. 21, 2016 ABS Long/Short Strategies Fund and ABS Investment Management LLC (Notice)
812-14274 IC-31079 Jun. 12, 2014 Absolute Shares Trust, et al. (Notice)
812-14274 IC-31150 Jul. 8, 2014 Absolute Shares Trust, et al. (Order)
812-14237 IC-30915 Feb. 11, 2014 Acacia Asset Management LLC and Acacia Trust (Notice)
812-14237 IC-30978 Mar. 11, 2014 Acacia Asset Management LLC and Acacia Trust (Order)
812-14358 IC-31711 Jul. 9, 2015 Academy Funds Trust and Innovator Management LLC (Order)
812-14358 IC-31679 Jun. 17, 2015 Academy Funds Trust and Innovator Management LLC (Notice)
812-14333 IC-31406 Jan. 6, 2015 ACAP Strategic Fund Silverbay Capital Management LLC (Order)
812-14333 IC-31372 Dec. 11, 2014 ACAP Strategic Fund and SilverBay Capital Management LLC (Notice)
812-14066 IC-30602 Jul. 19, 2013 ACS Wireless, Inc. (Order)
812-14066 IC-30567 Jun. 25, 2013 ACS Wireless, Inc (Notice)
812-14696 IC-32859 Oct. 11, 2017 Active Weighting Funds ETF Trust and Active Weighting Advisors LLC (Order)
812-14697 IC-32848 Oct. 3, 2017 Active Weighting Funds ETF Trust and Active Weighting Advisors LLC (Order)
812-14696 IC-32820 Sep. 18, 2017 Active Weighting Funds ETF Trust and Active Weighting Advisors LLC (Notice)
812-14697 IC-32808 Sep. 6, 2017 Active Weighting Funds ETF Trust and Active Weighting Advisors LLC (Notice)
812-14300 IC-31452 Feb. 9, 2015 The Adams Express Company and Petroleum & Resources Corporation (Notice)
812-14064 IC-30304 Dec. 13, 2012 The Adams Express Company and Petroleum & Resources Corporation (Notice)
812-14064 IC-30344 Jan. 8, 2013 The Adams Express Company and Petroleum & Resources Corporation (Order)
812-14748 IC-32817 Sep. 12, 2017 Advanced Series Trust, et al. (Order)
812-14748 IC-32778 Aug. 15, 2017 Advanced Series Trust, et al. (Notice)
812-14608 IC-32593 Apr. 5, 2017 Advanced Series Trust, et al. (Order)
812-14608 IC-32523 Mar. 7, 2017 Advanced Series Trust, et al. (Notice)
812-14159 IC-31342 Nov. 20, 2014 Advanced Series Trust, et al. (Notice)
812-14159 IC-31377 Dec. 16, 2014 Advanced Series Trust, et al. (Order)
812-13537 IC-28355 Aug. 8, 2008 Advanced Series Trust, et al. (Notice)
812-13537 IC-28374 Sep. 3, 2008 Advanced Series Trust, et al. (Order)
812-14686 IC-32729 Jul. 10, 2017 Advent/Claymore Enhanced Growth & Income Fund (Order)
812-14686 IC-32537 Mar. 20, 2017 Advent/Claymore Enhanced Growth & Income Fund (Notice)
See also: requests and additional information
812-13643 IC-28894 Aug. 31, 2009 AdvisorOne Funds and CLS Investments, LLC (Notice)
812-13643 IC-28932 Sep. 28, 2009 AdvisorOne Funds and CLS Investments, LLC (Order)
812-14537 IC-32096 Apr. 26, 2016 Advisors Asset Management, Inc. and AAM ETF Trust (Order)
812-14537 IC-32063 Mar. 31, 2016 Advisors Asset Management, Inc. and AAM ETF Trust (Notice)
812-14535 IC-32055 Mar. 29, 2016 Advisors Asset Management, Inc. and AAM ETF Trust (Order)
812-14535 IC-32015 Mar. 1, 2016 Advisors Asset Management, Inc. and AAM ETF Trust (Notice)
812-14536 IC-31902 Nov. 16, 2015 Advisors Asset Management, Inc. AAM ETF Trust (Order)
812-14536 IC-31870 Oct. 19, 2015 Advisors Asset Management, Inc. and AAM ETF Trust (Notice)
812-13536 IC-28613 Feb. 6, 2009 Advisors Asset Management, Inc. and Advisors Disciplined Trust (Notice)
812-13536 IC-28641 Mar. 4, 2009 Advisors Asset Management, Inc. and Advisors Disciplined Trust (Order)
812-14065 IC-30412 Mar. 4, 2013 The Advisors’ Inner Circle Fund, et al. (Notice)
812-14065 IC-30443 Apr. 1, 2013 The Advisors’ Inner Circle Fund, et al. (Order)
812-14299 IC-32378 Dec. 5, 2016 Advisors Series Trust and Vivaldi Asset Management, LLC (Order)
812-14299 IC-31226 Aug. 27, 2014 Advisors Series Trust and Vivaldi Asset Management, LLC (Notice)
See also requests and additional information
812-13889 IC-32302 Oct. 4, 2016 Advisors Series Trust and Orinda Asset Management, LLC (Order Rescinding a Prior Order)
812-13889 IC-32254 Sep. 8, 2016 Advisors Series Trust and Orinda Asset Management, LLC (Notice of Intention to Rescind an Order)
See also: Notice, Rel. No. IC-30065
812-13889 IC-30065 May 21, 2012 Advisors Series Trust and Orinda Asset Management, LLC (Order)
See also: Notice, Rel. No. IC-32302
812-13889 IC-30043 Apr. 23, 2012 Advisors Series Trust and Orinda Asset Management, LLC (Notice)
812-13473 IC-28175 Feb. 27, 2008 Advisors Series Trust, et al. (Notice)
812-13473 IC-28201 Mar. 25, 2008 Advisors Series Trust, et al. (Order)
812-14027 IC-30381 Feb. 12, 2013 AdvisorShares Investments, LLC and AdvisorShares Trust (Notice)
812-14027 IC-30421 Mar. 11, 2013 AdvisorShares Investments, LLC and AdvisorShares Trust (Order)
812-13677 IC-29264 May 6, 2010 AdvisorShares Investments, LLC and AdvisorShares Trust (Notice)
812-13488 IC-28568 Dec. 23, 2008 AdvisorShares Investments, LLC and AdvisorShares Trust (Notice) (Comments received are available.)
812-13677 IC-29291 May 28, 2010 AdvisorShares Investments, LLC and AdvisorShares Trust (Order)
812-13488 IC-28822 Jul. 20, 2009 AdvisorShares Investments, LLC, et al. (Order)
812-14204 IC-30785 Nov. 15, 2013 AIM Growth Series (Invesco Growth Series), et al. (Notice)
812-14204 IC-30827 Dec. 11, 2013 AIM Growth Series (Invesco Growth Series), et al. (Order)
812-14092 IC-30420 Mar. 11, 2013 AIP Series Trust and Morgan Stanley AIP GP LP (Notice)
812-14092 IC-30450 Apr. 8, 2013 AIP Series Trust and Morgan Stanley AIP GP LP (Order)
812-14543 IC-32410 Jan. 4, 2017 ALAIA Market Linked Trust and Beech Hill Securities, Inc. (Order)
812-14543 IC-32384 Dec. 8, 2016 ALAIA Market Linked Trust and Beech Hill Securities, Inc. (Notice)
812-14542 IC-32361 Nov. 18, 2016 ALAIA Market Linked Trust and Beech Hill Securities, Inc. (Order)
812-14542 IC-32324 Oct. 24, 2016 ALAIA Market Linked Trust and Beech Hill Securities, Inc. (Notice)
812-14760 IC-33038 Feb. 28, 2018 Alcentra Capital Corporation, et al. (Notice)
812-14760 IC-33059 Mar. 27, 2018 Alcentra Capital Corporation, et al. (Order)
812-14374 IC-31951 Dec. 30, 2015 Alcentra Capital Corporation., et al. (Order)
812-14374 IC-31927 Dec. 4, 2015 Alcentra Capital Corporation, et al. (Notice)
812-13578 IC-28819 Jul. 16, 2009 The Alger Funds, et al. (Notice)
812-13578 IC-28844 Aug. 11, 2009 The Alger Funds, et al. (Order)
812-14227 IC-31322 Oct. 31, 2014 Alliancebernstein Multi-Manager Alternative Fund, et al. (Notice)
812-14227 IC-31345 Nov. 24, 2014 Alliancebernstein Multi-Manager Alternative Fund, et al. (Order)
812-13797 IC-30305 Dec. 13, 2012 AllianceBernstein Active ETFs, Inc., et al. (Notice)
812-13797 IC-30343 Jan. 8, 2013 AllianceBernstein Active ETFs, Inc., et al. (Order)
812-14236 IC-31332 Nov. 6, 2014 AllianceBernstein Cap Fund, Inc., et al. (Notice)
812-14236 IC-31364 Dec. 3, 2014 AllianceBernstein Cap Fund, Inc., et al. (Order)
812-13939 IC-29876 Nov. 29, 2011 AllianceBernstein Cap Fund, Inc., et al. (Notice)
812-13939 IC-29892 Dec. 21, 2011 AllianceBernstein Cap Fund, Inc., et al. (Order)
813-00384 IC-32121 May 23, 2016 AllianceBernstein L.P. And AllianceBernstein U.S. Real Estate (Employee) Fund II, L.P. (Order)
813-00384 IC-32095 Apr. 25, 2016 AllianceBernstein L.P. and AllianceBernstein U.S. Real Estate (Employee) Fund II, L.P. (Notice)
812-14227 IC-31322 Oct. 31, 2014 Alliancebernstein Multi-Manager Alternative Fund, et al. (Notice)
812-14455 IC-32671 Jun. 6, 2017 Allianz Funds, et al. (Order)
812-14455 IC-32631 May 10, 2017 Allianz Funds, et al. (Notice)
812-14255 IC-32598 Apr. 11, 2017 Allianz Funds Multi-Strategy Trust and Allianz Global Investors U.S. LLC (Order)
812-14255 IC-32533 Mar. 15, 2017 Allianz Funds Multi-Strategy Trust and Allianz Global Investors U.S. LLC (Notice)
812-14580 IC-32242 Aug. 29, 2016 Allianz Life Insurance Company of North America, et al. (Order)
812-14580 IC-32207 Aug. 3, 2016 Allianz Life Insurance Company of North America, et al. (Notice)
812-13821 IC-29693 Jun. 10, 2011 Allianz Life Insurance Company of North America, et al. (Notice)
812-13474 IC-28480 Oct. 30, 2008 Allianz Life Insurance Company of North America, et al. (Notice)
812-13451 IC-28369 Aug. 28, 2008 Allianz Life Insurance Company of North America, et al. (Notice)
812-13821 IC-29716 Jul. 6, 2011 Allianz Life Insurance Company of North America, et al. (Order)
812-13474 IC-28521 Nov. 25, 2008 Allianz Life Insurance Company of North America, et al. (Order)
812-13451 IC-28384 Sep. 19, 2008 Allianz Life Insurance Company of North America, et al. (Order)
812-13364 IC-27936 Aug. 23, 2007 Allianz RCM Global EcoTrends Fund, et al. (Notice)
812-13364 IC-27971 Sep. 18, 2007 Allianz RCM Global EcoTrends Fund, et al. (Order)
812-14084 IC-30371 Jan. 29, 2013 Allianz Variable Insurance Products Fund of Funds Trust, et al. (Notice)
812-14084 IC-30406 Feb. 26, 2013 Allianz Variable Insurance Products Fund of Funds Trust, et al. (Order)
812-14149 IC-32457 Jan. 27, 2017 Allstate Assurance Company, et al (Notice)
812-14149 IC-32506 Feb. 22, 2017 Allstate Assurance Company, et al. (Order)
812-13523 IC-28581 Jan. 12, 2009 Allstate Financial Investment Trust, et al. (Notice)
812-13523 IC-28614 Feb. 9, 2009 Allstate Financial Investment Trust, et al. (Order)
812-14663 IC-32418 Jan. 9, 2017 Alpha Architect ETF Trust, et al. (Order)
812-14663 IC-32389 Dec. 12, 2016 Alpha Architect ETF Trust, et al. (Notice)
812-14474 IC-31820 Sep. 11, 2015 AlphaClone, Inc., et al. (Notice)
812-14474 IC-31858 Oct. 5, 2015 AlphaClone, Inc., et al. (Order)
812-14402 IC-31469 Feb. 24, 2015 Alphamark Advisors, LLC et al. (Order)
812-14402 IC-31430 Jan. 28, 2015 Alphamark Advisors, LLC, et al. (Notice)
812-13630 IC-28897 Sep. 4, 2009 Alpine Global Dynamic Dividend Fund, et al. (Notice)
812-13630 IC-28937 Sep. 30, 2009 Alpine Global Dynamic Dividend Fund, et al. (Order)
812-13430 IC-28235 Apr. 9, 2008 ALPS Advisers, Inc., et al. (Notice)
812-13430 IC-28262 May 1, 2008 ALPS Advisers, Inc., et al. (Order)
812-14225 IC-31011 Apr. 8, 2014 ALPS ETF Trust, ALPS Advisors, Inc., ALPS Distributors, Inc., and ALPS Portfolio Solutions Distributor, Inc. (Notice)
812-14225 IC-31039 May 6, 2014 ALPS ETF Trust, ALPS Advisors, Inc., ALPS Distributors, Inc., and ALPS Portfolio Solutions Distributor, Inc. (Order)
812-14517 IC-31759 Aug. 13, 2015 ALPS ETMF Trust, et al. (Notice)
812-14517 IC-31815 Sep. 9, 2015 ALPS ETMF Trust, et al. (Order)
812-13884 IC-30553 Jun. 11, 2013 ALPS ETF Trust, et al. (Order)
812-13884 IC-30519 May 14, 2013 ALPS ETF Trust, et al. (Notice)
812-14218 IC-30858 Jan. 15, 2014 ALPS Series Trust, Brinker Capital, Inc. and ALPS Distributors, Inc. (Notice)
812-14218 IC-30917 Feb. 11, 2014 ALPS Series Trust, Brinker Capital, Inc. and ALPS Distributors, Inc. (Order)
812-13851 IC-29689 Jun. 1, 2011 Altegris Advisors, L.L.C. and Northern Lights Fund Trust (Notice)
812-13851 IC-29710 Jun. 28, 2011 Altegris Advisors, L.L.C. and Northern Lights Fund Trust (Order)
812-14196 IC-31189 Jul. 28, 2014 Altegris Advisors L.L.C. and Northern Lights Fund Trust (Notice)
812-14196 IC-31221 Aug. 22, 2014 Altegris Advisors L.L.C. and Northern Lights Fund Trust (Order)
812-14130 IC-30779 Nov. 12, 2013 Altegris Advisors, L.L.C., et al. (Notice)
812-14130 IC-30823 Dec. 9, 2013 Altegris Advisors, L.L.C., et al. (Order)
812-14196 IC-31189 Jul. 28, 2014 Altegris Advisors L.L.C. and Northern Lights Fund Trust (Notice)
812-14410 IC-32319 Oct. 17, 2016 Altegris KKR Commitments Master Fund, et al. (Order)
812-14410 IC-32265 Sep. 19, 2016 Altegris KKR Commitments Master Fund, et al. (Notice)
812-14415 IC-31955 Jan. 12, 2016 Altegris KKR Commitments Master Fund, et al (Order)
812-14415 IC-31944 Dec. 17, 2015 Altegris KKR Commitments Master Fund, et al. (Notice)
812-14328 IC-31400 Dec. 24, 2014 Alternative Strategies Fund Ladenburg Thalmann Asset Management, Inc. (Order)
812-14328 IC-31360 Dec. 1, 2014 Alternative Strategies Fund and Ladenburg Thalmann Asset Management, Inc. (Notice)
813-379 IC-30183 Aug. 28, 2012 Alvarez & Marsal, Inc., et al. (Notice)
813-379 IC-30214 Sep. 25, 2012 Alvarez & Marsal, Inc., et al. (Order)
812-14384 IC-32077 Apr. 19, 2016 AMCAP Fund, et al. (Order)
812-14384 IC-32049 Mar. 24, 2016 AMCAP Fund, et al. (Notice)
812-14005 IC-30134 Jul. 10, 2012 AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. (Notice)
812-14005 IC-30162 Aug. 6, 2012 AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. (Order)
812-14417 IC-31498 Mar. 6, 2015 American Beacon Nextshares Trust, et al. (Notice)
812-14417 IC-31542 Apr. 1, 2015 American Beacon Nextshares Trust, et al. (Order)
812-13825 IC-30819 Dec. 5, 2013 American Beacon Funds, et al. (Notice)
812-13825 IC-30848 Dec. 30, 2013 American Beacon Funds, et al. (Order)
812-13853 IC-29744 Aug. 3, 2011 American Capital, Ltd. (Notice)
812-13714 IC-29416 Sep. 14, 2010 American Capital, Ltd. (Notice)
812-13535 IC-28895 Sep. 3, 2009 American Capital, Ltd. (Notice)
812-13853 IC-29774 Aug. 30, 2011 American Capital, Ltd. (Order)
812-13714 IC-29460 Oct. 8, 2010 American Capital, Ltd. (Order)
812-13535 IC-28935 Sep. 30, 2009 American Capital, Ltd. (Order)
812-14222 IC-31148 Jul. 3, 2014 American Capital, Ltd., et al. (Notice)
812-14222 IC-31191 Jul. 29, 2014 American Capital, Ltd., et al. (Order)
812-13493 IC-29973 Mar. 1, 2012 American Capital, Ltd., et al. (Notice)
812-13493 IC-29973 Mar. 1, 2012 American Capital, Ltd., et al. (Notice)
812-13493 IC-30010 Mar. 27, 2012 American Capital, Ltd., et al. (Order)
812-13308 IC-27669 Jan. 19, 2007 American Capital Strategies, Ltd. (Notice)
812-13398 IC-28020 Oct. 24, 2007 American Capital Strategies, Ltd. (Order)
812-13308 IC-27702 Feb. 22, 2007 American Capital Strategies, Ltd. (Order)
812-14329 IC-31328 Nov. 4, 2014 American Century Capital Portfolios, Inc. and American Century Investment Management, Inc. (Notice)
812-14329 IC-31362 Dec. 2, 2014 American Century Capital Portfolios, Inc. and American Century Investment Management, Inc. (Order)
812-14794 IC-32955A Jan. 2, 2018 American Century ETF Trust and American Century Investment Management, Inc. (Order)
812-14794 IC-32955 Dec. 27, 2017 American Century ETF Trust and American Century Investment Management, Inc. (Order)
812-14794 IC-32928 Nov. 29, 2017 American Century ETF Trust and American Century Investment Management, Inc. (Notice)
812-14793 IC-32871 Oct. 25, 2017 American Century ETF Trust and American Century Investment Management, Inc. (Order)
812-14793 IC-32838 Sep. 28, 2017 American Century ETF Trust and American Century Investment Management, Inc. (Notice)
812-14754 IC-32833 Sep. 26, 2017 American Century International Bond Funds, et al. (Order)
812-14754 IC-32805 Aug. 31, 2017 American Century International Bond Funds, et al. (Notice)
812-13930 IC-29916 Jan. 10, 2012 American Century Strategic Asset Allocations, Inc. (Order)
812-13930 IC-29916 Jan. 10, 2012 American Century Strategic Asset Allocations, Inc. (Order)
812-13930 IC-29883 Dec. 13, 2011 American Century Strategic Asset Allocations, Inc., et al. (Notice)
812-14109 IC-30564 Jun. 20, 2013 American Family Life Insurance Company, et al. (Notice)
812-14109 IC-30601 Jul. 16, 2013 American Family Life Insurance Company, et al. (Order)
812-13842 IC-29617 Mar. 24, 2011 American Family Life Insurance Company, et al. (Notice)
812-13445 IC-28197 Mar. 19, 2008 American Family Life Insurance Company, et al. (Notice)
812-13842 IC-29656 Apr. 21, 2011 American Family Life Insurance Company, et al. (Order)
812-13445 IC-28237 Apr. 16, 2008 American Family Life Insurance Company, et al. (Order)
812-14288 IC-31251 Sep. 16, 2014 American Fidelity Assurance Company, et al. (Order)
812-14288 IC-31217 Aug. 19, 2014 American Fidelity Assurance Company, et al. (Notice)
812-13708 IC-29483 Oct. 25, 2010 American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company (Order)
812-13708 IC-29444 Sep. 27, 2010 American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company (Notice)
812-14325 IC-31677 Jun. 17, 2015 American Funds Insurance Series, et al. (Notice)
812-14325 IC-31715 Jul. 14, 2015 American Funds Insurance Series, et al. (Order)
812-13973 IC-30681 Aug. 29, 2013 American General Life Insurance Company, et al. (Notice)
812-13973 IC-30699 Sep. 24, 2013 American General Life Insurance Company, et al. (Order)
812-14666 IC-32237 Aug. 25, 2016 American Independence Funds Trust, et al. (Order)
812-14666 IC-32206 Aug. 3, 2016 American Independence Funds Trust, et al. (Notice)
812-13259 IC-27700 Feb. 16, 2007 American International Group, Inc. et al. (Order)
813-369 IC-28286 May 23, 2008 American International Group, Inc., et al. (Notice)
812-13259 IC-27931 Aug. 20, 2007 American International Group, Inc., et al. (Notice)
813-369 IC-28301 Jun. 18, 2008 American International Group, Inc., et al. (Order)
812-13259 IC-27970 Sep. 17, 2007 American International Group, Inc., et al. (Order)
812-14181 IC-30885 Jan. 16, 2014 American Pension Investors Trust, et al. (Notice)
812-14181 IC-30914 Feb. 11, 2014 American Pension Investors Trust, et al. (Order)
812-13780 IC-29521 Nov. 30, 2010 American United Life Insurance Company, et al. (Notice)
812-13780 IC-29545 Dec. 29, 2010 American United Life Insurance Company, et al. (Order)
812-13332 IC-27847 May 30, 2007 Ameristock ETF Trust, et al. (Notice)
812-13332 IC-27874 Jun. 26, 2007 Ameristock ETF Trust, et al. (Order)
812-14189 IC-30764 Oct. 25, 2013 Ameritas Life Insurance Corp., et al. (Notice)
812-14189 IC-30787 Nov. 15, 2013 Ameritas Life Insurance Corp., et al. (Order)
812-14337 IC-31767 Aug. 24, 2015 AMG Pantheon Private Equity Fund, LLC, et al. (Order)
812-14337 IC-31728 Jul. 29, 2015 AMG Pantheon Private Equity Fund, LLC, et al. (Notice)
812-14591 IC-32054 Mar. 29, 2016 Amplify ETF Trust and Amplify Investments LLC (Order)
812-14591 IC-32022 Mar. 3, 2016 Amplify ETF Trust and Amplify Investments LLC (Notice)
812-14424 IC-31822 Sep. 14, 2015 Amplify Investments LLC and Amplify ETF Trust (Order)
812-14424 IC-31764 Aug. 17, 2015 Amplify Investments LLC and Amplify ETF Trust (Notice)
812-14425 IC-31716 Jul. 15, 2015 Amplify Investments LLC and Amplify ETF Trust (Order)
812-14425 IC-31683 Jun. 18, 2015 Amplify Investments LLC and Amplify ETF Trust (Notice)
812-14423 IC-31545 Apr. 1, 2015 Amplify Investments LLC and Amplify ETF Trust (Notice)
812-14423 IC-31582 Apr. 28, 2015 Amplify Investments LLC and Amplify ETF Trust (Order)
812-14636 IC-32611 Apr. 25, 2017 Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC (Order)
812-14636 IC-32584 Mar. 30, 2017 Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC (Notice)
812-14332 IC-31302 Oct. 22, 2014 Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC (Notice)
812-14332 IC-31339 Nov. 18, 2014 Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC (Order)
812-14851 IC-33089 May 1, 2018 Angel Oak Strategic Credit Fund and Angel Oak Capital Advisors, LLC (Order)
812-14851 IC-33066 Apr. 5, 2018 Angel Oak Strategic Credit Fund and Angel Oak Capital Advisors, LLC (Notice)
812-13612 IC-28909 Sep. 22, 2009 Annuity Investors Life Insurance Company, et al. (Notice)
812-13612 IC-28948 Oct. 20, 2009 Annuity Investors Life Insurance Company, et al. (Order)
812-13754 IC-32057 Mar. 29, 2016 Apollo Investment Corporation, et al. (Order)
812-13754 IC-32019 Mar. 2, 2016 Apollo Investment Corporation, et al. (Notice)
812-14880 IC-33120 Jun. 12, 2018 Aptus Capital Advisors, LLC and ETF Series Solutions (Notice)
812-14604 IC-32110 May 10, 2016 Aptus Capital Advisors, LLC, et al. (Order)
812-14604 IC-32071 Apr. 13, 2016 Aptus Capital Advisors, LLC, et al. (Notice)
812-13833 IC-30153 Jul. 26, 2012 AQR Capital Management, LLC (Order)
812-13833 IC-30128 Jul. 3, 2012 AQR Capital Management, LLC, et al. (Notice)
812-14741 IC-32863 Oct. 19, 2017 AQR Funds and AQR Capital Management, LLC (Order)
812-14741 IC-32821 Sep. 18, 2017 AQR Funds, et al. (Notice)
812-14321 IC-33078 Apr. 24, 2018 Aquila Funds Trust, et al. (Order)
812-14321 IC-33061 Mar. 28, 2018 Aquila Funds Trust, et al. (Notice)
812-14434 IC-31817 Sep. 10, 2015 Archstone Alternative Solutions Fund A.P. Management Company, LLC (Order)
812-14434 IC-31761 Aug. 14, 2015 Archstone Alternative Solutions Fund and A.P. Management Company, LLC (Notice)
812-14062 IC-30255 Nov. 2, 2012 Arden Investment Series Trust and Arden Asset Management LLC (Notice)
812-14062 IC-30283 Nov. 28, 2012 Arden Investment Series Trust and Arden Asset Management LLC (Order)
812-14152 IC-30745 Oct. 17, 2013 Arden Investment Series Trust, et al. (Notice)
812-14152 IC-30781 Nov. 12, 2013 Arden Investment Series Trust, et al. (Order)
812-13603 IC-32427 Jan. 18, 2017 Ares Capital Corporation, et al. (Order)
812-13603 IC-32399 Dec. 21, 2016 Ares Capital Corporation, et al. (Notice)
812-13847 IC-29977 Mar. 9, 2012 Ares Capital Corporation et al. (Notice)
812-14399 IC-32127 May 26, 2016 Ares Capital Corporation, et al. (Notice)
812-14399 IC-32154 Jun. 21, 2016 Ares Capital Corporation, et al. (Order)
812-13847 IC-30024 Mar. 30, 2012 Ares Capital Corporation, Ares Capital Management LLC, and Ivy Hill Asset Management, L.P. (Order)
812-14272 IC-31708 Jul. 7, 2015 Ares Dynamic Credit Allocation Fund, Inc., et al. (Order)
812-14272 IC-31665 Jun. 9, 2015

Ares Dynamic Credit Allocation Fund, Inc., et al. (Notice)
813-00385 IC-32058 Mar. 29, 2016 Ares Management LLC (Order)
813-00385 IC-32020 Mar. 2, 2016 Ares Management LLC (Notice)
812-14479 IC-31864 Oct. 7, 2015 ARK ETF Trust, et al. (Notice)
812-14479 IC-31889 Nov. 2, 2015 ARK ETF Trust, et al. (Order)
812-14172 IC-31009 Apr. 7, 2014 ARK ETF Trust, et al. (Notice)
812-14172 IC-31034 Apr. 29, 2014 ARK ETF Trust, et al. (Order)
812-14157 IC-30813 Nov. 26, 2013 Arrow Investment Advisors, LLC, and Arrow Investments Trust (Notice)
812-14157 IC-30846 Dec. 24, 2013 Arrow Investment Advisors, LLC and Arrow Investments Trust (Order)
812-13937 IC-30127 Jul. 3, 2012 Arrow Investment Advisers, LLC, et al. (Order)
812-13937 IC-30100 June 6, 2012 Arrow Investment Advisers, LLC, et al. (Notice)
812-13405 IC-28852 Aug. 25, 2009 Arrow Investment Advisers, LLC, et al. (Notice)
812-13405 IC-28910 Sep. 22, 2009 Arrow Investment Advisers, LLC, et al. (Order)
812-13877 IC-30539 May 22, 2013 ASA Gold and Precious Metals Limited (Notice)
812-13877 IC-30561 Jun. 18, 2013 ASA Gold and Precious Metals Limited (Order)
812-13866 IC-29793 Sep. 19, 2011 ASGI Agility Income Fund, et al. (Notice)
812-13866 IC-29837 Oct. 17, 2011 ASGI Agility Income Fund, et al. (Order)
812-14389 IC-32432 Jan. 24, 2017 Aspiration Funds and Aspiration Fund Adviser, LLC (Notice)
812-14389 IC-32504 Feb. 22, 2017 Aspiration Funds and Aspiration Fund Adviser, LLC (Order)
812-14155 IC-30640 Aug. 5, 2013 Aspiriant Global Equity Trust and Aspiriant, LLC (Notice)
812-14155 IC-30684 Sep. 3, 2013 Aspiriant Global Equity Trust and Aspiriant, LLC (Order)
812-14467 IC-32672 Jun. 6, 2017 Aspiriant Trust, et al. (Order)
812-14467 IC-32634 May 11, 2017 Aspiriant Trust, et al. (Notice)
812-13746 IC-29125 Jan. 26, 2010 Assurant, Inc., et al. (Notice)
812-13746 IC-29133 Feb. 23, 2010 Assurant, Inc., et al. (Order)
812-13375 IC-27910 Jul. 25, 2007 Aston Funds and Aston Asset Management LLC (Order)
812-13375 IC-27879 Jun. 29, 2007 Aston Funds et al. (Notice)
812-13775 IC-29400 Aug. 26, 2010 Aston Funds, et al. (Notice)
812-13775 IC-29443 Sep. 27, 2010 Aston Funds, et al. (Order)
812-14785 IC-32964 Jan. 9, 2018 Ausdal Financial Partners, Inc. and Ausdal Unit Investment Trust (Order)
812-14785 IC-32939 Dec. 14, 2017 Ausdal Financial Partners, Inc. and Ausdal Unit Investment Trust (Notice)
812-14786 IC-32953 Dec. 26, 2017 Ausdal Unit Investment Trust and Ausdal Financial Partners, Inc. (Order)
812-14786 IC-32922 Nov. 27, 2017 Ausdal Unit Investment Trust and Ausdal Financial Partners, Inc. (Notice)
812-13641 IC-28647 Mar. 12, 2009 Automated Trading Desk Specialists, LLC, et al. (Notice)
812-13641 IC-28688 Apr. 7, 2009 Automated Trading Desk Specialists, LLC, et al. (Order)
812-14734 IC-33126 Jun. 19, 2018 AXA Equitable Life Insurance Company, et al. (Notice)
812-14036 IC-30373 Jan. 31, 2013 AXA Equitable Life Insurance Company, et al. (Notice)
812-14036 IC-30405 Feb. 26, 2013 AXA Equitable Life Insurance Company, et al. (Order)
812-13686 IC-29338 Jul. 7, 2010 AXA Equitable Life Insurance Company, et al. (Notice)
812-13686 IC-29372 Jul. 29, 2010 AXA Equitable Life Insurance Company, et al. (Order)

B

File No. Release No. Date Investment Company
812-13910 IC-29726 Jul. 18, 2011 BAC Home Loans Servicing, LP, et al. (Notice and Temporary Order)
812-13910 IC-29753 Aug. 15, 2011 BAC Home Loans Servicing, LP, et al. (Order)
812-13910 IC-29688 Jun. 1, 2011 BAC Home Loans Servicing, LP, et al. (Temporary Order)
812-14766 IC-33051 Mar. 22, 2018 Bain Capital Specialty Finance, Inc., et al. (Order)
812-14766 IC-33031 Feb. 23, 2018 Bain Capital Specialty Finance, Inc., et al. (Notice)
812-14575 IC-32226 Aug. 23, 2016 Bain Capital Specialty Finance, Inc., et al. (Order)
812-14575 IC-32197 Jul. 29, 2016 Bain Capital Specialty Finance, Inc., et al. (Notice)
812-12903 IC-28526 Dec. 1, 2008 Banc of America Funds Trust, et al. (Notice)
812-12903 IC-28573 Dec. 29, 2008 Banc of America Funds Trust, et al. (Order)
812-14390 IC-31359 Nov. 25, 2014 Banc of America Mortgage Securities, Inc, et al. (Notice and Temporary Order)
812-14390 IC-31397 Dec. 23, 2014 Banc of America Mortgage Securities, Inc., et al. (Order)
812-13662 IC-28764 Jun. 9, 2009 Banc of America Securities LLC, et al. (Notice and Temporary Order)
812-13662 IC-28810 Jul. 7, 2009 Banc of America Securities LLC, et al. (Order)
812-13936 IC-29864 Nov. 17, 2011 Bandon Capital Management, LLC and Northern Lights Fund Trust (Notice)
812-13936 IC-29882 Dec. 13, 2011 Bandon Capital Management, LLC and Northern Lights Fund Trust (Order)
812-14680-01 IC-32348 Nov. 1, 2016 The Bank of New York Mellon Trust Company, National Association and The Bank of New York Mellon (Order)
812-14680-01 IC-32309 Oct. 7, 2016 The Bank of New York Mellon Trust Company, National Association and The Bank of New York Mellon (Notice)
812-13391 IC-27851 Jun. 6, 2007 Barclays Global Fund Advisors (Notice)
812-13391 IC-27882 Jul. 5, 2007 Barclays Global Fund Advisors (Order)
812-13485 IC-28146 Feb. 6, 2008 Barclays Global Fund Advisors, et al. (Notice)
812-13485 IC-28173 Feb. 27, 2008 Barclays Global Fund Advisors, et al. (Order)
812-13208 IC-27608 Dec. 21, 2006 Barclays Global Fund Advisors, et al. (Notice)
812-13208 IC-27661 Jan. 17, 2007 Barclays Global Fund Advisors, iShares, Inc., iShares Trust, SEI Investments Distribution Co. (Order)
812-14689 IC-32864 Oct. 19, 2017 Barings Corporate Investors, et al., (Order)
812-14689 IC-32822 Sep. 20, 2017 Barings Corporate Investors, et al. (Notice)
812-14607 IC-32786 Aug. 21, 2017 Barings LLC, et al. (Order)
812-14607 IC-32734 Jul. 18, 2017 Barings LLC, et al. (Notice)
812-13352 IC-28143 Feb. 5, 2008 Bear Stearns Asset Management, Inc., et al. (Notice)
812-13352 IC-28172 Feb. 27, 2008 Bear Stearns Asset Management, Inc., et al. (Order)
812-14601 IC-33090 May 1, 2018 Benefit Street Partners BDC, Inc., et al. (Order)
812-14601 IC-33068 Apr. 6, 2018 Benefit Street Partners BDC, Inc., et al. (Notice)
812-14126 IC-31686 Jun. 23, 2015 Benefit Street Partners BDC, Inc., et al. (Order)
812-14126 IC-31651 May 27, 2015 Benefit Street Partners BDC, Inc., et al. (Notice)
813-362 IC-28289 May 28, 2008 The Bessemer Group, Inc., et al. (Order)
813-362 IC-28258 Apr. 29, 2008 The Bessemer Group, Incorporated, et al. (Notice)
812-14280 IC-31054 May 21, 2014 Beverly Hills Bancorp Inc. (Notice)
812-14280 IC-31083 Jun. 16, 2014 Beverly Hills Bancorp Inc. (Order)
812-14135 IC-30497 Apr. 30, 2013 Beverly Hills Bancorp Inc. (Notice)
812-14135 IC-30541 May 24, 2013 Beverly Hills Bancorp Inc. (Order)
812-13767 IC-30064 May 15, 2012 Beverly Hills Bancorp Inc. (Order)
812-13767 IC-30036 Apr. 18, 2012 Beverly Hills Bancorp Inc. (Notice)
812-13394 IC-27915 Jul. 27, 2007 The BISYS Group Inc., et al. (Order)
812-14582 IC-32968 Jan. 16, 2018 BlackRock Capital Investment Corporation, et al. (Order)
812-14582 IC-32943 Dec. 19, 2017 BlackRock Capital Investment Corporation, et al. (Notice)
812-14497 IC-32252 Sep. 6, 2016 BlackRock, et al. (Order)
812-14497 IC-32209 Aug. 8, 2016 Blackrock Funds, et al. (Notice)
813-366 IC-31341 Nov. 20, 2014 BlackRock, Inc., et al. (Notice)
813-366 IC-31376 Dec. 16, 2014 BlackRock, Inc., et al. (Order)
812-13784 IC-31335 Nov. 12, 2014 BlackRock Advisors, LLC BlackRock Funds FDP Series, Inc. (Order)
812-13784 IC-31291 Oct. 16, 2014 BlackRock Advisors, LLC, et al. (Notice)
812-13235 IC-28719 May 5, 2009 BlackRock International Growth and Income Trust et al. (Order)
812-13235 IC-28690 Apr. 7, 2009 Blackrock International Growth and Income Trust, et al. (Notice)
812-13964 IC-30160 Aug. 2, 2012 BlackRock Preferred Partners LLC, et al. (Notice)
812-13964 IC-30182 Aug. 28, 2012 BlackRock Preferred Partners LLC, et al. (Order)
812-14901 IC-33119 Jun. 6, 2018 BlackRock Variable Series Funds, Inc., et al. (Notice)
812-14796 IC-32866 Oct. 23, 2017 Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Notice)
812-14796 IC-32902 Nov. 20, 2017 Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Order)
812-14795 IC-32865 Oct. 23, 2017 Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Notice)
812-14795 IC-32901 Nov. 20, 2017 Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Order)
812-14026 IC-30280 Nov. 26, 2012 Blackstone Alternative Alpha Fund, et al. (Notice)
812-14026 IC-30317 Dec. 26, 2012 Blackstone Alternative Alpha Fund, et al. (Order)
812-14076 IC-30416 Mar. 7, 2013 Blackstone Alternative Investment Funds, et al. (Notice)
812-14076 IC-30444 Apr. 2, 2013 Blackstone Alternative Investment Funds, et al. (Order)
812-14590 IC-32530 Mar. 13, 2017 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order)
812-14590 IC-32481 Feb. 16, 2017 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Notice)
813-375 IC-29378 Aug. 5, 2010 The Blackstone Group, L.P. (Notice)
813-375 IC-29406 Aug. 31, 2010 Blackstone Group, L.P. (Order)
812-13344 IC-27745 Feb. 28, 2007 BLDRS Index Funds Trust, et al. (Notice)
812-13344 IC-27768 Mar. 21, 2007 BLDRS Index Funds Trust, PowerShares Capital Management LLC, and ALPS Distributors, Inc. (Order)
812-14521 IC-33102 May 21, 2018 BMO Exchange Traded Funds, et al. (Order)
812-14521 IC-33079 Apr. 24, 2018 BMO Exchange Traded Funds, et al. (Notice)
812-14370 IC-31603 May 15, 2015 BMO Funds, Inc. and BMO Asset Management Corp. (Notice)
812-14370 IC-31666 Jun. 10, 2015 BMO Funds, Inc. and BMO Asset Management Corp. (Order)
812-14217 IC-31146 Jul. 2, 2014 BMO Funds, Inc., et al. (Notice)
812-14217 IC-31193 Jul. 30, 2014 BMO Funds, Inc., et al. (Order)
812-14273 IC-31064 May 30, 2014 BMO Funds, Inc., et al. (Notice)
812-14273 IC-31132 Jun. 25, 2014 BMO Funds, Inc. et al. (Order)
812-14874 IC-33033 Feb. 23, 2018 BNP Paribas USA Inc., et al. (Order)
812-14874 IC-32995 Jan. 26, 2018 BNP Paribas USA, Inc., et al. (Notice and Temporary Order)
812-14327 IC-31188 Jul. 28, 2014 BNP Paribas S.A. (Order)
812-14327 IC-31140 Jun. 30, 2014 BNP Paribas S.A., et al. (Notice)
812-14240 IC-31279 Oct. 7, 2014 BNY Mellon Funds Trust et al. (Order)
812-14240 IC-31245 Sep. 9, 2014 BNY Mellon Funds Trust, et al. (Notice)
812-14096 IC-30590 Jul. 3, 2013 BofA Funds Series Trust, et al. (Notice)
812-14096 IC-30638 Jul. 30, 2013 BofA Funds Series Trust, et al. (Order)
812-13916 IC-29741 Aug. 1, 2011 BofA Funds Series Trust, et al. (Notice)
812-13916 IC-29769 Aug. 24, 2011 BofA Funds Series Trust, et al. (Order)
813-00386 IC-32739 Jul. 25, 2017 The Boston Consulting Group, Inc. and Green Falcon Investors L.P. (Order)
813-00386 IC-32713 Jun. 27, 2017 The Boston Consulting Group, Inc. and Green Falcon Investors I, L.P. (Notice)
812-14654 IC-32377 Dec. 2, 2016 The Boston Trust & Walden Funds, et al. (Order)
812-14654 IC-32353 Nov. 7, 2016 The Boston Trust & Walden Funds, et al. (Notice)
812-13077 IC-28442 Oct. 20, 2008 Boulder Total Return Fund, Inc., et al. (Notice)
812-13077 IC-28486 Nov. 17, 2008 Boulder Total Return Fund, Inc., et al. (Order)
812-14413 IC-31765 Aug. 18, 2015 BPV Family of Funds, BPV Capital Management, LLC (Order)
812-14413 IC-31721 Jul. 21, 2015 BPV Capital Management, LLC and BPV Family of Funds (Notice)
812-14809 IC-32925 Nov. 28, 2017 Brandes Investment Trust, et al. (Order)
812-14809 IC-32893 Nov. 2, 2017 Brandes Investment Trust, et al. (Notice)
812-14492 IC-32103 May 4, 2016 Bridge Builder Trust, et al. (Notice)
812-14118 IC-30592 Jul. 9, 2013 Bridge Builder Trust, et al. (Notice)
812-14118 IC-30641 Aug. 6, 2013 Bridge Builder Trust, et al. (Order)
812-13525 IC-28685 Apr. 1, 2009 Bridgeway Capital Management, Inc. (Notice)
812-14718 IC-32535 Mar. 16, 2017 Brinker Capital Destinations Trust and Brinker Capital, Inc. (Order)
812-14718 IC-32479 Feb. 14, 2017 Brinker Capital Destinations Trust, et al. (Notice)
812-13525 IC-28716 Apr. 28, 2009 Bridgeway Capital Management, Inc. (Order)
812-14724 IC-32534 Mar. 16, 2017 Brinker Capital Destinations Trust and Brinker Capital, Inc. (Order)
812-14724 IC-32478 Feb. 14, 2017 Brinker Capital Destinations Trust, et al. (Notice)
812-14503 IC-31755 Aug. 13, 2015 Broms Asset Management NextShares Trust, Broms Asset Management LLC and Foreside Fund Services, LLC (Order)
812-14503 IC-31717 Jul. 16, 2015 Broms Asset Management NextShares Trust (Notice)
812-14456 IC-31802 Sep. 1, 2015 Brookfield Global Listed Infrastructure Income Fund Inc., et al. (Notice)
812-14456 IC-31855 Sep. 30, 2015 Brookfield Global Listed Infrastructure Income Fund Inc., et al. (Order)
812-12984 IC-28045 Nov. 8, 2007 BTOP50 Managed Futures Fund and Asset Alliance Advisors, Inc. (Notice)
812-12984 IC-28074 Dec. 4, 2007 BTOP50 Managed Futures Fund and Asset Alliance Advisors, Inc. (Order)
812-14368 IC-31738 Aug. 5, 2015 Business Development Corporation of America, et al. (Order)
812-14368 IC-31598 May 11, 2015 Business Development Corporation of America, et al. (Notice)
See also: requests and additional information

C

File No. Release No. Date Investment Company
812-14169 IC-30628 Jul. 24, 2013 Calamos Advisors LLC, et al. (Notice)
812-14169 IC-30653 Aug. 20, 2013 Calamos Advisors LLC, et al. (Order)
812-13063 IC-28435 Oct. 7, 2008 Calamos Convertible Opportunities and Income Fund, et al. (Notice)
812-13552 IC-28615 Feb. 10, 2009 Calamos Convertible Opportunities and Income Fund, et al. (Order)
812-13063 IC-28483 Nov. 4, 2008 Calamos Convertible Opportunities and Income Fund, et al. (Order)
812-13552 IC-28603 Jan. 14, 2009 Calamos Convertible Opportunities and Income Fund, et al.(Notice)
812-14820 IC-32959 Jan. 3, 2018 Calvert Research and Management and Calvert ETF Trust (Order)
812-14820 IC-32935 Dec. 6, 2017 Calvert Research and Management and Calvert ETF Trust (Notice)
812-14529 IC-32234 Aug. 24, 2016 Calvert Social Investment Fund, et al. (Notice)
812-14529 IC-32270 Sep. 20, 2016 Calvert Social Investment Fund, et al. (Order)
812-13718 IC-29209 Apr. 19, 2010 Calvert Social Investment Fund, et al. (Notice)
812-13718 IC-29268 May 17, 2010 Calvert Social Investment Fund, et al. (Order)
812-14202 IC-30768 Oct. 28, 2013 Cambria ETF Trust, et al. (Notice)
812-14202 IC-30806 Nov. 25, 2013 Cambria ETF Trust, et al. (Order)
812-13959 IC-30302 Dec. 12, 2012 Cambria Investment Management, L.P. and Cambria ETF Trust (Notice)
See also IC-30286
812-13959 IC-30286 Nov. 30, 2012 Cambria Investment Management, L.P. and Cambria ETF Trust (Notice)
See also IC-30302
812-13959 IC-30340 Jan. 4, 2013 Cambria Investment Management, L.P. and Cambria ETF Trust (Order)
812-13781 IC-29896 Dec. 29, 2011 Cantilever Capital, LLC and Cantilever Group, LLC (Notice)
812-13781 IC-29925 Jan. 24, 2012 Cantilever Capital, LLC and Cantilever Group, LLC (Order)
812-13781 IC-29925 Jan. 24, 2012 Cantilever Capital, LLC and Cantilever Group, LLC (Order)
812-14338 IC-31441 Feb. 2, 2015 Capital Group ETF Trust, et al. (Notice)
812-14338 IC-31491 Mar. 2, 2015 Capital Group ETF Trust, et al. (Order)
813-353 IC-29596 Mar. 8, 2011 Capital International, Inc. (Order)
813-353 IC-29577 Feb. 10, 2011 Capital International, Inc., et al. (Notice)
812-13616-09 IC-30150 Jul. 25, 2012 Capital Research and Management Company, et al. (Notice)
812-13616-09 IC-30173 Aug. 20, 2012 Capital Research and Management Company, et al. (Order)
812-14007 IC-29981 Mar. 14, 2012 Capital Research and Management Company, et al. (Notice)
812-14007 IC-30033 Apr. 10, 2012 Capital Research and Management Company, et al. (Order)
812-14740 IC-32742 Jul. 25, 2017 Capital Southwest Corporation (Notice)
812-14740 IC-32787 Aug. 22, 2017 Capital Southwest Corporation (Order)
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)
812-13933 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)
812-14481 IC-32052 Mar. 25, 2016 Charles Schwab Investment Management, Inc., et al. (Order)
812-14481 IC-32014 Feb. 29, 2016 Charles Schwab Investment Management, Inc., et al. (Notice)
812-14009 IC-30584 Jun. 27, 2013 Charles Schwab Investment Management, Inc., et al. (Notice)
812-14009 IC-30606 Jul. 23, 2013 Charles Schwab Investment Management, Inc., et al. (Order)
812-13628 IC-28933 Sep. 28, 2009 Charles Schwab Investment Management, Inc., et al. (Notice)
812-13628 IC-28983 Oct. 23, 2009 Charles Schwab Investment Management, Inc., et al. (Order)
812-13676 IC-29167 Mar. 2, 2010 The Chile Fund, et al. (Notice)
812-13676 IC-29195 Mar. 30, 2010 The Chile Fund, et al. (Order)
812-13749 IC-29169 Mar. 8, 2010 The Chile Fund, Inc. (Notice)
812-13749 IC-29194 Mar. 30, 2010 The Chile Fund, Inc. (Order)
812-14711 IC-32731 Jul. 11, 2017 CION Ares Diversified Credit Fund and CION Ares Management, LLC (Order)
812-14711 IC-32678 Jun. 13, 2017 CION Ares Diversified Credit Fund, et al. (Notice)
813-383 IC-30589 Jul. 3, 2013 Citadel LLC, et al. (Notice)
813-383 IC-30637 Jul. 30, 2013 Citadel LLC, et al. (Order)
813-377 IC-29851 Oct. 27, 2011 Citadel LLC, et al. (Notice)
813-377 IC-29869 Nov. 22, 2011 Citadel LLC, et al. (Order)
812-13394 IC-28017 Oct. 22, 2007 Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al. (Order)
812-13394 IC-27978 Sep. 24, 2007 Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al. (Notice and Order)
812-14468 IC-31675 Jun. 16, 2015 Citicorp, et al. (Order)
812-14468 IC-31615 May 20, 2015 Citicorp, et al. (Notice)
812-13970 IC-31199 Aug. 6, 2014 Citigroup Global Markets Inc., et al. (Notice of Application and Temporary Order)
812-13970 IC-31238 Sep. 3, 2014 Citigroup Global Markets Inc., et al. (Order)
812-13808 IC-29464 Oct. 19, 2010 Citigroup Global Markets Inc., et al. (Notice)
812-13808 IC-29498 Nov. 15, 2010 Citigroup Global Markets Inc., et al. (Order)
812-13615 IC-28605 Jan. 16, 2009 Citigroup Global Markets Inc., et al. (Order)
812-13615 IC-28572 Dec. 23, 2008 Citigroup Global Markets Inc., et al. (Notice and Temporary Order)
812-13618 IC-28717 Apr. 29, 2009 Citibank, N.A. (Notice)
812-13618 IC-28746 May 26, 2009 Citibank, N.A. (Order)
812-14533 IC-31890 Nov. 3, 2015 CLA Strategic Allocation Fund and CLA Asset Management, LLC (Order)
812-14533 IC-31863 Oct. 7, 2015 CLA Strategic Allocation Fund and CLA Asset Management, LLC (Notice)
812-13534 IC-29256 Apr. 23, 2010 Claymore Exchange-Traded Fund Trust 3 et al. (Notice)
812-13534 IC-29271 May 18, 2010 Claymore Exchange-Traded Fund Trust 3 et al. (Order)
812-13657 IC-29458 Oct. 7, 2010 Claymore Exchange-Traded Fund Trust, et al. (Notice)
812-13396 IC-27982 Sep. 26, 2007 Claymore Exchange-Traded Fund Trust, et al. (Notice)
812-13657 IC-29494 Nov. 2, 2010 Claymore Exchange-Traded Fund Trust, et al. (Order)
812-13396 IC-28019 Oct. 23, 2007 Claymore Exchange-Traded Fund Trust, et al. (Order)
812-14739 IC-32665 May 30, 2017 ClearShares, LLC et al. (Order)
812-14739 IC-32620 May 1, 2017 ClearShares, LLC et al. (Notice)
812-13105 IC-28850 Aug. 24, 2009 Clough Global Allocation Fund, et al. (Notice)
812-13105 IC-28904 Sep. 21, 2009 Clough Global Allocation Fund, et al. (Order)
812-14554 IC-32053 Mar. 25, 2016 CLS Investments, LLC, et al. (Order)
812-14554 IC-32011 Feb. 29, 2016 CLS Investments, LLC, et al. (Notice)
812-13594 IC-28721 May 8, 2009 Cohen & Steers Advantage Income Realty Fund, et al. (Notice)
812-13152 IC-28341 Jul. 24, 2008 Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Notice)
812-13594 IC-28753 Jun. 1, 2009 Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order)
812-13152 IC-28358 Aug. 19, 2008 Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order)
812-14229 IC-30987 Mar. 21, 2014 Cohen & Steers Capital Management, Inc., Cohen & Steers ETF Trust, Cohen & Steers Securities, LLC (Order)
812-14229 IC-30924 Feb. 24, 2014 Cohen & Steers Capital Management, Inc., et al. (Notice)
812-14230 IC-31090 Jun. 20, 2014 Cohen & Steers ETF Trust, et al. (Notice)
812-14230 IC-31157 Jul. 15, 2014 Cohen & Steers ETF Trust, et al. (Order)
812-14003 IC-30413 Mar. 4, 2013 Cohen & Steers Real Assets Fund, Inc., et al. (Notice)
812-14003 IC-30442 Mar. 29, 2013 Cohen & Steers Real Assets Fund, Inc., et al. (Order)
812-14305 IC-31092 Jun. 23, 2014 College Retirement Equities Fund, et al. (Notice)
812-14305 IC-31204 Aug. 11, 2014 College Retirement Equities Fund, et al. (Order)
812-14037 IC-30260 Nov. 13, 2012 Columbia ETF Trust, et al. (Notice)
812-14037 IC-30301 Dec. 11, 2012 Columbia ETF Trust, et al. (Order)
812-14552 IC-32107 May 5, 2016 Columbia ETF Trust I, et al. (Notice)
812-14552 IC-32134 May 31, 2016 Columbia ETF Trust I, et al. (Order)
812-13955 IC-29980 Mar. 13, 2012 Columbia Funds Master Investment Trust, LLC, et al. (Notice)
812-13955 IC-29980 Mar. 13, 2012 Columbia Funds Master Investment Trust, LLC, et al. (Notice)
812-13955 IC-30030 Apr. 10, 2012 Columbia Funds Master Investment Trust, LLC, et al. (Order)
812-14842 IC-33036 Feb. 27, 2018 Columbia Funds Series Trust, et al. (Order)
812-14842 IC-32998 Jan. 30, 2018 Columbia Funds Series Trust, et al. (Notice)
812-13631 IC-28896 Sep. 4, 2009 Columbia Funds Series Trust, et al. (Notice)
812-13631 IC-28936 Sep. 30, 2009 Columbia Funds Series Trust, et al. (Order)
812-14411 IC-31981 Feb. 3, 2016 Columbia Funds Series Trust I, et. al. (Order)
812-14411 IC-31953 Jan. 7, 2016 Columbia Funds Series Trust I, et al. (Notice)
812-14553 IC-31898 Nov. 10, 2015 Columbia Trust, et al. (Order)
812-14553 IC-31866 Oct. 13, 2015 Columbia Trust, et al. (Notice)
812-14646 IC-32644 May 23, 2017 Commonwealth Annuity and Life Insurance Company et al. (Order)
812-14646 IC-32615 Apr. 27, 2017 Commonwealth Annuity and Life Insurance Company, et al. (Notice)
812-13573 IC-28835 Jul. 22, 2009 Compagnie de Financement Foncier (Notice)
812-13573 IC-28848 Aug. 13, 2009 Compagnie de Financement Foncier (Order)
812-14154 IC-30852 Dec. 31, 2013 Compass Efficient Model Portfolios, LLC, Compass EMP Funds Trust, Northern Lights Distributors, LLC (Order)
812-14154 IC-30817 Dec. 4, 2013 Compass Efficient Model Portfolios, LLC (Notice)
812-13881 IC-30550 Jun. 4, 2013 Compass Efficient Model Portfolios, LLC and Compass EMP Funds Trust (Notice)
812-13881 IC-30588 Jul. 2, 2013 Compass Efficient Model Portfolios, LLC and Compass EMP Funds Trust (Order)
812-14779 IC-32966 Jan. 9, 2018 Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC (Order)
812-14779 IC-32940 Dec. 15, 2017 Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC (Notice)
812-14392 IC-31720 Jul. 21, 2015 Context Capital Advisers, LLC, et al. (Order)
812-14392 IC-31689 Jun. 24, 2015 Context Capital Advisers, LLC, et al. (Notice)
812-14266 IC-31445 Feb. 3, 2015 Context Capital Advisers, LLC and Context Capital Funds (Order)
812-14266 IC-31408 Jan. 6, 2015 Context Capital Advisers, LLC and Context Capital Funds (Notice)
811-02815 34-72173 May 15, 2014 Copley Fund, Inc. (Notice)
See also Application and Exhibits
811-02815 IC-31088 Jun. 19, 2014 Copley Fund, Inc. (Order)
812-14060 IC-30916 Feb. 11, 2014 Cornerstone Advisors Inc. and The Advisors’ Inner Circle Fund (Order)
812-14882 IC-33064 Apr. 3, 2018 Corporate Capital Trust, Inc., et al. (Order)
812-14882 IC-33043 Mar. 8, 2018 Corporate Capital Trust, Inc., et al. (Notice)
812-14408 IC-32683 Jun. 19, 2017 Corporate Capital Trust, Inc., et al., (Order)
812-14408 IC-32642 May 22, 2017 Corporate Capital Trust, Inc., et al. (Notice)
812-13844 IC-30494 Apr. 25, 2013 Corporate Capital Trust, Inc., et al. (Notice)
812-13844 IC-30526 May 21, 2013 Corporate Capital Trust, Inc., et al. (Order)
812-14326 IC-31501 Mar. 10, 2015 Corsair Opportunity Fund Corsair Capital Management, L.P. (Order)
812-14326 IC-31454 Feb. 10, 2015 Corsair Opportunity Fund, et al. (Notice)
812-13865 IC-29691 Jun. 9, 2011 COUNTRY Investors Life Assurance Company, et al. (Notice)
812-13325 IC-27695 Feb. 2, 2007 Country Investors Life Assurance Company, et al. (Notice)
812-13865 IC-29717 Jul. 7, 2011 COUNTRY Investors Life Assurance Company, et al. (Order)
812-13325 IC-27744 Feb. 28, 2007 COUNTRY Investors Life Assurance Company, et al. (Order)
812-14089 IC-30512 May 9, 2013 CPG Carlyle Private Equity Fund, LLC, et al. (Notice)
812-14089 IC-30547 Jun. 4, 2013 CPG Carlyle Private Equity Fund, LLC, et al. (Order)
812-14313 IC-31051 May 19, 2014 Credit Suisse Asset Management, LLC, et al. (Notice and Temporary Order)
812-14313 IC-31082 Jun. 16, 2014 Credit Suisse Asset Management, LLC, et al. (Order)
812-13966 IC-30144 Jul. 20, 2012 Credit Suisse Asset Management, LLC, et al. (Notice)
812-13966 IC-30169 Aug. 15, 2012 Credit Suisse Asset Management, LLC, et al. (Order)
812-14015 IC-30342 Jan. 7, 2013 Credit Suisse Opportunity Funds, et al. (Notice)
812-14015 IC-30376 Feb. 4, 2013 Credit Suisse Opportunity Funds, et al. (Order)
812-14454 IC-32056 Mar. 29, 2016 Crescent Capital BDC, Inc., et al. (Order)
812-14454 IC-32018 Mar. 2, 2016 Crescent Capital BDC Inc., et al. (Notice)
812-13858 IC-31470 Feb. 24, 2015 Crow Point Partners, LLC and Northern Lights Fund Trust (Order)
812-13858 IC-31431 Jan. 28, 2015 Crow Point Partners, LLC and Northern Lights Fund Trust (Notice)
812-14650 IC-32225 Aug. 23, 2016 CSat Investment Advisory, L.P., et al. (Order)
812-14650 IC-32196 Jul. 28, 2016 CSat Investment Advisory, L.P., et al. (Notice)
812-14353 IC-31471 Feb. 24, 2015 CSOP ETF Trust, et al. (Order)
812-14353 IC-31432 Jan. 28, 2015 CSOP ETF Trust and CSOP Asset Management Limited (Notice)
812-13423 IC-28181 Mar. 4, 2008 CUNA Mutual Insurance Society, et al. (Notice)
812-13423 IC-28232 Apr. 1, 2008 CUNA Mutual Insurance Society, et al. (Order)
812-13855 IC-29794 Sep. 19, 2011 Curian Series Trust and Curian Capital, LLC (Notice)
812-13855 IC-29836 Oct. 17, 2011 Curian Series Trust and Curian Capital, LLC (Order)
812-14685 IC-32375 Dec. 1, 2016 CWM Advisors, LLC, et al. (Notice)
812-14685 IC-32404 Dec. 28, 2016 CWM Advisors, LLC, et al. (Order)

D

File No. Release No. Date Investment Company
812-14632 IC-32219 Aug. 16, 2016 Davis Fundamental ETF Trust, et al. (Notice)
812-14632 IC-32260 Sep. 13, 2016 Davis Fundamental ETF Trust, et al. (Order)
812-14177 IC-31326 Nov. 3, 2014 DBX ETF Trust, et al. (Order)
812-14177 IC-31276 Oct. 6, 2014 DBX ETF Trust, et al. (Notice)
812-14004 IC-30811 Nov. 26, 2013 DBX ETF Trust, et al. (Order)
812-14004 IC-30770 Oct. 29, 2013 DBX ETF Trust, et al. (Notice)
812-14595 IC-32423 Jan. 17, 2017 Delaware Management Business Trust, et al. (Order)
812-14595 IC-32395 Dec. 19, 2016 Delaware Management Business Trust, et al. (Notice)
812-13521 IC-28405 Sep. 24, 2008 Delaware Management Business Trust, et al. (Notice)
812-13521 IC-28445 Oct. 21, 2008 Delaware Management Business Trust, et al. (Order)
812-13333 IC-27886 Jul. 16, 2007 Delaware VIP Trust et al. (Notice)
812-13333 IC-27926 Aug. 9, 2007 Delaware VIP Trust, et al. (Order)
812-14629 IC-32510 Feb. 27, 2017 Destra Capital Advisors LLC, et al. (Order)
812-14629 IC-32458 Jan. 30, 2017 Destra Capital Advisors LLC, et al. (Notice)
812-14628 IC-32459 Jan. 30, 2017 Destra Capital Advisors LLC, et al. (Order)
812-14628 IC-32308 Oct. 7, 2016 Destra Capital Advisors LLC, et al. (Notice)
812-13574-01 IC-30087 May 30, 2012 Destra Capital Investments LLC and Destra Unit Investment Trust (Order)
812-13574-01 IC-30059 May 3, 2012 Destra Capital Investments LLC and Destra Unit Investment Trust (Notice)
812-13575 IC-29842 Oct. 25, 2011 Destra Capital Investments LLC and Destra Unit Investment Trust (Order)
812-13575 IC-29825 Sep. 29, 2011 Destra Capital Investments LLC and Destra Unit Investment Trust (Notice)
812-14789 IC-33069 Apr. 10, 2018 Destra Exchange-Traded Fund Trust, et al. (Order)
812-14789 IC-33049 Mar. 14, 2018 Destra Exchange-Traded Fund Trust, et al. (Notice)
812-14788 IC-33071 Apr. 10, 2018 Destra Exchange-Traded Fund Trust, et al. (Order)
812-14788 IC-33048 Mar. 14, 2018 Destra Exchange-Traded Fund Trust, et al. (Notice)
812-14448 IC-31606 May 19, 2015 Deutsche Bank AG, et al. (Order)
812-14448 IC-31577 Apr. 23, 2015 Deutsche Bank AG, et al. (Notice)
812-13664 IC-28763 Jun. 9, 2009 Deutsche Bank Securities Inc., et al. (Notice and Temporary Order)
812-13664 IC-28811 Jul. 7, 2009 Deutsche Bank Securities Inc., et al. (Order)
812-13212 IC-27644 Dec. 28, 2006 Deutsche Bank Trust Company Americas (Notice)
812-13212 IC-27673 Jan. 23, 2007 Deutsche Bank Trust Company Americas (Order)
812-14622 IC-32433 Jan. 24, 2017 DFA Investment Dimensions Group Inc., et al. (Order)
812-14622 IC-32406 Dec. 29, 2016 DFA Investment Dimensions Group Inc., et al. (Notice)
812-14208 IC-31001 Apr. 2, 2014 DFA Investment Dimensions Group Inc., et al. (Order)
812-14208 IC-30976 Mar. 7, 2014 DFA Investment Dimensions Group Inc., et al. (Notice)
812-13943 IC-29820 Sep. 22, 2011 DFA Investment Dimensions Group Inc., et al. (Notice)
812-13541 IC-28637 Feb. 26, 2009 DFA Investment Dimensions Group Inc., et al. (Notice)
812-13943 IC-29838 Oct. 18, 2011 DFA Investment Dimensions Group Inc., et al. (Order)
812-13541 IC-28654 Mar. 24, 2009 DFA Investment Dimensions Group Inc., et al. (Order)
812-14665 IC-32305 Oct. 5, 2016 Dhandho ETF Trust and Dhandho Funds LLC (Order)
812-14665 IC-32255 Sep. 9, 2016 Dhandho ETF Trust and Dhandho Funds LLC (Notice)
812-14398 IC-31472 Feb. 24, 2015 Diamond Hill Capital Management, Inc., et al. (Order)
812-14398 IC-31433 Jan. 28, 2015 Diamond Hill Capital Management, Inc., et al. (Notice)
812-14269 IC-31002 Apr. 3, 2014 Direxion Shares ETF Trust, et al (Notice)
812-14269 IC-31032 Apr. 29, 2014 Direxion Shares ETF Trust, et al (Order)
812-14211 IC-30908 Feb. 6, 2014 The Dividend & Income Trust, et al. (Notice)
812-14211 IC-30970 Feb. 28, 2014 The Dividend & Income Trust, et al. (Order)
812-14885 IC-33103 May 22, 2018 DMS ETF Trust I, et al. (Notice)
812-14885 IC-33125 Jun. 19, 2018 DMS ETF Trust I, et al. (Order)
812-13377 IC-28368 Aug. 26, 2008 DNP Select Income Fund Inc. and Duff & Phelps Investment Management Co. (Order)
812-13617 IC-28891 Aug. 27, 2009 DNP Select Income Fund Inc., et al. (Notice)
812-13377 IC-28348 Jul. 31, 2008 DNP Select Income Fund Inc., et al. (Notice)
812-13617 IC-28906 Sep. 22, 2009 DNP Select Income Fund Inc., et al. (Order)
812-13480 IC-28409 Sep. 29, 2008 Dodge & Cox Funds and Dodge & Cox Incorporated (Notice)
812-13480 IC-28470 Oct. 27, 2008 Dodge & Cox Funds and Dodge & Cox Incorporated (Order)
812-13582 IC-29454 Oct. 1, 2010 Dolby Laboratories, Inc. (Notice)
812-13582 IC-29492 Oct. 27, 2010 Dolby Laboratories, Inc. (Order)
812-13971 IC-30035 Apr. 17, 2012 Domini Social Investment Trust and Domini Social Investments LLC (Order)
812-13971 IC-29984 Mar. 21, 2012 Domini Social Investment Trust and Domini Social Investments LLC (Notice)
812-13971 IC-29984 Mar. 21, 2012 Domini Social Investment Trust and Domini Social Investments LLC (Notice)
812-13983 IC-29943 Feb. 2, 2012 DoubleLine Capital LP and DoubleLine Funds Trust (Notice)
812-13983 IC-29943 Feb. 2, 2012 DoubleLine Capital LP and DoubleLine Funds Trust (Notice)
812-13983 IC-29971 Feb. 28, 2012 DoubleLine Funds Trust, et al. (Order)
812-13983 IC-29971 Feb. 28, 2012 DoubleLine Funds Trust, et al. (Order)
812-14703 IC-32711 Jun. 26, 2017 Dreyfus ETF Trust, The Dreyfus Corporation and Mellon Capital Management Corporation, (Order)
812-14703 IC-32666 May 30, 2017 Dreyfus ETF Trust (Notice)
812-14283 IC-31403 Dec. 30, 2014 Dreyfus ETF Trust, et al. (Order)
812-14283 IC-31365 Dec. 3, 2014 Dreyfus ETF Trust, et al. (Notice)
812-13637 IC-30580 Jun. 26, 2013 The Dreyfus Corporation, et al. (Notice)
812-13637 IC-30608 Jul. 23, 2013 The Dreyfus Corporation, et al. (Order)
812-13906 IC-30137 Jul. 12, 2012 The Dreyfus Corporation, et al. (Notice)
812-13906 IC-30163 Aug. 7, 2012 The Dreyfus Corporation, et al. (Order)
812-14357 IC-31593 May 5, 2015 Dreyfus TMT Opportunities Fund, Inc. and The Dreyfus Corporation (Order)
812-14357 IC-31549 Apr. 7, 2015 Dreyfus TMT Opportunities Fund, Inc., et al. (Notice)
812-13539 IC-29295 Jun. 9, 2010 DWS Advisor Funds, et al. (Notice)
812-13383 IC-27919 Jul. 31, 2007 DWS Advisor Funds, et al. (Notice)
812-13539 IC-29339 Jul. 7, 2010 DWS Advisor Funds, et al. (Order)
812-13383 IC-27954 Aug. 27, 2007 DWS Advisor Funds, et al. (Order)

E

File No. Release No. Date Investment Company
812-13639 IC-28645 Mar. 12, 2009 E*TRADE Capital Markets LLC, et al. (Notice)
812-13639 IC-28689 Apr. 7, 2009 E*TRADE Capital Markets LLC, et al. (Order)
812-14173 IC-31269 Sep. 29, 2014 Eagle Capital Appreciation Fund, et al. (Order)
812-14173 IC-31239 Sep. 3, 2014 Eagle Capital Appreciation Fund, et al. (Notice)
812-14330 IC-31507 Mar. 17, 2015 Eagle Point Credit Company Inc., et al. (Order)
812-14330 IC-31457 Feb. 18, 2015 Eagle Point Credit Company Inc., et al. (Notice)
812-14777-01 IC-32861 Oct. 16, 2017 Eagle Series Trust, et al. (Order)
812-14777-01 IC-32802A Sep. 18, 2017 Eagle Series Trust, et al. (Notice)
812-14777 IC-32802 Aug. 31, 2017 Eagle Series Trust, et al. (Notice)
812-14139 IC-31361 Dec. 2, 2014 Eaton Vance Management, et al. (Order)
812-14304 IC-31327 Nov. 4, 2014 Eaton Vance Distributors, Inc. Eaton Vance Unit Trust (Order)
812-14304 IC-31280 Oct. 8, 2014 Eaton Vance Distributors, Inc. and Eaton Vance Unit Trust (Notice)
812-13586 IC-28616 Feb. 10, 2009 Eaton Vance Enhanced Equity Income Fund, et al. (Notice)
812-13586 IC-28643 Mar. 10, 2009 Eaton Vance Enhanced Equity Income Fund, et al. (Order)
812-13540 IC-28431 Oct. 2, 2008 Eaton Vance Floating-Rate Income Trust, et al. (Notice)
812-13540 IC-28464 Oct. 23, 2008 Eaton Vance Floating-Rate Income Trust, et al. (Order)
812-14139 IC-31333 Nov. 6, 2014 Eaton Vance Management, et al. (Notice)
812-13759 IC-29591 Mar. 1, 2011 Eaton Vance Management, et al. (Notice)
812-13759 IC-29620 Mar. 30, 2011 Eaton Vance Management, et al. (Order)
812-13481 IC-28170 Feb. 26, 2008 Eaton Vance Mutual Funds Trust, et al. (Notice)
812-13481 IC-28202 Mar. 25, 2008 Eaton Vance Mutual Funds Trust, et al. (Order)
813-373 IC-29441 Sep. 27, 2010 Elfun Trusts, et al. (Notice)
813-373 IC-29485 Oct. 25, 2010 Elfun Trusts, et al. (Order)
812-14264 IC-31401 Dec. 29, 2014 Elkhorn Investments, LLC Elkhorn Etf Trust (Order)
812-14264 IC-31363 Dec. 2, 2014 Elkhorn Investments, LLC and Elkhorn ETF Trust (Notice)
812-14262 IC-31089 Jun. 19, 2014 Elkhorn Investments, LLC and Elkhorn ETF Trust (Notice)
812-14262 IC-31158 Jul. 15, 2014 Elkhorn Investments, LLC and Elkhorn ETF Trust (Order)
812-14263 IC-31085 Jun. 17, 2014 Elkhorn Investments, LLC and Elkhorn ETF Trust (Notice)
812-14263 IC-31155 Jul. 15, 2014 Elkhorn Investments, LLC and Elkhorn ETF Trust (Order)
812-14261 IC-31043 May 13, 2014 Elkhorn Securities, LLC and Elkhorn Unit Trust (Order)
812-14261 IC-31022 Apr. 17, 2014 Elkhorn Securities, LLC and Elkhorn Unit Trust (Notice)
812-14260 IC-30902 Feb. 3, 2014 Elkhorn Securities, LLC and Elkhorn Unit Trust (Notice)
812-14260 IC-30974 Mar. 5, 2014 Elkhorn Securities, LLC and Elkhorn Unit Trust (Order)
812-13633 IC-28769 Jun. 22, 2009 Embarcadero Funds, Inc., et al. (Notice)
812-13633 IC-28820 Jul. 20, 2009 Embarcadero Funds, Inc., et al. (Order)
812-14205 IC-30910 Feb. 10, 2014 Emerging Global Advisors, LLC, et al. (Notice)
812-14205 IC-30975 Mar. 7, 2014 Emerging Global Advisors, LLC, et al. (Order)
812-14117 IC-30423 Mar. 12, 2013 Emerging Global Advisors, LLC, et al. (Order)
812-14117 IC-30382 Feb. 13, 2013 Emerging Global Advisors, LLC, et al. (Notice)
812-13954 IC-30184 Aug. 28, 2010 Emerging Global Advisors, LLC, et al. (Notice)
812-13954 IC-30212 Sep. 25, 2010 Emerging Global Advisors, LLC, et al. (Order)
812-14245 IC-30988 Mar. 21, 2014 Empowered Funds, LLC and Empowered Funds ETF Trust (Notice)
812-14245 IC-31018 Apr. 16, 2014 Empowered Funds, LLC and Empowered Funds ETF Trust (Order)
812-14803 IC-32887 Oct. 30, 2017 EntrepreneurShares Series Trust, et al. (Order)
812-14803 IC-32847 Oct. 3, 2017 EntrepreneurShares Series Trust, et al. (Notice)
812-14438 IC-31575 Apr. 23, 2015 ETMF Trust, et al. (Notice)
812-13706 IC-29294 Jun. 4, 2010 EQ Advisors Trust, et al. (Notice)
812-13706 IC-29336 Jun. 30, 2010 EQ Advisors Trust, et al. (Order)
812-14858 IC-33009 Feb. 21, 2018 EquBot LLC and ETF Series Solutions (Order)
812-14858 IC-32993 Jan. 26, 2018 EquBot LLC and ETF Series Solutions (Notice)
812-14129 IC-30673 Aug. 23, 2013 Equinox Funds Trust, et al. (Notice)
812-14129 IC-30691 Sep. 19, 2013 Equinox Funds Trust, et al. (Order)
812-13373 IC-27808 Apr. 30, 2007 The Equity Trust Inc., et al. (Notice)
812-13373 IC-27823 May 22, 2007 The Equity Trust Inc., et al. (Order)
812-14653 IC-32421 Jan. 10, 2017 Equus Total Return, Inc. (Order)
812-14653 IC-32392 Dec. 14, 2016 Equus Total Return, Inc. (Notice)
812-14145 IC-30636 Jul. 30, 2013 ERNY Financial ETF Trust, et al. (Notice)
812-14145 IC-30678 Aug. 27, 2013 ERNY Financial ETF Trust, et al. (Order)
812-14146 IC-30514 May 13, 2013 ERNY Financial ETF Trust and ERNY Financial Advisors, LLC (Notice)
812-14146 IC-30552 Jun. 10, 2013 ERNY Financial ETF Trust and ERNY Financial Advisors, LLC (Order)
812-14080 IC-30568 Jun. 26, 2013 ETF Issuer Solutions Inc., et al. (Notice)
812-14080 IC-30607 Jul. 23, 2013 ETF Issuer Solutions Inc., et al. (Order)
812-14508 IC-32358 Nov. 10, 2016 ETF Managers Group LLC et al. (Order)
812-14508 IC-32317 Oct. 13, 2016 ETF Managers Group, et al. (Notice)
812-14598 IC-32171 Jul. 6, 2016 ETF Managers Group LLC, et al. (Order)
812-14598 IC-32142 Jun. 8, 2016 ETF Managers Group LLC, et al. (Notice)
812-14292 IC-31346 Nov. 24, 2014 ETF Securities Advisors LLC, et al. (Notice)
812-14292 IC-31395 Dec. 22, 2014 ETF Securities Advisors LLC, et al. (Order)
812-14271 IC-31319 Oct. 24, 2014 ETF Securities Advisors LLC, et al. (Notice)
812-14271 IC-31340 Nov. 19, 2014 ETF Securities Advisors LLC, et al. (Order)
812-14475 IC-31906 Nov. 19, 2015 ETF Series Solutions and AlphaClone, Inc. (Notice)
812-14475 IC-31938 Dec. 15, 2015 ETF Series Solutions and AlphaClone, Inc. (Order)
812-14451 IC-31937 Dec. 15, 2015 ETF Series Solutions and U.S. Global Investors, Inc. (Order)
812-14212 IC-30786 Nov. 15, 2013 ETFis Series Trust I, et al. (Notice)
812-14212 IC-30825 Dec. 11, 2013 ETFis Series Trust I, et al. (Order)
812-14346 IC-31557 Apr. 20, 2015 ETFS Trust and ETF Securities Advisors LLC (Order)
812-14346 IC-31511 Mar. 25, 2015 ETFS Trust and ETF Securities Advisors LLC (Notice)
812-13774 IC-29501 Nov. 18, 2010 ETSpreads, LLC, et al. (Notice)
812-13774 IC-29525 Dec. 14, 2010 ETSpreads, LLC, et al. (Order)
812-14293 IC-31285 Oct. 14, 2014 Evanston Alternative Opportunities Fund Evanston Capital Management, LLC (Order)
812-14293 IC-31250 Sep. 15, 2014 Evanston Alternative Opportunities Fund and Evanston Capital Management, LLC. (Notice)
812-13030 IC-28938 Sep. 30, 2009 Evergreen Income Advantage Fund, et al. (Notice)
812-13030 IC-28985 Oct. 27, 2009 Evergreen Income Advantage Fund, et al. (Order)
812-14234 IC-31446 Feb. 4, 2015 Exceed Advisory LLC and Exceed ETFs (Notice)
812-14234 IC-31494 Mar. 3, 2015 Exceed Advisory LLC and Exceed ETFs (Order)
812-14548-05 IC-32628 May 8, 2017 Excelsior Private Markets Fund II (Master), et al. (Order)
812-14548-05 IC-32597 Apr. 10, 2017 Excelsior Private Markets Fund II (Master), LLC, et al. (Notice)
812-14334 IC-31502 Mar. 10, 2015 Exchange Traded Concepts, LLC et al. (Order)
812-14334 IC-31453 Feb. 10, 2015 Exchange Traded Concepts, LLC et al. (Notice)
812-13963 IC-30634 Jul. 29, 2013 Exchange Traded Concepts, LLC, et al. (Notice)
812-13963 IC-30674 Aug. 26, 2013 Exchange Traded Concepts, LLC, et al. (Order)
812-13969 IC-30415 Mar. 7, 2013 Exchange Traded Concepts Trust, et al. (Notice)
812-13969 IC-30445 Apr. 2, 2013 Exchange Traded Concepts Trust, et al. (Order)
812-13486 IC-30346 Jan. 9, 2013 Exchange Traded Spreads Trust, et al. (Notice)
812-13486 IC-30378 Feb. 5, 2013 Exchange Traded Spreads Trust, et al. (Order)

F

File No. Release No. Date Investment Company
812-13934 IC-30204 Sep. 17, 2012 Factor Advisors, LLC, et al. (Notice)
812-13934 IC-30230 Oct. 10, 2012 Factor Advisors, LLC, et al. (Order)
812-14511 IC-32098 Apr. 26, 2016 FactorShares Trust, et al. (Order)
812-14511 IC-32062 Mar. 30, 2016 FactorShares Trust, et al. (Notice)
812-13854 IC-29619 Mar. 28, 2011 Fairholme VP Series Fund, Inc. et al. (Notice)
812-13854 IC-29661 Apr. 26, 2011 Fairholme VP Series Fund, Inc. et al. (Order)
812-13638 IC-28991 Nov. 5, 2009 FaithShares Trust, et al. (Notice)
812-13638 IC-29065 Dec. 1, 2009 FaithShares Trust, et al. (Order)
812-13351 IC-27676 Jan. 24, 2007 FBR Fund Advisers, Inc., FBR Investment Services, Inc., and FBR Investment Management, Inc. (Order)
812-13421 IC-28837 Jul. 27, 2009 Federated Core Trust III and Federated Investment Management Company (Order)
812-13421 IC-28806 Jun. 30, 2009 Federated Core Trust III, et al. (Notice)
812-13743 IC-29341 Jul. 14, 2010 Federated Enhanced Treasury Income Fund, et al. (Notice)
812-13743 IC-29379 Aug. 10, 2010 Federated Enhanced Treasury Income Fund, et al. (Order)
812-13946 IC-30093 Jun. 1, 2012 Federated Investment Management Company and Federated ETF Trust (Notice)
812-13946 IC-30123 Jun. 26, 2012 Federated Investment Management Company and Federated ETF Trust (Order)
812-14352 IC-31758 Aug. 13, 2015 FEG Absolute Access TEI Fund LLC and FEG Investors, LLC (Notice)
812-14352 IC-31814 Sep. 9, 2015 FEG Absolute Access TEI Fund LLC, et al. (Order)
812-13748 IC-29292 Jun. 2, 2010 FFCM, LLC and FQF Trust (Notice)
812-13748 IC-29335 Jun. 29, 2010 FFCM, LLC and FQF Trust (Order)
812-14440 IC-31669 Jun. 15, 2015 FFI Advisors, LLC, et al. (Notice)
812-14440 IC-31713 Jul. 13, 2015 FFI Advisors, LLC, et al. (Order)
812-13731 IC-30258 Nov. 6, 2012 Fidelity Aberdeen Street Trust, et al. (Notice)
812-13731 IC-30288 Dec. 3, 2012 Fidelity Aberdeen Street Trust, et al. (Order)
812-13505 IC-28376 Sep. 5, 2008 Fidelity Aberdeen Street Trust, et al. (Notice)
812-13505 IC-28425 Sep. 30, 2008 Fidelity Aberdeen Street Trust, et al. (Order)
812-14651 IC-32191 Jul. 26, 2016 Fidelity Commonwealth Trust, et al. (Order)
812-14651 IC-32166 Jun. 29, 2016 Fidelity Commonwealth Trust, et al. (Notice)
812-13984 IC-30341 Jan. 7, 2013 Fidelity Commonwealth Trust, et al. (Notice)
812-13984 IC-30375 Feb. 1, 2013 Fidelity Commonwealth Trust, et al. (Order)
812-14104 IC-30464 Apr. 16, 2013 Fidelity Merrimack Street Trust, et al. (Notice)
812-14104 IC-30513 May 10, 2013 Fidelity Merrimack Street Trust, et al. (Order)
812-13476 IC-28259 Apr. 30, 2008 Fidelity Rutland Square Trust, et al. (Notice)
812-13232 IC-28008 Sep. 28, 2007 Fidelity Rutland Square Trust, et al. (Notice)
812-13476 IC-28287 May 28, 2008 Fidelity Rutland Square Trust, et al. (Order)
812-13232 IC-28023 Oct. 24, 2007 Fidelity Rutland Square Trust, et al. (Order)
812-14605 IC-32411 Jan. 4, 2017 Fidus Investment Corporation, et al. (Order)
812-14605 IC-32381 Dec. 7, 2016 Fidus Investment Corporation, et al. (Notice)
812-14156 IC-31137 Jun. 30, 2014 Fidus Investment Corporation, et al. (Order)
812-14156 IC-31067 Jun. 2, 2014 Fidus Investment Corporation, et al. (Notice)
812-13879 IC-29974 Mar. 1, 2012 Fidus Investment Corporation, et al. (Notice)
812-13879 IC-29974 Mar. 1, 2012 Fidus Investment Corporation, et al. (Notice)
812-13879 IC-30012 Mar. 27, 2012 Fidus Investment Corporation, et al. (Order)
812-14132 IC-31247 Sep. 9, 2014 Fifth Street Finance Corp., et al. (Order)
812-14132 IC-31212 Aug. 14, 2014 Fifth Street Finance Corp., et al. (Notice)
812-13698 IC-29500 Nov. 18, 2010 Fifth Street Finance Corp., et al. (Notice)
812-13698 IC-29526 Dec. 14, 2010 Fifth Street Finance Corp., et al. (Order)
812-13893 IC-29819 Sep. 22, 2011 Fifth Third Funds and Fifth Third Asset Management, Inc. (Notice)
812-13893 IC-29839 Oct. 18, 2011 Fifth Third Funds and Fifth Third Asset Management, Inc. (Order)
812-14098 IC-30521 May 15, 2013 Financial Investors Trust and Hanson McClain Strategic Advisors, Inc. (Notice)
812-14098 IC-30554 Jun. 11, 2013 Financial Investors Trust and Hanson McClain Strategic Advisors, Inc. (Order)
812-13985 IC-30205 Sep. 18, 2012 Financial Investors Trust, et al. (Notice)
812-13985 IC-30233 Oct. 16, 2012 Financial Investors Trust, et al. (Order)
812-13359 IC-27965 Sep. 4, 2007 Financial Investors Variable Insurance Trust et al. (Notice)
812-13359 IC-27999 Sep. 27, 2007 Financial Investors Variable Insurance Trust, et al. (Order)
812-13268 IC-27846 May 30, 2007 First American Investment Funds, Inc. et al. (Order)
812-13268 IC-27818 May 4, 2007 First American Investment Funds, Inc., et al. (Notice)
812-13602 IC-28683 Mar. 31, 2009 First American Strategy Funds, Inc. (Notice)
812-13602 IC-28715 Apr. 28, 2009 First American Strategy Funds, Inc., et al. (Order)
812-13350 IC-27868 Jun. 20, 2007 First Investors Equity Funds (Order)
812-14594 IC-32355 Nov. 9, 2016 First Investors Equity Funds, et al. (Order)
812-14594 IC-32318 Oct. 14, 2016 First Investors Equity Funds, et al. (Notice)
812-13350 IC-27826 May 23, 2007 First Investors Equity Funds, et al. (Notice)
812-13477 IC-28421 Sep. 29, 2008 First Trust Advisors L.P. (Notice)
812-13477 IC-28468 Oct. 27, 2008 First Trust Advisors L.P., et al. (Order)
812-14088 IC-30582 Jun. 26, 2013 First Trust Exchange-Traded Fund, et al. (Notice)
812-14088 IC-30610 Jul. 23, 2013 First Trust Exchange-Traded Fund, et al. (Order)
812-14070 IC-30546 Jun. 3, 2013 First Trust Exchange-Traded Fund, et al. (Notice)
812-14070 IC-30587 Jul. 1, 2013 First Trust Exchange-Traded Fund, et al. (Order)
812-13895 IC-30345 Jan. 8, 2013 First Trust Exchange-Traded Fund, et al. (Notice)
812-13895 IC-30377 Feb. 5, 2013 First Trust Exchange-Traded Fund, et al. (Order)
812-13795 IC-29983 Mar. 15, 2012 First Trust Exchange-Traded Fund, et al. (Notice)
812-13795 IC-29983 Mar. 15, 2012 First Trust Exchange-Traded Fund, et al. (Notice)
812-13795 IC-30029 Apr. 10, 2012 First Trust Exchange-Traded Fund, et al. (Order)
812-13340 IC-27812 Apr. 30, 2007 First Trust Exchange-Traded Fund, et al. (Notice)
812-13340 IC-27845 May 30, 2007 First Trust Exchange-Traded Fund, et al. (Order)
812-13262 IC-27772 Mar. 30, 2007 First Trust Exchange-Traded Fund, et al. (Notice)
812-13262 IC-27784 Apr. 25, 2007 First Trust Exchange-Traded Fund, et al. (Order)
812-13161-01 IC-29163 Feb. 26, 2010 First Trust/Aberdeen Global Opportunity Income Fund, et al. (Notice)
812-13161-01 IC-29189 Mar. 24, 2010 First Trust/Aberdeen Global Opportunity Income Fund, et al. (Order)
812-13598 IC-28722 May 8, 2009 Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Notice)
812-13598 IC-28754 Jun. 1, 2009 Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Order)
812-14150 IC-30593 Jul. 9, 2013 FlexShares Trust, et al. (Notice)
812-14150 IC-30645 Aug. 6, 2013 FlexShares Trust, et al. (Order)
812-13376 IC-28066 Nov. 27, 2007 FocusShares Trust F/N/A MyShares Trust, et al. (Order)
812-14659 IC-32304 Oct. 5, 2016 Foreside Advisor Services, LLC, et al. (Order)
812-14659 IC-32256 Sep. 9, 2016 Foreside Advisor Services, LLC, et al. (Notice)
812-14023 IC-30284 Nov. 29, 2012 Foreside Advisor Services, LLC, et al. (Notice)
812-14023 IC-30318 Dec. 27, 2012 Foreside Advisor Services, LLC, et al. (Order)
812-14660 IC-32323 Oct. 24, 2016 Foreside ETF Trust, et al. (Order)
812-14660 IC-32284 Sep. 26, 2016 Foreside ETF Trust, et al. (Notice)
812-14198 IC-30840 Dec. 19, 2013 Forethought Variable Insurance Trust, et al. (Notice)
812-14198 IC-30857 Jan. 14, 2014 Forethought Variable Insurance Trust, et al. (Order)
812-14183 IC-30716 Sep. 25, 2013 Forethought Variable Insurance Trust, et al. (Notice)
812-14183 IC-30750 Oct. 22, 2013 Forethought Variable Insurance Trust, et al. (Order)
812-14695 IC-32637 May 16, 2017 Formula Folio Investments, LLC et al. (Order)
812-14695 IC-32607 Apr. 20, 2017 Formula Folio Investments, LLC and Northern Lights Fund Trust IV (Notice)
812-14345 IC-31385 Dec. 18, 2014 Forum Funds II and Acuitas Investments, LLC (Notice)
812-14345 IC-31413 Jan. 13, 2015 Forum Funds II and Acuitas Investments, LLC (Order)
812-14344 IC-31386 Dec. 18, 2014 Forum Funds II and CVR Portfolio Funds LLC (Notice)
812-14344 IC-31414 Jan. 13, 2015 Forum Funds II and CVR Portfolio Funds LLC (Order)
812-14355 IC-31443 Feb. 3, 2015 Forum Funds II, et al. (Order)
812-14355 IC-31407 Jan. 6, 2015 Forum Funds II, et al. (Notice)
812-13265 IC-27605 Dec. 20, 2006 Forum Funds, et al. (Notice)
812-13265 IC-27665 Jan. 18, 2007 Forum Funds and Absolute Investment Advisers (Order)
812-14531 IC-31893 Nov. 5, 2015 Forum Funds and Exceed Advisory LLC (Notice)
812-14531 IC-31919 Dec. 1, 2015 Forum Funds and Exceed Advisory LLC (Order)
812-13915 IC-30507 May 6, 2013 Forum Investment Advisors, LLC, et al. (Notice)
812-13915 IC-30549 Jun. 4, 2013 Forum Investment Advisors, LLC, et al. (Order)
812-13249 IC-27814 May 1, 2007 Forward Funds (Order)
812-13533 IC-28420 Sep. 29, 2008 Forward Funds and Forward Management, LLC (Notice)
812-13533 IC-28469 Oct. 27, 2008 Forward Funds and Forward Management, LLC (Order)
812-14043 IC-30411 Feb. 28, 2013 Forward Funds, et al. (Notice)
812-14043 IC-30437 Mar. 26, 2013 Forward Funds, et al. (Order)
812-13996 IC-29982 Mar. 15, 2012 Forward Funds, et al. (Notice)
812-13996 IC-30031 Apr. 10, 2012 Forward Funds, et al. (Order)
812-13543 IC-28640 Mar. 3, 2009 Forward Funds, et al. (Notice)
812-13543 IC-28682 Mar. 30, 2009 Forward Funds, et al. (Order)
812-13249 IC-27777 Apr. 5, 2007 Forward Funds, et al. (Notice)
812-14742 IC-32970 Jan. 17, 2018 FQF Trust, et al. (Order)
812-14742 IC-32942 Dec. 19, 2017 FQF Trust, et al. (Notice)
812-13741 IC-29720 Jul. 11, 2011 FQF Trust, et al. (Notice)
812-13741 IC-29747 Aug. 5, 2011 FQF Trust, et al. (Order)
812-13783 IC-30524 May 17, 2013 Frank Russell Company, et al. (Notice)
812-13783 IC-30556 Jun. 12, 2013 Frank Russell Company, et al. (Order)
812-14042 IC-30312 Dec. 19, 2012 Franklin Advisers, Inc., et al. (Notice)
812-14042 IC-30350 Jan. 15, 2013 Franklin Advisers, Inc., et al. (Order)
812-13900 IC-30138 Jul. 17, 2012 Franklin Advisers, Inc. and Franklin Templeton International Trust (Order)
812-13900 IC-30105 Jun. 18, 2012 Franklin Advisers, Inc. and Franklin Templeton International Trust (Notice)
812-14819 IC-33117 Jun. 5, 2018 Franklin Alternative Strategies Funds, et al. (Order)
812-14819 IC-33095 May 10, 2018 Franklin Alternative Strategies Funds, et al. (Notice)
812-13500 IC-28229 Mar. 31, 2008 Franklin California Tax-Free Income Fund, et al. (Notice)
812-13500 IC-28257 Apr. 28, 2008 Franklin California Tax-Free Income Trust, et al. (Order)
812-14611 IC-32722 Jul. 3, 2017 Franklin Fund Allocator Series, et al. (Order)
812-14611 IC-32669 Jun. 5, 2017 Franklin Fund Allocator Series, et al. (Notice)
812-14566 IC-32105 May 5, 2016 Franklin Templeton ETF Trust, et al. (Notice)
812-14566 IC-32133 May 31, 2016 Franklin Templeton ETF Trust, et al. (Order)
812-13499 IC-28574 Dec. 29, 2008 Franklin Templeton Fund Allocator Series, et al. (Notice)
812-13499 IC-28608 Jan. 26, 2009 Franklin Templeton Fund Allocator Series, et al. (Order)
812-14167 IC-30679 Aug. 27, 2013 Franklin Templeton International Trust, et al. (Notice)
812-14167 IC-30698 Sep. 24, 2013 Franklin Templeton International Trust, et al. (Order)
812-14567 IC-32221 Aug. 17, 2016 FS Global Credit Opportunities Fund, et al. (Notice)
812-14567 IC-32257 Sep. 12, 2016 FS Global Credit Opportunities Fund, et al. (Order)
812-13665 IC-30511 May 9, 2013 FS Investment Corporation, et al. (Notice)
812-13665 IC-30548 Jun. 4, 2013 FS Investment Corporation, et al. (Order)
812-14762 IC-33006 Feb. 20, 2018 FS Series Trust and FS Fund Advisor, LLC (Order)
812-14762 IC-32992 Jan. 25, 2018 FS Series Trust and FS Fund Advisor, LLC (Notice)
812-14396 IC-31799 Aug. 28, 2015 Full Circle Capital Corporation et al. (Notice)
812-14396 IC-31837 Sep. 23, 2015 Full Circle Capital Corporation, et al. (Order)
812-14253 IC-31161 Jul. 17, 2014 FundVantage Trust, et al. (Notice)
812-14253 IC-31207 Aug. 12, 2014 FundVantage Trust et al. (Order)
812-14197 IC-31003 Apr. 3, 2014 FundVantage Trust, et al (Notice)
812-14197 IC-31033 Apr. 29, 2014 FundVantage Trust, et al (Order)

G

File No. Release No. Date Investment Company
812-14438 IC-31608 May 19, 2015 Gabelli ETMF Trust, Gabelli Funds, LLC, and G. distributors, LLC (Order)
812-14859 IC-33040 Mar. 7, 2018 Gadsden ETF Trust and Gadsden, LLC (Order)
812-14859 IC-32999 Jan. 30, 2018 Gadsden ETF Trust and Gadsden, LLC (Notice)
812-14097 IC-31409 Jan. 12, 2015 Garrison Capital Inc., et al. (Order)
812-14097 IC-31373 Dec. 15, 2014 Garrison Capital Inc., et al. (Notice)
812-14320 IC-31270 Sep. 30, 2014 Garrison Capital Inc., et al. (Order)
812-14320 IC-31240 Sep. 3, 2014 Garrison Capital, Inc., et al. (Notice)
812-13807 IC-29374 Jul. 30, 2010 GE Asset Management Incorporated and GE Investment Distributors, Inc. (Notice and Temporary Order)
812-13680 IC-28899 Sep. 9, 2009 GE Asset Management Incorporated and GE Investment Distributors, Inc. (Order)
812-13680 IC-28845 Aug. 11, 2009 GE Asset Management Incorporated, et al. (Notice and Temporary Order)
812-13994 IC-29926 Jan. 24, 2012 GE Asset Management Incorporated, et al. (Notice)
812-13994 IC-29926 Jan. 24, 2012 GE Asset Management Incorporated, et al. (Notice)
812-13807 IC-29385 Aug. 25, 2010 GE Asset Management Incorporated, et al. (Order)
812-13994 IC-29952 Feb. 22, 2012 GE Asset Management Incorporated, et al.(Order)
812-13994 IC-29952 Feb. 22, 2012 GE Asset Management Incorporated, et al.(Order)
812-13545 IC-28808 Jul. 2, 2009 GE Funds, et al. (Notice)
812-13545 IC-28839 Jul. 28, 2009 GE Funds, et al. (Order)
812-14048 IC-30635 Jul. 30, 2013 GENCAP Strategies LLC, et al. (Notice)
812-14048 IC-30676 Aug. 27, 2013 GENCAP Strategies LLC, et al. (Order)
812-14743 IC-32532 Mar. 13, 2017 General Electric Company and GE Capital International Holdings Limited (Order)
812-14743 IC-32477 Feb. 13, 2017 General Electric Company and GE Capital International Holdings Limited (Notice)
812-14550 IC-31871 Oct. 19, 2015 General Electric Company and GE Capital International Funding Company (Order)
812-14550 IC-31833 Sep. 21, 2015 General Electric Company and GE Capital International Funding Company (Notice)
812-13935 IC-29867 Nov. 21, 2011 Genesis Capital, LLC and Northern Lights Fund Trust (Notice)
812-13935 IC-29888 Dec. 19, 2011 Genesis Capital, LLC and Northern Lights Fund Trust (Order)
812-13878 IC-30154 Jul. 26, 2012 Gladstone Capital Corporation, et al. (Order)
812-13878 IC-30125 Jun. 29, 2012 Gladstone Capital Corporation, et al. (Notice)
812-14484 IC-31851 Sep. 28, 2015 The Glenmede Portfolios and Glenmede Investment Management LP (Order)
812-14484 IC-31801 Aug. 31, 2015 The Glenmede Portfolios and Glenmede Investment Management LP (Notice)
812-13517 IC-28378 Sep. 10, 2008 Global X Funds and Global X Management Company LLC (Notice)
812-13517 IC-28433 Oct. 3, 2008 Global X Funds and Global X Management Company LLC (Order)
812-14241 IC-31084 Jun. 17, 2014 Global X Funds, Global X Management Company LLC, and Sei Investments Distribution Company (Notice)
812-14241 IC-31153 Jul. 14, 2014 Global X Funds, Global X Management Company LLC, and Sei Investments Distribution Company (Order)
812-14549 IC-32311 Oct. 12, 2016 Global X Funds, et al. (Order)
812-14549 IC-32262 Sep. 14, 2016 Global X Funds, et al. (Notice)
812-14079 IC-30426 Mar. 14, 2013 Global X Funds, et al. (Notice)
812-14079 IC-30454 Apr. 9, 2013 Global X Funds, et al. (Order)
812-13830 IC-29829 Sep. 30, 2011 Global X Funds, et al. (Notice)
812-13830 IC-29852 Oct. 28, 2011 Global X Funds, et al. (Order)
812-14219 IC-32409 Jan. 4, 2017 Goldman Sachs BDC, Inc., et al. (Order)
812-14219 IC-32382 Dec. 7, 2016 Goldman Sachs BDC, Inc., et al. (Notice)
812-14361 IC-31465 Feb. 23, 2015 Goldman Sachs ETF Trust, et al. (Order)
812-14361 IC-31428 Jan. 26, 2015 Goldman Sachs ETF Trust, et al. (Notice)
812-14362 IC-31427 Jan. 26, 2015 Goldman Sachs ETF Trust, et al. (Notice)
812-14362 IC-31466 Feb. 23, 2015 Goldman Sachs ETF Trust, et al. (Order)
812-14075 IC-30471 Apr. 19, 2013 Goldman Sachs Trust, et al. (Notice)
812-14075 IC-30522 May 15, 2013 Goldman Sachs Trust, et al. (Order)
812-13456 IC-28347 Jul. 31, 2008 Goldman Sachs Trust, et al. (Notice)
812-13456 IC-28366 Aug. 26, 2008 Goldman Sachs Trust, et al. (Order)
812-14078 IC-30496 Apr. 29, 2013 Goldman Sachs Trust II, et al. (Notice)
812-14078 IC-30542 May 29, 2013 Goldman Sachs Trust II, et al. (Order)
812-13796 IC-29366 Jul. 21, 2010 Goldman, Sachs & Co., et al. (Notice and Temporary Order)
812-13796 IC-29382 Aug. 18, 2010 Goldman, Sachs & Co., et al. (Order)
812-14702 IC-32460 Jan. 31, 2017 Goldman, Sachs & Co. (Notice)
812-14702 IC-32514 Feb. 28, 2017 Goldman, Sachs & Co. (Order)
812-13764 IC-32509 Feb. 27, 2017 Golub Capital BDC, Inc., et al. (Order)
812-13764 IC-32461 Jan. 31, 2017 Golub Capital BDC, Inc., et al. (Notice)
812-13794 IC-29756 Aug. 16, 2011 Golub Capital BDC, Inc., et al. (Notice)
812-13794 IC-29786 Sep. 13, 2011 Golub Capital BDC, Inc., et al. (Order)
812-14507 IC-31897 Nov. 6, 2015 Good Hill ETF Trust (Notice)
812-14507 IC-31923 Dec. 2, 2015 Good Hill Partners LP, Good Hill ETF Trust, (Order)
812-14505 IC-32021 Mar. 2, 2016 Good Hill Partners LP and Good Hill ETF Trust (Order)
812-14505 IC-31986 Feb. 5, 2016 Good Hill Partners LP and Good Hill ETF Trust (Notice)
812-14506 IC-31904 Nov. 17, 2015 Good Hill Partners LP and Good Hill ETF Trust (Order)
812-14506 IC-31878 Oct. 22, 2015 Good Hill Partners LP and Good Hill ETF Trust (Notice)
812-14507 IC-31897 Nov. 6, 2015 Good Hill Partners LP and Good Hill ETF Trust (Notice)
812-13986 IC-30067 May 22, 2012 GPS Funds I, et al. (Order)
812-13986 IC-30067 May 22, 2012 GPS Funds I, et al. (Order)
812-13986 IC-30044 Apr. 24, 2012 GPS Funds I, et al. (Notice)
812-13516-01 IC-28900 Sep. 14, 2009 Grail Advisors LLC and Grail Advisors ETF Trust (Notice)
812-13440 IC-28571 Dec. 23, 2008 Grail Advisors, LLC and Grail Advisors' Alpha ETF Trust (Notice)
812-13440 IC-28604 Jan. 16, 2009 Grail Advisors, LLC and Grail Advisors ETF Trust (formerly known as Grail Advisors' Alpha ETF Trust) (Order)
812-13516-01 IC-28944 Oct. 8, 2009 Grail Advisors, LLC and Grail Advisors ETF Trust (Order)
812-14252 IC-31295 Oct. 20, 2014 Great-West Funds, Inc., Great-West Capital Management, LLC, and Gwfs Equities, Inc. (Order)
812-14252 IC-31262 Sep. 24, 2014 Great-West Funds, Inc., et al. (Notice)
812-14373 IC-31559 Apr. 20, 2015 Griffin Institutional Access Real Estate Fund et al. (Order)
812-14373 IC-31509 Mar. 23, 2015 Griffin Institutional Access Real Estate Fund and Griffin Capital Advisor, LLC (Notice)
812-14110 IC-30599 Jul. 15, 2013 Grosvenor Alternative Funds Master Trust, et al. (Notice)
812-14110 IC-30648 Aug. 12, 2013 Grosvenor Alternative Funds Master Trust, et al. (Order)
812-14714 IC-33003 Feb. 7, 2018 The Guardian Insurance & Annuity Company, Inc., et al. (Order)
812-14714 IC-32967 Jan. 10, 2018 The Guardian Insurance & Annuity Company, Inc., et al. (Notice)
812-14449 IC-31993 Feb. 10, 2016 The Guardian Insurance & Annuity Company, Inc., et al. (Order)
812-14449 IC-31958 Jan. 15, 2016 The Guardian Insurance & Annuity Company, Inc., et al. (Notice)
812-14627 IC-32468 Feb. 6, 2017 Guardian Variable Products Trust and Park Avenue Institutional Advisers LLC (Order)
812-14627 IC-32420 Jan. 9, 2017 Guardian Variable Products Trust and Park Avenue Institutional Advisers LLC (Notice)
812-14821 IC-32996 Jan. 30, 2018 Guggenheim Credit Income Fund, et al. (Order)
812-14821 IC-32960 Jan. 3, 2018 Guggenheim Credit Income Fund, et al. (Notice)
812-14151-04 IC-30780 Nov. 12, 2013 Guggenheim Equal Weight Enhanced Equity Income Fund and Guggenheim Funds Investment Advisers, LLC (Notice)
812-14151-04 IC-30822 Dec. 9, 2013 Guggenheim Equal Weight Enhanced Equity Income Fund and Guggenheim Funds Investment Advisers, LLC (Order)
812-13991 IC-30560 Jun. 14, 2013 Guggenheim Funds Investment Advisors, LLC, et al. (Notice)
812-13991 IC-30598 Jul. 10, 2013 Guggenheim Funds Investment Advisors, LLC, et al. (Order)
812-14525 IC-32170 Jul. 5, 2016 Guggenheim Funds Trust, et al. (Order)
812-14525 IC-32140 Jun. 6, 2016 Guggenheim Funds Trust, et al. (Notice)
812-14137 IC-30735 Sep. 26, 2013 Guinness Atkinson Asset Management, Inc., et al. (Notice)
812-14137 IC-30751 Oct. 22, 2013 Guinness Atkinson Asset Management, Inc., et al. (Order)

H

File No. Release No. Date Investment Company
812-14306 IC-31224 Aug. 27, 2014 H&Q Healthcare Investors, H&Q Life Sciences Investors, Tekla Healthcare Opportunities Fund, and Tekla Capital Management, LLC : (Order)
812-14306 IC-31197 Aug. 5, 2014 H&Q Healthcare Investors, et al. (Notice)
812-13392 IC-28426 Sep. 30, 2008 H&Q Healthcare Investors, et al. (Notice)
812-13392 IC-28472 Oct. 28, 2008 H&Q Healthcare Investors, et al. (Order)
812-14784 IC-33000 Feb. 5, 2018 Harbor Funds and Harbor Capital Advisors, Inc. (Order)
812-14784 IC-32965 Jan. 9, 2018 Harbor Funds and Harbor Capital Advisors, Inc. (Notice)
812-14669 IC-32285 Sep. 26, 2016 Harris & Harris Group, Inc. (Order)
812-14515 IC-31891 Nov. 4, 2015 Harris & Harris Group, Inc. (Order)
812-14317 IC-31271 Sep. 30, 2014 Harris & Harris Group, Inc. (Certification)
812-14164 IC-30604 Jul. 22, 2013 Harris & Harris Group, Inc. (Certification)
812-14029 IC-30104 Jun. 15, 2012 Harris & Harris Group, Inc. (Certification)
812-13896 IC-29736 Jul. 22, 2011 Harris & Harris Group, Inc. (Certification)
812-13768 IC-29289 May 28, 2010 Harris & Harris Group, Inc. (Certification)
812-13655 IC-28761 Jun. 9, 2009 Harris & Harris Group, Inc. (Certification)
812-13374 IC-27870 Jun. 20, 2007 Harris & Harris Group, Inc. (Certification)
812-13313 IC-29976 Mar. 7, 2012 Harris & Harris Group, Inc. (Notice)
812-13313 IC-29976 Mar. 7, 2012 Harris & Harris Group, Inc. (Notice)
812-13520 IC-28294 May 30, 2008 Harris & Harris Group, Inc. (Order)
812-13313 IC-30027 Apr. 3, 2012 Harris & Harris Group, Inc. (Order)
812-14609 IC-32347 Nov. 1, 2016 Harris Associates Investment Trust, et al. (Order)
812-14609 IC-32306 Oct. 5, 2016 Harris Associates Investment Trust, et al. (Notice)
812-13828-01 IC-32413 Jan. 4, 2017 Hartford Funds Exchange-Traded Trust, et al. (Notice)
812-13828-01 IC-32454 Jan. 27, 2017 Hartford Funds Exchange-Traded Trust, et al. (Order)
812-14592 IC-32350 Nov. 1, 2016 Hartford Funds Exchange-Traded Trust, et. al. (Order)
812-14592 IC-32307 Oct. 6, 2016 Hartford Funds Exchange-Traded Trust, et. al. (Notice)
812-14439 IC-31607 May 19, 2015 Hartford Funds NextShares Trust, et al. (Order)
812-14439 IC-31576 Apr. 23, 2015 Hartford Funds NextShares Trust, et al. (Notice)
812-14447 IC-32570 Mar. 23, 2017 Hartford Life Insurance Company, et al. (Order)
812-14447 IC-32386 Dec. 8, 2016 Hartford Life Insurance Company, et al (Notice)
See also: requests and additional information
812-14446 IC-32569 Mar. 23, 2017 Hartford Life Insurance Company, et al. (Order)
812-14446 IC-32385 Dec. 8, 2016 Hartford Life Insurance Company, et al (Notice)
See also: requests and additional information
812-13267 IC-27933 Aug. 22, 2007 Hartford Life Insurance Company, et al. (Notice)
812-13267 IC-27972 Sep. 18, 2007 Hartford Life Insurance Company, et al. (Order)
812-14652 IC-32364 Nov. 22, 2016 Hartford Mutual Funds, Inc., et al. (Order)
812-14652 IC-32338 Oct. 26, 2016 Hartford Mutual Funds Inc., et al. (Notice)
812-14564 IC-32971 Jan. 17, 2018 The Hartford Mutual Funds, et al. (Order)
812-14564 IC-32944 Dec. 20, 2017 The Hartford Mutual Funds, Inc., et al. (Notice)
812-14024 IC-30164 Aug. 8, 2012 The Hartford Mutual Funds, Inc., et al. (Notice)
812-14024 IC-30194 Sep. 5, 2012 The Hartford Mutual Funds, Inc., et al. (Order)
812-14365 IC-31930 Dec. 10, 2015 Harvest Capital Credit Corporation, et al. (Order)
812-14365 IC-31860 Oct. 5, 2015 Harvest Capital Credit Corporation, et al. (Notice)
812-14282 IC-30969 Feb. 26, 2014 Hatteras Alternative Mutual Funds Trust, et al. (Notice)
812-14282 IC-30991 Mar. 25, 2014 Hatteras Alternative Mutual Funds Trust, et al. (Order)
812-14040 IC-30338 Jan. 2, 2013 Hatteras Variable Trust, et al. (Order)
812-14040 IC-30296 Dec. 6, 2012 Hatteras Variable Trust, et al. (Notice)
812-13358 IC-27916 Jul. 27, 2007 HealthShares, Inc. (Notice)
812-13358 IC-27930 Aug. 20, 2007 HealthShares, Inc. et al. (Order)
812-13288 IC-27844 May 29, 2007 HealthShares™, Inc. and XShares Advisors LLC (Notice)
812-13288 IC-27871 Jun. 21, 2007 HealthShares™, Inc. and XShares Advisors LLC (Order)
812-13950 IC-29970 Feb. 28, 2012 Henderson Global Funds et al. (Order)
812-13950 IC-29970 Feb. 28, 2012 Henderson Global Funds et al. (Order)
812-13950 IC-29942 Feb. 1, 2012 Henderson Global Funds, et al. (Notice)
812-13950 IC-29942 Feb. 1, 2012 Henderson Global Funds, et al. (Notice)
812-14001 IC-30092 May 31, 2012 Hennion & Walsh, Inc. and Smart Trust (Notice)
812-14001 IC-30122 Jun. 26, 2012 Hennion & Walsh, Inc. and Smart Trust (Order)
812-13716 IC-29287 May 26, 2010 Hercules Technology Growth Capital, Inc. (Notice)
812-13388 IC-27968 Sep. 12, 2007 Hercules Technology Growth Capital, Inc. (Notice)
812-13312 IC-27815 May 2, 2007 Hercules Technology Growth Capital, Inc. (Notice)
812-13201 IC-27668 Jan. 19, 2007 Hercules Technology Growth Capital, Inc. (Notice)
812-13716 IC-29303 Jun. 22, 2010 Hercules Technology Growth Capital, Inc. (Order)
812-13388 IC-28011 Oct. 10, 2007 Hercules Technology Growth Capital, Inc. (Order)
812-13312 IC-27838 May 23, 2007 Hercules Technology Growth Capital, Inc. (Order)
812-13201 IC-27699 Feb. 15, 2007 Hercules Technology Growth Capital, Inc. (Order)
812-13238 IC-27776 Apr. 5, 2007 Hercules Technology Growth Capital, Inc. et al. (Order)
812-13238 IC-27748 Mar. 7, 2007 Hercules Technology Growth Capital, Inc., et al. (Notice)
812-14006 IC-30259 Nov. 9, 2012 Highland Associates, Inc. and Financial Investors Trust (Notice)
812-14006 IC-30291 Dec. 5, 2012 Highland Associates, Inc. and Financial Investors Trust (Order)
812-13221 IC-28888 Aug. 27, 2009 Highland Capital Management L.P., et al. (Notice)
812-13221 IC-28908 Sep. 22, 2009 Highland Capital Management, L.P. (Order)
812-13770 IC-29445 Sep. 27, 2010 Highland Capital Management, L.P. and Highland Funds I (Notice)
812-13770 IC-29488 Oct. 26, 2010 Highland Capital Management, L.P. and Highland Funds I (Order)
812-13478 IC-29918 Jan. 17, 2012 Highland Capital Management, L.P. et al. (Order)
812-13478 IC-29918 Jan. 17, 2012 Highland Capital Management, L.P. et al. (Order)
812-13890 IC-29790 Sep. 15, 2011 Highland Capital Management, L.P., et al. (Notice)
812-13478 IC-29890 Dec. 19, 2011 Highland Capital Management, L.P., et al. (Notice)
812-13890 IC-29832 Oct. 12, 2011 Highland Capital Management, L.P., et al. (Order)
812-14443 IC-31646 May 26, 2015 Highland Funds I, et al. (Order)
812-14443 IC-31579 Apr. 27, 2015 Highland Funds I, et al. (Notice)
812-13736 IC-29675 May 24, 2011 HighMark Capital Management Inc., et al. (Order)
812-13736 IC-29660 Apr. 26, 2011 HighMark Capital Management, Inc., et al. (Notice)
812-13143 IC-29723 Jul. 12, 2011 HighMark Funds and HighMark Capital Management, Inc. (Notice)
812-13143 IC-29750 Aug. 8, 2011 HighMark Funds and HighMark Capital Management, Inc. (Order)
812-13843 IC-29694 Jun. 16, 2011 Highmark Funds, et al. (Notice)
812-13843 IC-29721 Jul. 12, 2011 HighMark Funds, et al. (Order)
812-13255 IC-27804 Apr. 26, 2007 Hill Physicians Medical Group, Inc. (Notice)
812-13255 IC-27824 May 22, 2007 Hill Physicians Medical Group, Inc. (Order)
812-13859-01 IC-30102 Jun. 11, 2012 Hirtle Callaghan & Co., LLC and HC Capital Trust (Notice)
812-13859-01 IC-30132 Jul. 10, 2012 Hirtle Callaghan & Co., LLC and HC Capital Trust (Order)
813-355 IC-28473 Oct. 28, 2008 HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Order)
813-355 IC-28428 Sep. 30, 2008 HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Notice)
812-14016 IC-30984 Mar. 18, 2014 HMS Income Fund, Inc., et al. (Notice)
812-14016 IC-31016 Apr. 15, 2014 HMS Income Fund, Inc., et al. (Order)
812-14664 IC-32636 May 16, 2017 Homestead Funds, Inc. and RE Advisers Corporation (Order)
812-14664 IC-32602 Apr. 19, 2017 Homestead Funds, Inc. and RE Advisers Corporation (Notice)
812-14336 IC-31744 Aug. 7, 2015 Horace Mann Life Insurance Company, et al.(Order)
812-14336 IC-31714 Jul. 13, 2015 Horace Mann Life Insurance Company, et al (Notice)
812-14738 IC-32923 Nov. 27, 2017 Horizon Technology Finance Corporation, et al. (Order)
812-14738 IC-32888 Oct. 30, 2017 Horizon Technology Finance Corporation, et al. (Notice)
812-13876 IC-29777 Aug. 31, 2011 Horizon Technology Finance Corporation, et al. (Notice)
812-13876 IC-29821 Sep. 27, 2011 Horizon Technology Finance Corporation, et al. (Order)
812-14179 IC-30803 Nov. 21, 2013 Horizons ETFs Management (USA) LLC and Horizons ETF Trust (Notice)
812-14179 IC-30833 Dec. 17, 2013 Horizons ETFs Management (USA) LLC and Horizons ETF Trust (Order)
812-14178 IC-30680 Aug. 27, 2013 Horizons ETFs Management (USA) LLC and Horizons ETF Trust (Notice)
812-14178 IC-30695 Sep. 24, 2013 Horizons ETFs Management (USA) LLC and Horizons ETF Trust (Order)
812-13186 IC-27805 Apr. 26, 2007 HSBC Securities (USA) Inc. (Notice)
812-13186 IC-27822 May 22, 2007 HSBC Securities (USA) Inc. (Order)
813-00387 IC-32834 Sep. 26, 2017 Hudson Advisors L.P., et al. (Order)
813-00387 IC-32804 Aug. 31, 2017 Hudson Advisors L.P., et al. (Notice)
812-13785 IC-30061 May 8, 2012 Huntington Asset Advisors, Inc., et al. (Order)
812-13785 IC-30032 Apr. 10, 2012 Huntington Asset Advisors, Inc., et al. (Notice)

I

File No. Release No. Date Investment Company
812-14846 IC-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)
812-14153 IC-30844 Dec. 23, 2013 IndexIQ ETF Trust, et al. (Notice)
812-14153 IC-30889 Jan. 22, 2014 IndexIQ ETF Trust, et al. (Order)
812-14053 IC-30843 Dec. 23, 2013 IndexIQ ETF Trust, et al. (Notice)
812-14053 IC-30888 Jan. 22, 2014 IndexIQ ETF Trust, et al. (Order)
812-13441 IC-28638 Feb. 27, 2009 IndexIQ ETF Trust, et al. (Notice)
812-13441 IC-28653 Mar. 20, 2009 IndexIQ ETF Trust, et al. (Order)
812-13909 IC-29754 Aug. 16, 2011 ING Asia Pacific High Dividend Equity Income Fund et al. (Order)
812-13909 IC-29735 Jul. 21, 2011 ING Asia Pacific High Dividend Equity Income Fund, et al. (Notice)
812-13074 IC-28329 Jul. 8, 2008 ING Clarion Real Estate Income Fund, et al. (Notice)
812-13074 IC-28352 Aug. 5, 2008 ING Clarion Real Estate Income Fund, et al. (Order)
812-14111 IC-30566 Jun. 24, 2013 ING Investments, LLC, et al. (Notice)
812-14111 IC-30603 Jul. 22, 2013 ING Investments, LLC, et al. (Order)
812-13538 IC-28693 Apr. 14, 2009 ING Investments, LLC (Order)
812-14013 IC-30295 Dec. 6, 2012 ING Investments, LLC, et al. (Notice)
812-14013 IC-30337 Jan. 2, 2013 ING Investments, LLC, et al. (Order)
812-13538 IC-28650 Mar. 17, 2009 ING Investments, LLC, et al. (Corrected Notice)
812-14033 IC-30431 Mar. 21, 2013 ING Life Insurance and Annuity Company, et al. (Notice)
812-14033 IC-30461 Apr. 12, 2013 ING Life Insurance and Annuity Company, et al. (Order)
812-13361 IC-27869 Jun. 20, 2007 ING Life Insurance and Annuity Company, et al. (Notice)
812-13361 IC-27885 Jul. 16, 2007 ING Life Insurance and Annuity Company, et al. (Order)
812-13600 IC-28646 Mar. 13, 2009 ING USA Annuity and Life Insurance Company, et al. (Notice)
812-13466 IC-28256 Apr. 28, 2008 ING USA Annuity and Life Insurance Company, et al. (Notice)
812-13600 IC-28687 Apr. 3, 2009 ING USA Annuity and Life Insurance Company, et al. (Order)
812-13466 IC-28285 May 23, 2008 ING USA Annuity and Life Insurance Company, et al. (Order)
812-14781 IC-32854 Oct. 6, 2017 Innovator Capital Management, LLC, et al. (Order)
812-14781 IC-32812 Sep. 11, 2017 Innovator ETFs Trust, et al. (Notice)
812-14782 IC-32856 Oct. 6, 2017 Innovator ETFs Trust, et al. (Order)
812-14782 IC-32811 Sep. 11, 2017 Innovator ETFs Trust, et al. (Notice)
812-14780 IC-32855 Oct. 6, 2017 Innovator ETFs Trust and Innovator Capital Management, LLC (Order)
812-14780 IC-32813 Sep. 11, 2017 Innovator ETFS Trust and Innovator Capital Management, LLC (Notice)
812-14532 IC-32026 Mar. 9, 2016 Innovator Management LLC and Academy Funds Trust (Order)
812-14308 IC-31248 Sep. 9, 2014 Innovator Management LLC Academy Funds Trust (Order)
812-14308 IC-31209 Aug. 13, 2014 Innovator Management LLC and Academy Funds Trust (Notice)
812-14532 IC-31996 Feb. 12, 2016 Innovator Management LLC, et al. (Notice)
812-13763 IC-29399 Aug. 25, 2010 The Integrity Funds, et al. (Notice)
812-13763 IC-29418 Sep. 21, 2010 The Integrity Funds, et al. (Order)
812-13690 IC-29171 Mar. 10, 2010 Integrity Life Insurance Company, et al (Notice)
812-13690 IC-29204 Apr. 7, 2010 Integrity Life Insurance Company, et al (Order)
812-13321 IC-27677 Jan. 24, 2007 Integrity Life Insurance Company, et al. (Notice)
812-13321 IC-27738 Feb. 23, 2007 Integrity Life Insurance Company, et al. (Order)
813-180-09 IC-30581 Jun. 26, 2013 Invesco Advisers, Inc., et al. (Notice)
813-180-09 IC-30609 Jul. 23, 2013 Invesco Advisers, Inc., et al. (Order)
812-13927 IC-30069 May 22, 2012 Invesco Total Property Market Income Fund, et al. (Order)
812-13927 IC-30055 Apr. 26, 2012 Invesco Total Property Market Income Fund, et al. (Notice)
812-13491 IC-28411 Sep. 29, 2008 Invesco PowerShares Capital Management LLC, et al. (Notice)
812-13491 IC-28467 Oct. 27, 2008 Invesco PowerShares Capital Management LLC, et al. (Order)
812-14635 IC-32224 Aug. 23, 2016 Investment Managers Series Trust, et al. (Order)
812-14635 IC-32195 Jul. 28, 2016 Investment Managers Series Trust, et al. (Notice)
812-13891 IC-29787 Sep. 13, 2011 Investment Managers Series Trust, et al. (Notice)
812-13891 IC-29833 Oct. 12, 2011 Investment Managers Series Trust, et al. (Order)
812-14478 IC-31989 Feb. 8, 2016 Investment Managers Series Trust, et al. (Order)
812-14478 IC-31954 Jan. 11, 2016 Investment Managers Series Trust, et al. (Notice)
812-14710 IC-32599 Apr. 17, 2017 Investment Managers Series Trust II and Vivaldi Asset Management, LLC (Order)
812-14710 IC-32536 Mar. 20, 2017 Investment Managers Series Trust II and Vivaldi Asset Management, LLC (Notice)
812-13728 IC-29093 Dec. 16, 2009 Investools Inc., et al. (Notice and Temporary Order)
812-13728 IC-29110 Jan. 12, 2010 Investools Inc., et al. (Order)
812-14678 IC-32235 Aug. 24, 2016 iShares Trust, et al. (Notice)
812-14678 IC-32268 Sep. 20, 2016 iShares Trust, et al. (Order)
812-13601 IC-29543 Dec. 27, 2010 iShares Trust et al. (Notice)
812-13570 IC-29129 Feb. 16, 2010 iShares Trust et al. (Notice)
812-13601 IC-29571 Jan. 24, 2011 iShares Trust et al. (Order)
812-13570 IC-29172 Mar. 10, 2010 iShares Trust et al. (Order)
812-14216 IC-31068 Jun. 2, 2014 Ivy Funds, et al. (Notice)
812-14216 IC-31138 Jun. 30, 2014 Ivy Funds, et al. (Order)
812-14210 IC-31013 Apr. 10, 2014 Ivy Funds, et al. (Notice)
812-14210 IC-31040 May 6, 2014 Ivy Funds, et al. (Order)
812-14114 IC-30427 Mar. 15, 2013 Ivy Funds Variable Insurance Portfolios, et al. (Notice)
812-14114 IC-30458 Apr. 10, 2013 Ivy Funds Variable Insurance Portfolios, et al. (Order)
812-14516 IC-31757 Aug. 13, 2015 Ivy NextShares, et al. (Notice)
812-14516 IC-31816 Sep. 9, 2015 Ivy NextShares, et al. (Order)

J

File No. Release No. Date Investment Company
812-13761 IC-31956 Jan. 14, 2016 J.P. Morgan Exchange-Traded Fund Trust, et al. (Notice)
812-13761 IC-31990 Feb. 9, 2016 J.P. Morgan Exchange-Traded Fund Trust, et al. (Order)
812-13760 IC-30898 Jan. 30, 2014 J.P. Morgan Exchange-Traded Fund Trust, et al. (Notice)
812-13760 IC-30927 Feb. 24, 2014 J.P. Morgan Exchange-Traded Fund Trust, et al. (Order)
812-14094 IC-30347 Jan. 9, 2013 J.P. Morgan Securities LLC, et al. (Notice and Temporary Order)
812-14094 IC-30380 Feb. 6, 2013 J.P. Morgan Securities LLC, et al. (Order)
812-13919 IC-29719 Jul. 11, 2011 J.P. Morgan Securities LLC, et al. (Notice)
812-13914 IC-29711 Jun. 29, 2011 J.P. Morgan Securities LLC, et al. (Notice)
812-13919 IC-29749 Aug. 8, 2011 J.P. Morgan Securities LLC, et al. (Order)
812-13914 IC-29737 Jul. 26, 2011 J.P. Morgan Securities LLC, et al. (Order)
812-13710 IC-29265 May 10, 2010 Jackson National Life Insurance Company of New York, et al. (Notice)
812-13710 IC-29293 Jun. 3, 2010 Jackson National Life Insurance Company of New York, et al. (Order)
812-13841 IC-29621 Mar. 31, 2011 Jackson National Life Insurance Company, et al. (Notice)
812-13765 IC-29442 Sep. 27, 2010 Jackson National Life Insurance Company, et al. (Notice)
812-13703 IC-29205 Apr. 7, 2010 Jackson National Life Insurance Company, et al. (Notice)
812-13584 IC-28890 Aug. 27, 2009 Jackson National Life Insurance Company, et al. (Notice)
812-13841 IC-29658 Apr. 25, 2011 Jackson National Life Insurance Company, et al. (Order)
812-13765 IC-29484 Oct. 25, 2010 Jackson National Life Insurance Company, et al. (Order)
812-13703 IC-29262 Apr. 30, 2010 Jackson National Life Insurance Company, et al. (Order)
812-13584 IC-28907 Sep. 22, 2009 Jackson National Life Insurance Company, et al. (Order)
812-13320 IC-27660 Jan. 16, 2007 Jackson National Life Insurance Company, et al. (Order)
812-13320 IC-27603 Dec. 19, 2006 Jackson National Life Insurance Company, et al. (Notice)
812-14401 IC-31544 Apr. 1, 2015 Janus ETF Trust, et al. (Notice)
812-14401 IC-31580 Apr. 28, 2015 Janus ETF Trust, et al. (Order)
812-13819 IC-31540 Mar. 30, 2015 Janus ETF Trust, et al. (Order)
812-13819 IC-31492 Mar. 3, 2015 Janus ETF Trust, et al. (Notice)
812-14412 IC-31808 Sep. 9, 2015 Janus Investment Fund, et al. (Order)
812-14412 IC-31753 Aug. 13, 2015 Janus Investment Fund, et al. (Notice)
812-14294 IC-31145 Jul. 2, 2014 Janus Investment Fund, et al. (Notice)
812-14294 IC-31192A Jul. 29, 2014 Janus Investment Fund, et al. (Order)
812-13425 IC-28350 Jul. 31, 2008 Javelin Exchange-Traded Trust, et al. (Notice)
812-13425 IC-28367 Aug. 26, 2008 Javelin Exchange-Traded Trust, et al. (Order)
813-228 IC-30037 Apr. 18, 2012 Jefferies Employees Special Opportunities Partners, LLC, et al. (Order)
813-228 IC-30007 Mar. 23, 2012 Jefferies Employees Special Opportunities Partners, LLC, et al. (Notice)
812-13452 IC-28191 Mar. 10, 2008 Jefferson National Life Insurance Company, et al. (Notice)
812-13342 IC-27779 Apr. 6, 2007 Jefferson National Life Insurance Company, et al. (Notice)
812–13452 IC-28234 Apr. 3, 2008 Jefferson National Life Insurance Company, et al. (Order)
812-13342 IC-27813 Apr. 30, 2007 Jefferson National Life Insurance Company, et al. (Order)
812-14624 IC-32526 Mar. 7, 2017 Jeffrey LLC (Notice)
812-14624 IC-32590 Apr. 4, 2017 Jeffrey LLC (Order)
812-13419 IC-28010 Oct. 2, 2007 JNF Advisors, Inc. and Northern Lights Variable Trust (Notice)
812-13419 IC-28038 Oct. 29, 2007 JNF Advisors, Inc. and Northern Lights Variable Trust (Order)
812-14270 IC-31297 Oct. 20, 2014 JNL Series Trust, JNL Investors Series Trust, Curian Series Trust, Curian Variable Series Trust, JNL Variable Fund LLC, JNL Strategic Income Fund LLC, Jackson National Asset Management, LLC and Curian Capital, LLC (Order)
812-14270 IC-31261 Sep. 24, 2014 JNL Series Trust, et al. (Notice)
812-13683 IC-31546 Apr. 2, 2015 John Hancock Exchange-Traded Fund Trust, et al. (Notice)
812-13683 IC-31581 Apr. 28, 2015 John Hancock Exchange-Traded Fund Trust, et al. (Order)
812-13734 IC-30469 Apr. 18, 2013 John Hancock Exchange-Traded Fund Trust, et al. (Notice)
812-13734 IC-30518 May 14, 2013 John Hancock Exchange-Traded Fund Trust, et al. (Order)
812-13357-01 IC-28372 Aug. 29, 2008 John Hancock Income Securities Trust, et al. (Notice)
812-13357-01 IC-28389 Sep. 24, 2008 John Hancock Income Securities Trust, John Hancock Investors Trust, John Hancock Patriot Premium Dividend Fund II, John Hancock Preferred Income Fund, John Hancock Preferred Income Fund II, John Hancock Preferred Income Fund III, John Hancock Tax-Advantaged Dividend Income Fund, John Hancock Tax-Advantaged Global Shareholder Yield Fund, and John Hancock Advisers, LLC (Order)
812-13414 IC-28065 Nov. 26, 2007 John Hancock Life Insurance Company (U.S.A.), et al. (Notice)
812-13414 IC-28081 Dec. 21, 2007 John Hancock Life Insurance Company (U.S.A.), et al. (Order)
812-13318 IC-27781 Apr. 16, 2007 John Hancock Life Insurance Company (U.S.A.), John Hancock Life Insurance Company (U.S.A.) Separate Account H, John Hancock Life Insurance Company of New York, and John Hancock Life Insurance Company of New York Separate Account A (Order)
812-13318 IC-27752 Mar. 19, 2007 John Hancock Life Insurance Company, et al. (Notice)
812-13341 IC-27873 Jun. 26, 2007 John Hancock Trust, el al. (Order)
812-13341 IC-27848 May 30, 2007 John Hancock Trust, et al. (Notice)
812-13621 IC-29865 Nov. 18, 2011 John Hancock Variable Insurance Trust, et al. (Notice)
812-13621 IC-29885 Dec. 14, 2011 John Hancock Variable Insurance Trust, et al. (Order)
812-14466 IC-31674 Jun. 16, 2015 J.P. Morgan Chase & Co., et al. (Order)
812-14466 IC-31613 May 20, 2015 J.P. Morgan Chase & Co., et al. (Notice)
813-370 IC-30465 Apr. 16, 2013 JPMorgan Chase & Co., et al. (Notice)
813-370 IC-30520 May 14, 2013 JPMorgan Chase & Co., et al. (Order)
812-13418 IC-28183 Mar. 4, 2008 JPMorgan Trust I, et al. (Notice)
812-13418 IC-28230 Apr. 1, 2008 JPMorgan Trust I, et al. (Order)

K

File No. Release No. Date Investment Company
812-14363 IC-31645 May 21, 2015 KCAP Financial, Inc. (Notice)
812-14363 IC-31676 Jun. 16, 2015 KCAP Financial, Inc. (Order)
813-367 IC-28047 Nov. 15, 2007 Kiewit Investment Fund LLLP (Notice)
813-367 IC-28076 Dec. 11, 2007 Kiewit Investment Fund LLLP (Order)
812-13745 IC-29270 May 17, 2010 Kinetics Mutual Funds, Inc., et al. (Notice)
812-13745 IC-29297 Jun. 14, 2010 Kinetics Mutual Funds, Inc., et al. (Order)
812-14124 IC-30905 Feb. 4, 2014 KKR Series Trust and Prisma Capital Partners LP (Notice)
812-14124 IC-30973 Mar. 4, 2014 KKR Series Trust and Prisma Capital Partners LP (Order)
812-13882 IC-29975 Mar. 5, 2012 Kohlberg Capital Corporation (Notice)
812-13882 IC-29975 Mar. 5, 2012 Kohlberg Capital Corporation (Notice)
812-13623 IC-29376 Aug. 3, 2010 Kohlberg Capital Corporation (Notice)
812-13368 IC-28228 Mar. 28, 2008 Kohlberg Capital Corporation (Notice)
812-13367 IC-28168 Feb. 25, 2008 Kohlberg Capital Corporation (Notice)
812-13882 IC-30011 Mar. 27, 2012 Kohlberg Capital Corporation (Order)
812-13623 IC-29407 Aug. 31, 2010 Kohlberg Capital Corporation (Order)
812-13368 IC-28239 Apr. 23, 2008 Kohlberg Capital Corporation (Order)
812-13367 IC-28199 Mar. 24, 2008 Kohlberg Capital Corporation (Order)
813-382 IC-31070 Jun. 3, 2014 Kohlberg Kravis Roberts & Co. L.P., et al. (Notice)
813-382 IC-31141 Jul. 1, 2014 Kohlberg Kravis Roberts & Co. L.P. et al. (Order)
812-13752 IC-29332 Jun. 25, 2010 Korea Finance Corporation (Notice)
812-13752 IC-29343 Jul. 20, 2010 Korea Finance Corporation (Order)
812-14143 IC-30693 Sep. 23, 2013 The KP Funds and Callan Associates Inc. (Notice)
812-14143 IC-30748 Oct. 21, 2013 The KP Funds and Callan Associates Inc. (Order)
812-14142 IC-30545 Jun. 3, 2013 KP Funds, et al. (Notice)
812-14142 IC-30586 Jul. 1, 2013 KP Funds, et al. (Order)
812-14675 IC-32412 Jan. 4, 2017 Krane Funds Advisors, LLC, et al. (Notice)
812-14675 IC-32455 Jan. 27, 2017 Krane Funds Advisors, LLC, , et al. (Order)
812-13989 IC-30425 Mar. 14, 2013 Krane Funds Advisors LLC., et al. (Notice)
812-13989 IC-30452 Apr. 8, 2013 Krane Fund Advisors LLC, et al. (Order)
812-14284 IC-31144 Jul. 2, 2014 KraneShares Trust and Krane Funds Advisors, LLC (Notice)
812-14284 IC-31190 Jul. 29, 2014 KraneShares Trust and Krane Funds Advisors, LLC (Order)

L

File No. Release No. Date Investment Company
812-14318 IC-31343 Nov. 20, 2014 Lattice Strategies, LLC, et al. (Notice)
812-14318 IC-31380 Dec. 16, 2014 Lattice Strategies, LLC, et al. (Order)
812-13218 IC-29331 Jun. 24, 2010 Lazard Global Total Return and Income Fund, Inc., et al. (Notice)
812-13218 IC-29344 Jul. 21, 2010 Lazard Global Total Return and Income Fund, Inc., et al. (Order)
812-14473 IC-31959 Jan. 15, 2016 Leaning Pine II, L.L.C. (Notice)
812-14473 IC-31992 Feb. 10, 2016 Leaning Pine II, L.L.C. (Order)
812-14547 IC-32391 Dec. 13, 2016 Legg Mason ETF Equity Trust, et al. (Order)
812-14547 IC-32360 Nov. 16, 2016 Legg Mason ETF Equity Trust, et al. (Notice)
812-13757 IC-30265 Nov. 16, 2012 Legg Mason ETF Trust, et al. (Order)
812-14583 IC-32300 Oct. 3, 2016 Legg Mason Global Asset Management Trust, et al. (Notice)
812-14583 IC-32354A Nov. 7, 2016 Legg Mason Global Asset Management Trust, et al. (Order)
812-14127 IC-30923 Feb. 24, 2014 Legg Mason Partners Equity Trust, et al. (Notice)
812-14127 IC-30990 Mar. 24, 2014 Legg Mason Partners Equity Trust, et al. (Order)
812-13757 IC-30237 Oct. 22, 2012 Legg Mason Partners Equity Trust, et al. (Notice)
812-13892 IC-29789 Sep. 15, 2011 Legg Mason Partners Equity Trust, et al. (Notice)
812-13681 IC-29192 Mar. 26, 2010 Legg Mason Partners Equity Trust, et al. (Notice)
812-13892 IC-29835 Oct. 12, 2011 Legg Mason Partners Equity Trust, et al. (Order)
812-13681 IC-29255 Apr. 21, 2010 Legg Mason Partners Equity Trust, et al. (Order)
812-14491 IC-31895 Nov. 5, 2015 Legg Mason Partners Fund Advisor, LLC, et al. (Notice)
812-14491 IC-31920 Dec. 1, 2015 Legg Mason Partners Fund Advisor, LLC, et al. (Order)
812-12973 IC-27920 Aug. 1, 2007 Lehman Brothers Asset Management LLC, et al. (Notice)
812-12973 IC-27957 Aug. 28, 2007 Lehman Brothers Asset Management LLC, et al. (Order)
812-13327 IC-27741 Feb. 27, 2007 Liberty All-Star Equity Fund, et al. (Notice)
812-13327 IC-27769 Mar. 27, 2007 Liberty All-Star Equity Fund, Liberty All-Star Growth Fund, Inc., and ALPS Advisers, Inc. (Order)
812-13732 IC-29170 Mar. 9, 2010 Lincoln Investment Advisors Corporation, et al. (Notice)
812-13732 IC-29197 Mar. 31, 2010 Lincoln Investment Advisors Corporation, et al. (Order)
812-14063 IC-30468 Apr. 18, 2013 Lincoln National Life Insurance Company, et al (Notice)
812-14063 IC-30517 May 14, 2013 Lincoln National Life Insurance Company, et al. (Order)
812-13660 IC-29168 Mar. 5, 2010 Lincoln Variable Insurance Products Trust, et al. (Notice)
812-13287 IC-27821 May 11, 2007 Lincoln Variable Insurance Products Trust, et al. (Notice)
812-13660 IC-29196 Mar. 31, 2010 Lincoln Variable Insurance Products Trust, et al. (Order)
812-13287 IC-27850 Jun. 4, 2007 Lincoln Variable Insurance Products Trust, et al. (Order)
812-14845 IC-33035 Feb. 26, 2018 Little Harbor Advisors, LLC and ETF Series Solutions (Notice)
812-14845 IC-33057 Mar. 26, 2018 Little Harbor Advisors, LLC and ETF Series Solutions (Order)
812-14395 IC-31768 Aug. 25, 2015 Little Harbor Multistrategy Composite Fund Little and Harbor Advisors, LLC (Order)
812-14395 IC-31726 Jul. 28, 2015 Little Harbor MultiStrategy Composite Fund and Little Harbor Advisors, LLC (Notice)
812-14085 IC-30523 May 15, 2013 LocalShares Investment Trust, et al. (Notice)
812-14085 IC-30555 Jun. 11, 2013 LocalShares Investment Trust, et. al. (Order)
812-14540 IC-32036 Mar. 22, 2016 LoCorr Fund Management, LLC and LoCorr Investment Trust (Order)
812-14540 IC-32005 Feb. 24, 2016 LoCorr Fund Management, LLC and LoCorr Investment Trust (Notice)
812-13913 IC-30168 Aug. 14, 2012 LoCorr Fund Management, LLC and LoCorr Investment Trust (Notice)
812-13913 IC-30199 Sep. 11, 2012 LoCorr Fund Management, LLC and LoCorr Investment Trust (Order)
812-14047 IC-30297 Dec. 6, 2012 Lord, Abbett & Co. LLC, et al. (Notice)
812-14047 IC-30334 Dec. 28, 2012 Lord, Abbett & Co. LLC, et al. (Order)
812-14502 IC-32192 Jul. 26, 2016 Lord Abbett Family of Funds and Lord, Abbett & Co. LLC (Order)
812-14502 IC-32167 Jun. 29, 2016 Lord Abbett Family of Funds and Lord, Abbett & Co. LLC (Notice)

M

File No. Release No. Date Investment Company
812-14460 IC-31734 Aug. 3, 2015 Macquarie Capital (USA) Inc., et al. (Order)
812-14460 IC-31704 Jul. 6, 2015 Macquarie Capital (USA) Inc., et al. (Notice and Temporary Order)
812-14460 IC-31602 May 15, 2015 Macquarie Capital (USA) Inc., et al (Temporary Order)
812-13397 IC-28611 Feb. 3, 2009 Macquarie Global Infrastructure Total Return Fund Inc., et al. (Order)
812-13397 IC-28579 Jan. 6, 2009 Macquarie Global Infrastructure Total Return Fund, Inc., et al. (Notice)
812-13653 IC-29068 Dec. 7, 2009 Madison Asset Management, LLC, et al. (Notice)
812-13653 IC-29099 Dec. 29, 2009 Madison Asset Management, LLC, et al. (Order)
812-14527 IC-32120 May 23, 2016 Madison ETF Trust and Madison ETF Advisers, LLC (Order)
812-14528 IC-32100 May 2, 2016 Madison ETF Trust and Madison ETF Advisers, LLC (Order)
812-14527 IC-32093 Apr. 25, 2016 Madison ETF Trust and Madison ETF Advisers, LLC. (Notice)
812-14528 IC-32065 Apr. 4, 2016 Madison ETF Trust and Madison ETF Advisers, LLC (Notice)
812-14360 IC-31597 May 11, 2015 The MainStay Funds, et al. (Notice)
812-14360 IC-31663 Jun. 8, 2015 The MainStay Funds, et al. (Order)
812-13257 IC-27595 Dec. 11, 2006 The MainStay Funds, et al. (Notice)
812-13257 IC-27656 Jan. 8, 2007 The Mainstay Funds, Mainstay VP Series Fund, Inc., New York Life Investment Management LLC (Order)
812-13804 IC-29922 Jan. 17, 2012 Main Street Capital Corporation, et al. (Notice)
812-13804 IC-29922 Jan. 17, 2012 Main Street Capital Corporation, et al. (Notice)
812-13649 IC-28726 May 19, 2009 Main Street Capital Corporation, et al. (Notice)
812-13438 IC-28265 May 8, 2008 Main Street Capital Corporation, et al. (Notice)
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)
812-13475 IC-28284 May 22, 2008 Matrix Capital Group, Inc., et al. (Notice)
812-13475 IC-28300 Jun. 17, 2008 Matrix Capital Group, Inc., et al. (Order)
812-14058 IC-31045 May 13, 2014 Matthews A Share Selections Fund, LLC, et al. (Order)
812-14058 IC-31020 Apr. 17, 2014 Matthews A Share Selections Fund, LLC, et al. (Notice)
812-13694 IC-29191 Mar. 25, 2010 MCG Capital Corporation (Notice)
812-13694 IC-29210 Apr. 20, 2010 MCG Capital Corporation (Order)
812-13428 IC-28427 Sep. 30, 2008 MCG Capital Corporation, et al. (Notice)
812-13428 IC-28474 Oct. 28, 2008 MCG Capital Corporation, et al. (Order)
812-14433 IC-32017 Mar. 1, 2016 Medallion Financial Corp. (Order)
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)
812-14093 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)
812-14804 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)
812-14059 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)
812-13444 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)
812-14290 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)
812-14799 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)
812-13707 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)
812-14690 IC-32426 Jan. 18, 2017 Northern Lights Fund Trust IV and Blue Sky Asset Management, LLC (Order)
812-14690 IC-32401 Dec. 23, 2016 Northern Lights Fund Trust IV and Blue Sky Asset Management, LLC (Notice)
812-14747 IC-32686 Jun. 20, 2017 Northern Lights Fund Trust IV and Main Management ETF Advisors, LLC (Order)
812-14747 IC-32662 May 25, 2017 Northern Lights Fund Trust IV and Main Management ETF Advisors, LLC (Notice)
812-14797 IC-32835 Sep. 26, 2017 Northern Lights Fund Trust IV and Measured Risk Portfolios, Inc. (Order)
812-14797 IC-32803 Aug. 31, 2017 Northern Lights Fund Trust IV and Measured Risk Portfolios, Inc. (Notice)
812-14285 IC-32032 Mar. 21, 2016 Northern Lights Fund Trust and Princeton Fund Advisors, LLC (Notice)
812-14285 IC-32079 Apr. 19, 2016 Northern Lights Fund Trust and Princeton Fund Advisors, LLC (Order)
812-14519 IC-31978 Feb. 2, 2016 Northern Lights Fund Trust, et. al (Order)
812-14519 IC-31952 Jan. 4, 2016 Northern Lights Fund Trust, et al. (Notice)
812-14297 IC-31087 Jun. 18, 2014 Northern Lights Fund Trust, et al. (Notice)
812-14297 IC-31154 Jul. 15, 2014 Northern Lights Fund Trust, et al. (Order)
812-13786 IC-29452 Sep. 30, 2010 Northern Lights Fund Trust, et al. (Notice)
812-13651 IC-29208 Apr. 16, 2010 Northern Lights Fund Trust, et al. (Notice)
812-13786 IC-29487 Oct. 26, 2010 Northern Lights Fund Trust, et al. (Order)
812-13651 IC-29267 May 12, 2010 Northern Lights Fund Trust, et al. (Order)
812-14032 IC-31222 Aug. 26, 2014 Northern Lights Fund Trust II and North Peak Asset Management LLC (Notice)
812-13863 IC-29757 Aug. 16, 2011 Northern Lights Variable Trust, et al. (Order)
812-13863 IC-29729 Jul. 19, 2011 Northern Lights Variable Trust, et. al. (Notice)
812-14708 IC-32524 Mar. 7, 2017 NorthStar/Townsend Institutional Real Estate Fund Inc., et al. (Order)
812-14708 IC-32472 Feb. 7, 2017 NorthStar/Townsend Institutional Real Estate Fund Inc., et al. (Notice)
812-14289 IC-31299 Oct. 21, 2014 Northern Trust Investments, Inc., Flexshares Trust, and Foreside Fund Services, LLC (Order)
812-14289 IC-31264 Sep. 25, 2014 Northern Trust Investments, Inc., et al. (Notice)
812-13968 IC-30240 Oct. 23, 2012 Northern Trust Investments, Inc., et al. (Order)
812-13968 IC-30211 Sep. 24, 2012 Northern Trust Investments, Inc., et al. (Notice)
812-13868 IC-30068 May 22, 2012 Northern Trust Investments, Inc., et al. (Order)
812-13868 IC-30045 Apr. 24, 2012 Northern Trust Investments, Inc., et al. (Notice)
812-13773 IC-29752 Aug. 10, 2011 Northern Trust Investments, Inc., et al. (Notice)
812-13773 IC-29782 Sep. 6, 2011 Northern Trust Investments, Inc., et al. (Order)
812-14708 IC-32472 Feb. 7, 2017 NorthStar/Townsend Institutional Real Estate Fund Inc., et al. (Notice)
812-14128 IC-30671 Aug. 22, 2013 The Northwestern Mutual Life Insurance Company, et al. (Notice)
812-14128 IC-30690 Sep. 18, 2013 The Northwestern Mutual Life Insurance Company, et al. (Order)
812-13982 IC-29967 Feb. 27, 2012 Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Order)
812-13982 IC-29939 Jan. 30, 2012 Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Notice)
812-13982 IC-29967 Feb. 27, 2012 Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Order)
812-13982 IC-29939 Jan. 31, 2012 Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Notice)
812-13839 IC-29522 Dec. 8, 2010 Nuveen Asset Management, et al. (Notice)
812-13839 IC-29546 Dec. 30, 2010 Nuveen Asset Management, et al. (Order)
812-14428 IC-31705 Jul. 6, 2015 Nuveen ETF Trust, et al. (Order)
812-14619 IC-32359 Nov. 16, 2016 Nuveen Fund Advisors, LLC, et al. (Order)
812-14619 IC-32322 Oct. 21, 2016 Nuveen Fund Advisors, LLC, et al. (Notice)
812-14557 IC-32111 May 10, 2016 Nuveen Fund Advisers, LLC et al. (Order)
812-14557 IC-32069 Apr. 12, 2016 Nuveen Fund Advisors, LLC, et al. (Notice)
812-14258 IC-31924 Dec. 2, 2015 Nuveen Fund Advisors, LLC, et al. (Notice)
812-14258 IC-31950 Dec. 29, 2015 Nuveen Fund Advisors, LLC, et al. (Order)
812-14428 IC-31664 Jun. 8, 2015 Nuveen Fund Advisors, LLC, et al. (Notice)
812-14215 IC-30883 Jan. 16, 2014 Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC (Notice)
812-14215 IC-30913 Feb. 11, 2014 Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC (Order)
812-13619 IC-28758 Jun. 4, 2009 Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Notice) (Comments received are available.)
812-13619 IC-28893 Aug. 28, 2009 Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Order)

O

File No. Release No. Date Investment Company
812-14758 IC-32862 Oct. 18, 2017 Oaktree Strategic Income, LLC, et al. (Order)
812-14758 IC-32831 Sep. 22, 2017 Oaktree Strategic Income, LLC, et al. (Notice)
812-14602 IC-32312 Oct. 12, 2016 OFS Capital Corporation, et al. (Order)
812-14602 IC-32259 Sep. 13, 2016 OFS Capital Corporation, et al. (Notice)
812-14185 IC-30771 Oct. 30, 2013 OFS Capital Corporation, et al. (Notice)
812-14185 IC-30812 Nov. 26, 2013 OFS Capital Corporation, et al. (Order)
812-14482 IC-32061 Mar. 30, 2016 OHA Investment Corporation, et al. (Notice)
812-14482 IC-32094 Apr. 25, 2016 OHA Investment Corporation, et al. (Order)
812-14182 IC-30895 Jan. 28, 2014 The Ohio National Life Insurance Company, et al. (Notice)
812-14182 IC-30925 Feb. 24, 2014 The Ohio National Life Insurance Company, et al. (Order)
812-13614 IC-28847 Aug. 13, 2009 Old Mutual Global Shares Trust, et al. (Notice)
812-13614 IC-28898 Sep. 9, 2009 Old Mutual Global Shares Trust, et al. (Order)
812-13286 IC-27837 May 23, 2007 Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Order)
812-13286 IC-27807 Apr. 27, 2007 Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Notice)
812-14726 IC-32872 Oct. 25, 2017 Olden Lane Securities, LLC and Olden Lane Trust (Order)
812-14726 IC-32845 Sep. 29, 2017 Olden Lane Securities LLC and Olden Lane Trust (Notice)
812-14436-01 IC-32619 May 1, 2017 Olden Lane Securities LLC and Olden Lane Trust (Order)
812-14436-01 IC-32589 Apr. 3, 2017 Olden Lane Securities LLC and Olden Lane Trust (Notice)
812-13504 IC-28851 Aug. 25, 2009 OOK, Inc., et al. (Notice)
812-13504 IC-28902 Sep. 17, 2009 OOK, Inc., et al. (Order)
813-356 IC-27612 Dec. 27, 2006 Opal Private Equity Fund, L.P. et al. (Notice)
813-356 IC-27675 Jan. 23, 2007 Opal Private Equity Fund, LP, and Schottenstein, Zox and Dunn Co., L.P.A. (Order)
812-14749 IC-32972 Jan. 23, 2018 Oppenheimer Capital Appreciation Fund, et al. (Order)
812-14749 IC-32956 Dec. 27, 2017 Oppenheimer Capital Appreciation Fund et al. (Notice)
812-14248 IC-32891 Oct. 31, 2017 OppenheimerFunds, Inc., et al. (Order)
812-14248 IC-32849 Oct. 4, 2017 OppenheimerFunds, Inc., et al. (Notice)
812-14643 IC-32204 Aug. 2, 2016 OSI ETF Trust, et al. (Notice)
812-14585 IC-32247 Aug. 30, 2016 OSI ETF Trust, et al. (Order)
812-14485 IC-32396 Dec. 20, 2016 OWLshares Trust, et al. (Order)
812-14485 IC-32363 Nov. 22, 2016 OWLshares Trust, et al. (Notice)
812-14568 IC-32469 Feb. 7, 2017 Owl Rock Capital Corporation, et al.(Order)
812-14568 IC-32422 Jan. 11, 2017 Owl Rock Capital Corporation, et al. (Notice)

P

File No. Release No. Date Investment Company
812-14000 IC-30241 Oct. 23, 2012 PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. (Order)
812-14000 IC-30224 Sep. 27, 2012 PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. (Notice)
812-14347 IC-31394 Dec. 22, 2014 Pacer Funds Trust, et al. (Notice)
812-14347 IC-31422 Jan. 20, 2015 Pacer Funds Trust, et al. (Order)
812-13571 IC-28993 Nov. 10, 2009 Pacific Investment Management Company LLC (Order)
812-13571 IC-28949 Oct. 20, 2009 Pacific Investment Management Company LLC and PIMCO ETF Trust (Notice)
812-13555 IC-28723 May 11, 2009 Pacific Investment Management Company LLC and PIMCO ETF Trust (Notice)
812-13555 IC-28752 Jun. 1, 2009 Pacific Investment Management Company LLC and PIMCO ETF Trust (Order)
812-14359 IC-31499 Mar. 6, 2015 Pacific Life Insurance Company, et al. (Order)
812-14359 IC-31451 Feb. 9, 2015 Pacific Life Insurance Company, Et Al (Notice)
812-14141 IC-30744 Oct. 17, 2013 Pacific Life Insurance Company, et al (Notice)
812-14141 IC-30777 Nov. 8, 2013 Pacific Life Insurance Company, et al. (Order)
812-13962 IC-29944 Feb. 13, 2012 Pacific Life Insurance Company, et al. (Notice)
812-13962 IC-29944 Feb. 13, 2012 Pacific Life Insurance Company, et al. (Notice)
812-13962 IC-29979 Mar. 12, 2012 Pacific Life Insurance Company, et al. (Order)
812-13962 IC-29979 Mar. 12, 2012 Pacific Life Insurance Company, et al. (Order)
812-14709 IC-32595 Apr. 5, 2017 Parker Global Strategies, LLC, et al. (Order)
812-14709 IC-32528 Mar. 10, 2017 Parker Global Strategies, LLC (Notice)
812-14147 IC-31046 May 14, 2014 Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc. (Notice)
812-14147 IC-31075 Jun. 10, 2014 Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc. (Order)
812-14193-01 IC-32726 Jul. 6, 2017 Partners Group Private Equity (Master Fund), LLC, et al. (Order)
812-14193-01 IC-32667 Jun. 1, 2017 Partners Group (USA) Inc., et al. (Notice)
812-13348 IC-28176 Feb. 28, 2008 Patriot Capital Funding, Inc. (Notice)
812-13348 IC-28200 Mar. 25, 2008 Patriot Capital Funding, Inc. (Order)
812-13883 IC-29751 Aug. 10, 2011 Pax World Funds Series Trust I, et al. (Notice)
812-13883 IC-29783 Sep. 7, 2011 Pax World Funds Series Trust I, et al. (Order)
812-13702 IC-29257 Apr. 26, 2010 Pax World Funds Trust II, et al. (Notice)
812-13503 IC-28834 Jul. 22, 2009 Pax World Funds Trust II, et al. (Notice)
812-13702 IC-29269 May 17, 2010 Pax World Funds Trust II, et al. (Order)
812-13503 IC-28846 Aug. 13, 2009 Pax World Funds Trust II, et al. (Order)
813-248 IC-30143 Jul. 20, 2012 P.E. Partners III, LLC, et al. (Notice)
813-248 IC-30170 Aug. 16, 2012 P.E. Partners III, LLC, et al. (Order)
812-13401 IC-28328 Jul. 2, 2008 The Penn Mutual Life Insurance Company, et al. (Notice)
812-13401 IC-28342 Jul. 25, 2008 The Penn Mutual Life Insurance Company, et al. (Order)
812-14134 IC-30985 Mar. 19, 2014 PennantPark Investment Corp., et al. (Notice)
812-14134 IC-31015 Apr. 15, 2014 PennantPark Investment Corp., et al. (Order)
812-13772 IC-29665 May 6, 2011 PennantPark Investment Corporation, et al. (Notice)
812-13772 IC-29686 Jun. 1, 2011 PennantPark Investment Corporation, et al. (Order)
812-14011 IC-30228 Oct. 9, 2012 Permal Hedge Strategies Fund, et al. (Notice)
812-14011 IC-30257 Nov. 5, 2012 Permal Hedge Strategies Fund, et al. (Order)
812-14251 IC-31284 Oct. 10, 2014 Persimmon Capital Management LP and Northern Lights Fund Trust III (Order)
812-14251 IC-31218 Aug. 19, 2014 Persimmon Capital Management LP and Northern Lights Fund Trust III (Notice)
812-14815 IC-33121 Jun. 13, 2018 PFM Multi-Manager Series Trust and PFM Asset Management LLC (Order)
812-14815 IC-33098 May 15, 2018 PFM Multi-Manager Series Trust and PFM Asset Management LLC (Notice)
812-13526 IC-28375 Sep. 3, 2008 Phoenix Equity Trust, et al. (Notice)
812-13526 IC-28410 Sep. 29, 2008 Phoenix Equity Trust, et al. (Order)
812-13564 IC-28686 Apr. 3, 2009 Phoenix Life Insurance Company, et al. (Notice)
812-13564 IC-28714 Apr. 28, 2009 Phoenix Life Insurance Company, et al. (Order)
812-14715 IC-32685 Jun. 20, 2017 PIMCO Equity Series, Pacific Investment Management Company LLC, and PIMCO Investments LLC (Order)
812-14715 IC-32661 May 25, 2017 PIMCO Equity Series, et al. (Notice)
812-14756 IC-32867 Oct. 23, 2017 PIMCO Funds, et al. (Notice)
812-14756 IC-32903 Nov. 20, 2017 PIMCO Funds, et al. (Order)
812-13513 IC-28331 Jul. 17, 2008 PIMCO Funds, et al. (Notice)
812-13513 IC-28356 Aug. 12, 2008 PIMCO Funds, et al. (Order)
812-13381 IC-28370 Aug. 29, 2008 PIMCO Municipal Income Fund, et al. (Notice)
812-13381 IC-28412 Sep. 29, 2008 PIMCO Municipal Income Fund, et al. (Order)
812-13727 IC-29198 Mar. 31, 2010 Pioneer Bond Fund, et al. (Notice)
812-13427 IC-28144 Feb. 5, 2008 Pioneer Bond Fund, et al. (Notice)
812-13727 IC-29259 Apr. 27, 2010 Pioneer Bond Fund, et al. (Order)
812-13427 IC-28182 Mar. 4, 2008 Pioneer Bond Fund, et al. (Order)
812-13432-02 IC-28947 Oct. 16, 2009 Pioneer Diversified High Income Trust, et al. (Notice)
812-13432-02 IC-28995 Nov. 10, 2009 Pioneer Diversified High Income Trust, et al. (Order)
812-14504 IC-31756 Aug. 13, 2015 Pioneer ETMF Series Trust I, Pioneer Investment Management, Inc. and Pioneer Funds Distributor, Inc. (Order)
812-14504 IC-31718 Jul. 16, 2015 Pioneer ETMF Series Trust I (Notice)
812-13636 IC-28998 Nov. 20, 2009 Pioneer Floating Rate Trust and Pioneer High Income Trust (Notice)
812-13636 IC-29070 Dec. 15, 2009 Pioneer Floating Rate Trust and Pioneer High Income Trust (Order)
812-14662 IC-33108 May 24, 2018 Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc. (Notice)
812-14662 IC-33127 Jun. 19, 2018 Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc. (Order)
812-13640 IC-29066 Dec. 3, 2009 PNC Bank, National Association (Notice)
812-13640 IC-29100 Dec. 29, 2009 PNC Bank, National Association (Order)
812-14055 IC-30298 Dec. 6, 2012 PNC Capital Advisors, LLC, et al. (Notice)
812-14055 IC-30333 Dec. 28, 2012 PNC Capital Advisors, LLC, et al. (Order)
812-14056 IC-30239 Oct. 23, 2012 PNC Capital Advisors, LLC, et al. (Notice)
812-14056 IC-30271 Nov. 20, 2012 PNC Capital Advisors, LLC, et al. (Order)
812-14530 IC-31976 Feb. 1, 2016 PNC Funds, et al. (Notice)
812-14530 IC-32010 Feb. 29, 2016 PNC Funds, et al. (Order)
812-14763 IC-32781 Aug. 15, 2017 Point Bridge Capital, LLC and ETF Series Solutions (Order)
812-14763 IC-32738 Jul. 21, 2017 Point Bridge Capital, LLC, et al. (Notice)
812-14577 IC-32064 Apr. 4, 2016 Pointbreak Advisers LLC, et al. (Order)
812-14577 IC-32023 Mar. 7, 2016 Pointbreak Advisers LLC, et al. (Notice)
812-14499 IC-31921 Dec. 1, 2015 Pointbreak Advisers LLC et al. (Order)
812-14499 IC-31894 Nov. 5, 2015 Pointbreak Advisers LLC, et al. (Notice)
812-14416 IC-31862 Oct. 7, 2015 Pomona Investment Fund, et al. (Order)
812-14416 IC-31819 Sep. 11, 2015 Pomona Investment Fund, et al. (Notice)
812-13386 IC-28140 Feb. 1, 2008 PowerShares Capital Management LLC, et al. (Notice)
812-13386 IC-28171 Feb. 27, 2008 PowerShares Capital Management LLC, et al. (Order)
812-14442 IC-32035 Mar. 22, 2016 PowerShares Exchange-Traded Fund Trust, et al. (Order)
812-14442 IC-32006 Feb. 25, 2016 PowerShares Exchange-Traded Fund Trust, et al. (Notice)
812-13820 IC-30238 Oct. 23, 2012 PowerShares Exchange-Traded Fund Trust, PowerShares Exchange-Traded Fund Trust II, PowerShares Actively Managed Exchange-Traded Fund Trust, and Invesco PowerShares Capital Management LLC (Order)
812-13820 IC-30222 Sep. 26, 2012 PowerShares Exchange-Traded Fund Trust, et al. (Notice)
812-13335 IC-27811 Apr. 30, 2007 PowerShares Exchange-Traded Fund Trust, et al. (Notice)
812-13604 IC-28760 Jun. 8, 2009 PowerShares Exchange-Traded Fund Trust, et al. (Notice)
812-13343 IC-27693 Jan. 31, 2007 PowerShares Exchange-Traded Fund Trust, et al. (Notice)
812-13604 IC-28813 Jul. 7, 2009 PowerShares Exchange-Traded Fund Trust, et al. (Order)
812-13335 IC-27841 May 25, 2007 PowerShares Exchange-Traded Fund Trust, et al. (Order)
812-13343 IC-27743 Feb. 27, 2007 PowerShares Exchange-Traded Fund Trust, PowerShares Capital Management LLC, and AIM Distributors, Inc. (Order)
812-14574 IC-32025 Mar. 8, 2016 PowerShares Exchange-Traded Self-Indexed Fund Trust, et al. (Order)
812-14574 IC-31995 Feb. 11, 2016 PowerShares Exchange-Traded Self-Indexed Fund Trust, et al. (Notice)
812-13627 IC-30066 May 21, 2012 Praxis Mutual Funds, et al. (Order)
812-13627 IC-30042 Apr. 23, 2012 Praxis Mutual Funds, et al. (Notice)
812-14584 IC-32622 May 2, 2017 Precidian ETFs Trust, et al. (Order)
812-14584 IC-32596 Apr. 5, 2017 Precidian ETFs Trust, et al. (Notice)
812-14116 IC-31336 Nov. 14, 2014 Precidian ETFs Trust, et al. (Order)
812-14116 IC-31300 Oct. 21, 2014 Precidian ETFs Trust, et al. (Notice)
812-13981 IC-30129 Jul. 5, 2012 Precidian ETFs Trust, et al. (Order)
812-13981IC-30101 Jun. 8, 2012 Precidian ETFs Trust, et al. (Notice)
812-13818 IC-29692 Jun. 9, 2011 Precidian ETFs Trust, et al. (Notice)
812-13818 IC-29712 Jul. 1, 2011 Precidian ETFs Trust, et al. (Order)
812-14770 IC-32870 Oct. 24, 2017 PREDEX and PREDEX Capital Management, LLC (Order)
812-14770 IC-32837 Sep. 27, 2017 PREDEX and PREDEX Capital Management, LLC (Notice)
812-14555 IC-32074 Apr. 18, 2016 Premise Capital LLC, et al. (Order)
812-14555 IC-32033 Mar. 21, 2016 Premise Capital, LLC (Notice)
812-13965 IC-29951 Feb. 22, 2012 Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Order)
812-13965 IC-29937 Jan. 26, 2012 Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Notice)
812-13965 IC-29951 Feb. 22, 2012 Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Order)
812-13965 IC-29937 Jan. 26, 2012 Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Notice)
812-14776 IC-32930 Nov. 30, 2017 Princeton Fund Advisors, LLC, et al. (Order)
812-14776 IC-32894 Nov. 2, 2017 Princeton Fund Advisors, LLC. et al. (Notice)
812-14367 IC-31562 Apr. 22, 2015 Princeton Private Equity Fund, et al. (Order)
812-14367 IC-31512 Mar. 25, 2015 Princeton Private Equity Fund and Princeton Fund Advisors, LLC (Notice)
812-14496 IC-31746 Aug. 11, 2015 Principal ETMF Trust, et al. (Notice)
812-14496 IC-31812 Sep. 9, 2015 Principal ETMF Trust, et al. (Order)
812-14509 IC-31872 Oct. 19, 2015 Principal Exchange-Traded Funds, et al. (Order)
812-14509 IC-31834 Sep. 21, 2015 Principal Exchange-Traded Funds, et al. (Notice)
812-14138 IC-31203 Aug. 11, 2014 Principal Funds, Inc., et al. (Notice)
812-14138 IC-31244 Sep. 8, 2014 Principal Funds, Inc., et al. (Order)
812-13869 IC-29824 Sep. 29, 2011 Principal Funds, Inc., et al. (Notice)
812-13869 IC-29843 Oct. 25, 2011 Principal Funds, Inc., et al. (Order)
812-14586 IC-32030 Mar. 17, 2016 Principal Life Insurance Company, et al. (Notice)
812-14586 IC-32067 Apr. 8, 2016 Principal Life Insurance Company, et al. (Order)
812-14600 IC-32029 Mar. 17, 2016 Principal Life Insurance Company, et al. (Notice)
812-14600 IC-32068 Apr. 8, 2016 Principal Life Insurance Company, et al. (Order)
812-14136 IC-30692 Sep. 20, 2013 Principal Management Corporation, et al. (Notice)
812-14136 IC-30742 Oct. 16, 2013 Principal Management Corporation, et al. (Order)
812-14295 IC-31334 Nov. 12, 2014 Principal Real Estate Income Fund ALPS Advisors, Inc. (Order)
812-14295 IC-31290 Oct. 16, 2014 Principal Real Estate Income Fund and Alps Advisors, Inc. (Notice)
812-13338 IC-27852 Jun. 18, 2007 Principal Variable Contracts Fund, Inc., et al. (Notice)
812-13338 IC-27887 Jul. 17, 2007 Principal Variable Contracts Fund, Inc., et al. (Order)
812-14243 IC-31010 Apr. 8, 2014 Professionally Managed Portfolios and Balter Liquid Alternatives, LLC (Notice)
812-14243 IC-31038 May 5, 2014 Professionally Managed Portfolios and Balter Liquid Alternatives, LLC (Order)
812-13029 IC-27599 Dec. 14, 2006 ProFunds, et al. (Notice)
812-13029 IC-27658 Jan. 9, 2007 Profunds, Access One Trust, Proshares Trust, Proshare Advisors LLC, Profund Advisors LLC (Order)
812-14087 IC-30583 Jun. 27, 2013 ProShare Advisors LLC, et al. (Notice)
812-14087 IC-30605 Jul. 23, 2013 ProShare Advisors LLC, et al. (Order)
812-14041 IC-30527 May 21, 2013 ProShares Advisors LLC, et al. (Notice)
812-14041 IC-30562 Jun. 18, 2013 ProShares Advisors LLC, et al. (Order)
812-13400 IC-28696 Apr. 14, 2009 ProShares Trust, et al. (Notice)
812-13382 IC-27975 Sep. 21, 2007 ProShares Trust, et al. (Notice)
812-13400 IC-28724 May 12, 2009 ProShares Trust, et al. (Order)
812-13382 IC-28014 Oct. 17, 2007 ProShares Trust, et al. (Order)
812-13329 IC-27609 Dec. 22, 2006 ProShares Trust, et al. (Notice)
812-13329 IC-27666 Jan. 18, 2007 Proshares Trust, Proshare Advisors LLC, SEI Investments Distribution Company (Order)
812-14199 IC-30855 Jan. 13, 2014 Prospect Capital Corporation, et al. (Notice)
812-14199 IC-30909 Feb. 10, 2014 Prospect Capital Corporation, et al. (Order)
812-13437 IC-28180 Mar. 4, 2008 Pruco Life Insurance Company, et al. (Notice)
812-13437 IC-28231 Apr. 1, 2008 Pruco Life Insurance Company, et al. (Order)
812-13713 IC-29302 Jun. 18, 2010 Pruco Life Insurance Company, et. al. (Notice)
812-13713 IC-29342 Jul. 15, 2010 Pruco Life Insurance Company, et. al. (Order)
812-13990 IC-30186 Aug. 29, 2012 Pruco Life Insurance Company, et al. (Notice)
812-13990 IC-30209 Sep. 20, 2012 Pruco Life Insurance Company, et.al (Order)
812-13532 IC-28373 Sep. 3, 2008 Prudential Annuities Life Assurance Corp., et. al. (Order)
812-13446 IC-28179 Mar. 4, 2008 Prudential Annuities Life Assurance Corporation, et al. (Notice)
812-13446 IC-28233 Apr. 1, 2008 Prudential Annuities Life Assurance Corporation, et al. (Order)
812-13532 IC-28354 Aug. 8, 2008 Prudential Annuities Life Assurance Corporation, et. al. (Notice)
812-14633 IC-32374 Nov. 30, 2016 Prudential ETF Trust, et. al. (Order)
812-14633 IC-32351 Nov. 1, 2016 Prudential ETF Trust, et al. (Notice)
812-13572 IC-28377 Sep. 5, 2008 Prudential Financial, Inc., et al. (Notice and Temporary Order)
812-13572 IC-28430 Oct. 1, 2008 Prudential Financial, Inc., et al. (Order)
812-13993 IC-30200 Sep. 11, 2012 Prudential Investment Portfolios 3, et al. (Notice)
812-13993 IC-30229 Oct. 9, 2012 Prudential Investment Portfolios 3, et al. (Order)
812-14267 IC-31063 May 29, 2014 Prudential Investments LLC, et al. (Notice)
812-14267 IC-31095 Jun. 24, 2014 Prudential Investments LLC, et al. (Order)
812-13455 IC-28263 May 7, 2008 Prudential Retirement Insurance and Annuity Company, et al. (Notice)
812-13455 IC-28297 Jun. 6, 2008 Prudential Retirement Insurance and Annuity Company, et al. (Order)
812-13998 IC-30195 Sep. 5, 2012 Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC (Notice)
812-13998 IC-30226 Oct. 2, 2012 Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC (Order)
812-14356 IC-31809 Sep. 9, 2015 Pulteney Street Capital Management, LLC and PSP Family of Funds (Order)
812-14356 IC-31754 Aug. 13, 2015 Pulteney Street Capital Management, LLC and PSP Family of Funds (Notice)
812-13489-01 IC-30316 Dec. 21, 2012 Pyxis Capital, L.P., et al. (Notice)
812-13489-01 IC-30352 Jan. 16, 2013 Pyxis Capital, L.P., et al. (Order)

R

File No. Release No. Date Investment Company
812-13416 IC-28039 Oct. 30, 2007 Rafferty Asset Management, et al. (Notice)
812-13610 IC-28905 Sep. 22, 2009 Rafferty Asset Management, LLC, et al. (Order)
812-13610 IC-28889 Aug. 27, 2009 Rafferty Asset Management, LLC, et al. (Notice)
812-13483 IC-28379 Sep. 12, 2008 Rafferty Asset Management, LLC, et al. (Notice)
812-13483 IC-28434 Oct. 6, 2008 Rafferty Asset Management, LLC, et al. (Order)
812-13416 IC-28067 Nov. 27, 2007 Rafferty Asset Management, LLC, et al. (Order)
812-14501 IC-32168 Jul. 5, 2016 Ramius Archview Credit and Distressed Fund Ramius Advisors, LLC (Order)
812-14501 IC-32139 Jun. 6, 2016 Ramius Archview Credit and Distressed Fund and Ramius Advisors, LLC (Notice)
812-13634 IC-29941 Feb. 1, 2012 Rand Capital Corporation, et al. (Notice)
812-13634 IC-29941 Feb. 1, 2012 Rand Capital Corporation, et al. (Notice)
812-13634 IC-29972 Feb. 28, 2012 Rand Capital Corporation, et al. (Order)
812-13634 IC-29972 Feb. 28, 2012 Rand Capital Corporation, et al. (Order)
812-14131 IC-30778 Nov. 12, 2013 Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Notice)
812-14131 IC-30824 Dec. 11, 2013 Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Order)
812-14071 IC-30639 Aug. 1, 2013 Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Notice)
812-14071 IC-30677 Aug. 27, 2013 Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Order)
812-14657 IC-32292 Sep. 27, 2016 Rational Advisors, Inc. and Strategy Shares (Order)
812-14657 IC-32243 Aug. 30, 2016 Rational Advisors, Inc. and Strategy Shares (Notice)
813-326 IC-28012 Oct. 11, 2007 Raymond James Employee Investment Fund I, L.P., et al. (Notice)
813-326 IC-28043 Nov. 6, 2007 Raymond James Employee Investment Fund I, L.P., et al. (Order)
812-14372 IC-31827 Sep. 16, 2015 The RBB Fund, Inc. and Abbey Capital Limited (Order)
812-14372 IC-31766 Aug. 21, 2015 The RBB Fund, Inc. and Abbey Capital Limited (Notice)
812-13496 IC-28260 Apr. 30, 2008 The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)
812-13295 IC-27749 Mar. 8, 2007 The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)
812-13496 IC-28288 May 28, 2008 The RBB Fund, Inc. and Abundance Technologies, Inc. (Order)
812-14386 IC-32538 Mar. 21, 2017 The RBB Fund, Inc. and Altair Advisers LLC (Order)
812-14386 IC-32483 Feb. 21, 2017 The RBB Fund, Inc. and Altair Advisers LLC (Notice)
812-14206 IC-31687 Jun. 23, 2015 The RBB Fund, Inc., et al. (Order)
812-14206 IC-31648 May 27, 2015 The RBB Fund, Inc., et al. (Notice)
812-13295 IC-27775 Apr. 3, 2007 The RBB Fund, Inc., et al. (Order)
812-13663 IC-28762 Jun. 9, 2009 RBC Capital Markets Corporation, et al. (Notice and Temporary Order)
812-13663 IC-28812 Jul. 7, 2009 RBC Capital Markets Corporation, et al. (Order)
812-14232 IC-30842 Dec. 23, 2013 RBS Securities Inc. and Citizens Investment Advisors (Order)
812-14232 IC-30808 Nov. 25, 2013 RBS Securities Inc. and Citizens Investment Advisors (Temporary Order and Notice)
812-13399 IC-27877 Jun. 28, 2007 RealNetworks, Inc. (Notice)
812-13399 IC-27888 Jul. 24, 2007 RealNetworks, Inc. (Order)
812-14341 IC-31506 Mar. 17, 2015 Realty Capital Income Funds Trust, et al. (Order)
812-14341 IC-31458 Feb. 18, 2015 Realty Capital Income Funds Trust, et al. (Notice)
812-13200 IC-28818 Jul. 14, 2009 Reaves Utility Income Fund, et al. (Notice)
812-13200 IC-28843 Aug. 11, 2009 Reaves Utility Income Fund, et al. (Order)
812-14461 IC-31961 Jan. 19, 2016 Recon Capital Series Trust, et al. (Order)
812-14461 IC-31945 Dec. 21, 2015 Recon Capital Series Trust, et al. (Notice)
812-14068 IC-30203 Sep. 17, 2012 ReconTrust Company, N.A., et al. (Order)
812-14068 IC-30174 Aug. 20, 2012 ReconTrust Company, N.A., et al. (Notice)
812-14873 IC-33100 May 21, 2018 Redwood Investment Manangement, LLC and Two Roads Shared Trust (Order)
812-14873 IC-33076A Apr. 26, 2018 Redwood Investment Management, LLC and Two Roads Shared Trust (Notice)
812-14658 IC-32291 Sep. 27, 2016 Regents Park Funds, LLC (Order)
812-14658 IC-32249 Aug. 31, 2016 Regents Park Funds, LLC, et al. (Notice)
812-14834 IC-32954 Dec. 27, 2017 Regents Park Funds, LLC and Two Roads Shared Trust (Order)
812-14834 IC-32931 Dec. 1, 2017 Regents Park Funds, LLC and Two Roads Shared Trust (Notice)
812-14830 IC-32924 Nov. 28, 2017 Reinhart Partners, Inc., et al. (Order)
812-14830 IC-32892 Nov. 1, 2017 Reinhart Partners, Inc., et al. (Notice)
812-14683 IC-32904 Nov. 21, 2017 The Relative Value Fund et al. (Order)
812-14683 IC-32884 Oct. 26, 2017 The Relative Value Fund et al. (Notice)
812-13976 IC-30422 Mar. 11, 2013 Renaissance Capital Greenwich Funds, et al. (Notice)
812-13976 IC-30451 Apr. 8, 2013 Renaissance Capital Greenwich Funds, et al. (Order)
812-13576 IC-28465 Oct. 24, 2008 The Reserve Fund (Notice) (Comments received are available.; See also: Responses to Frequently Asked Questions about The Reserve Fund and Money Market Funds)
812-13576 IC-28386 Sep. 22, 2008 The Reserve Fund, on behalf of two of its series, the Primary Fund and the U.S. Government Fund (Order)
812-13585 IC-28466 Oct. 24, 2008 Reserve Municipal Money-Market Trust, et al. (Notice of Application and Temporary Order)
812-14244 IC-31093 Jun. 23, 2014 Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc. (Notice)
812-14244 IC-31162 Jul. 22, 2014 Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc. (Order)
812-13569 IC-28931 Sep. 25, 2009 Ridgewood Capital Energy Growth Fund, LLC, et al. (Notice)
812-13569 IC-28982 Oct. 21, 2009 Ridgewood Capital Energy Growth Fund, LLC, et al. (Order)
812-13860 IC-29743 Aug. 3, 2011 RidgeWorth Funds et al. (Notice)
812-13860 IC-29773 Aug. 30, 2011 RidgeWorth Funds et al. (Order)
813-358 IC-29446 Sep. 28, 2010 RIEF RMP LLC and Renaissance Technologies LLC (Notice)
813-358 IC-29489 Oct. 26, 2010 RIEF RMP LLC and Renaissance Technologies LLC (Order)
812-13777 IC-29889 Dec. 19, 2011 Rio Tinto plc and Rio Tinto Limited (Notice)
812-13777 IC-29921 Jan. 17, 2012 Rio Tinto plc et al. (Order)
812-13777 IC-29921 Jan. 17, 2012 Rio Tinto plc et al. (Order)
812-14698 IC-32673 Jun. 7, 2017 RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC (Order)
812-14698 IC-32635 May 12, 2017 RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC (Notice)
812-14160 IC-30919 Feb. 18, 2014 RiverNorth Funds, et al. (Notice)
812-14160 IC-30983 Mar. 18, 2014 RiverNorth Funds, et al. (Order)
812-13755 IC-29840 Oct. 19, 2011 RiverPark Advisors, LLC, et al. (Notice)
812-13755 IC-29863 Nov. 17, 2011 RiverPark Advisors, LLC, et al. (Order)
813-361 IC-29576 Feb. 8, 2011 Riverside Casualty, Inc. (Notice)
813-361 IC-29597 Mar. 8, 2011 Riverside Casualty, Inc. (Order)
812-13492 IC-28527 Dec. 4, 2008 RiverSource Life Insurance Company, et al. (Notice)
812-13492 IC-28575 Dec. 30, 2008 RiverSource Life Insurance Company, et al. (Order)
812-13058-06 IC-29178 Mar. 23, 2010 RMR Real Estate Income Fund, et al. (Notice)
812-13058-06 IC-29213 Apr. 20, 2010 RMR Real Estate Income Fund, et al. (Order)
812-14265 IC-31134 Jun. 25, 2014 Rothschild Larch Lane Management Company LLC and The Advisors' Inner Circle Fund III (Notice)
812-14265 IC-31164 Jul. 22, 2014 Rothschild Larch Lane Management Company LLC and the Advisors' Inner Circle Fund III (Order)
812-14403 IC-31411 Jan. 13, 2015 Royal Bank of Canada, et al. (Order)
812-14403 IC-31388 Dec. 19, 2014 Royal Bank of Canada, et al. (Notice and Temporary Order)
812-14469 IC-31673 Jun. 16, 2015 The Royal Bank of Scotland plc, et al. (Order)
812-14469 IC-31642 May 20, 2015 The Royal Bank of Scotland plc, et al. (Notice)
812-14148 IC-30462 Apr. 12, 2013 The Royal Bank of Scotland plc, et al. (Notice)
812-14148 IC-30509 May 8, 2013 The Royal Bank of Scotland plc, et al. (Order)
812-14034 IC-30447 Apr. 4, 2013 Royce Focus Trust, Inc., et al. (Notice)
812-14034 IC-30499 Apr. 30, 2013 Royce Focus Trust, Inc., et al. (Order)
812-13880 IC-30448 Apr. 4, 2013 Royce Value Trust, Inc., et al. (Notice)
812-13880 IC-30500 Apr. 30, 2013 Royce Value Trust, Inc., et al. (Order)
812-13815 IC-29706 Jun. 22, 2011 Russell Exchange Traded Funds Trust, et al. (Notice)
812-13815 IC-29727 Jul. 19, 2011 Russell Exchange Traded Funds Trust, et al. (Order)
812-13870 IC-29623 Apr. 6, 2011 Russell Investment Company, et al. (Notice)
812-13870 IC-29664 May 3, 2011 Russell Investment Company, et al. (Order)
812-13669 IC-29655 Apr. 20, 2011 Russell Investment Management Company, et al. (Notice)
812-13669 IC-29671 May 16, 2011 Russell Investment Management Company, et al. (Order)
812-13390 IC-28000 Sep. 27, 2007 Rydex ETF Trust, et al. (Notice)
812-13387 IC-27958 Aug. 28, 2007 Rydex ETF Trust, et al. (Notice)
812-13337 IC-27703 Feb. 20, 2007 Rydex ETF Trust, et al. (Notice)
812-13390 IC-28018 Oct. 23, 2007 Rydex ETF Trust, et al. (Order)
812-13387 IC-27981 Sep. 25, 2007 Rydex ETF Trust, et al. (Order)
812-13337 IC-27754 Mar. 20, 2007 Rydex ETF Trust, Rydex Distributors, Inc. and PADCO Advisors II, Inc. (Order)
812-13685 IC-29179 Mar. 23, 2010 Rydex Series Funds, et al. (Notice)
812-13685 IC-29212 Apr. 20, 2010 Rydex Series Funds, et al. (Order)

S

File No. Release No. Date Investment Company
813-284 IC-27747 Mar. 5, 2007 SA Investment Partnership LLC, et al. (Notice)
813-284 IC-27774 Apr. 2, 2007 SA Investment Partnership LLC, et al. (Order)
812-14792 IC-32806 Aug. 31, 2017 Sage Advisory Services LTD Co. and Northern Lights Fund Trust IV (Order)
812-14792 IC-32774 Aug. 4, 2017 Sage Advisory Services LTD Co. and Northern Lights Fund Trust IV (Notice)
812-14035 IC-30439 Mar. 28, 2013 Sage Quant Management LLC, et al. (Notice)
812-14035 IC-30476 Apr. 23, 2013 Sage Quant Management LLC, et al. (Order)
812-13974 IC-30254 Oct. 31, 2012 Salient Advisors, L.P. and MarketShares ETF Trust (Notice)
812-13974 IC-30281 Nov. 27, 2012 Salient Advisors, L.P. and MarketShares ETF Trust (Order)
812-14847 IC-33007 Feb. 21, 2018 Salt Financial, LLC, et al. (Order)
812-14847 IC-32974 Jan. 23, 2018 Salt Financial, LLC, et al. (Notice)
812-14351 IC-31495 Mar. 3, 2015 The Saratoga Advantage Trust (Order)
812-14351 IC-31447 Feb. 5, 2015 The Saratoga Advantage Trust and James Alpha Management, LLC (Notice)
812-14022 IC-30145 Jul. 23, 2012 Saratoga Investment Corp., et al. (Notice)
812-14022 IC-30171 Aug. 20, 2012 Saratoga Investment Corp., et al. (Order)
812-13467 IC-28133 Jan. 24, 2008 Schroder Series Trust, et al. (Notice)
812-13467 IC-28167 Feb. 25, 2008 Schroder Series Trust, et al. (Order)
812-13753 IC-29176 Mar. 17, 2010 SeaCo Ltd. (Notice)
812-13753 IC-29206 Apr. 9, 2010 SeaCo Ltd. (Order)
812-13952 IC-29879 Dec. 8, 2011 Seasons Series Trust, et al. (Notice)
812-13952 IC-29914 Jan. 4, 2012 Seasons Series Trust, et al. (Order)
812-13952 IC-29914 Jan. 4, 2012 Seasons Series Trust, et al. (Order)
812-14091 IC-30354 Jan. 22, 2013 Securian Funds Trust, et al. (Notice)
812-14091 IC-30387 Feb. 19, 2013 Securian Funds Trust, et al. (Order)
812-13929 IC-29884 Dec. 14, 2011 SEI Investments Management Corporation et al. (Order)
812-13929 IC-29866 Nov. 18, 2011 SEI Investments Management Corporation, et al. (Notice)
812-13353 IC-27921 Aug. 3, 2007 Sentinel Variable Products Trust and Sentinel Asset Management, Inc. (Notice)
812-13353 IC-27959 Aug. 29, 2007 Sentinel Variable Products Trust, et al. (Order)
812-14641 IC-32325 Oct. 24, 2016 SerenityShares Investments LLC, et al. (Order)
812-14641 IC-32283 Sep. 26, 2016 SerenityShares Investments LLC, et al. (Notice)
812-14717 IC-32684 Jun. 20, 2017 Series Portfolios Trust and Highmore Group Advisors, LLC (Order)
812-14717 IC-32660 May 24, 2017 Series Portfolios Trust and Highmore Group Advisors, LLC (Notice)
812-14759 IC-32799 Aug. 28, 2017 Sharespost 100 Fund and SP Investments Management, LLC (Order)
812-14759 IC-32768 Jul. 31, 2017 Sharespost 100 Fund and SP Investments Management, LLC (Notice)
812-13559 IC-29127 Jan. 29, 2010 ShariahShares Exchange-Traded Fund Trust, et al. (Notice)
812-13559 IC-29130 Feb. 22, 2010 ShariahShares Exchange-Traded Fund Trust, et al. (Order)
812-14713 IC-32670 Jun. 6, 2017 Sierra Total Return Fund, et al. (Order)
812-14713 IC-32632 May 10, 2017 Sierra Total Return Fund, et al. (Notice)
812-14046 IC-30559 Jun. 14, 2013 Sigma Investment Advisors, LLC, et al. (Notice)
812-14046 IC-30597 Jul. 10, 2013 Sigma Investment Advisors, LLC, et al. (Order)
813-264 IC-27770 Mar. 27, 2007 Silas Partners I, LLC et al. (Notice)
813-264 IC-27782 Apr. 24, 2007 Silas Partners I, LLC, et al. (Order)
812-13801 IC-29629 Apr. 19, 2011 Simple Alternatives, LLC (Order)
812-13801 IC-29616 Mar. 24, 2011 Simple Alternatives, LLC and The RBB Fund, Inc. (Notice)
812-13944 IC-29817 Sep. 22, 2011 The Singapore Fund, Inc. (Notice) (Comments received are available.)
812-13944 IC-29880 Dec. 8, 2011 The Singapore Fund, Inc. (Order)
813-194 IC-30091 May 31, 2012 SK Private Investment Fund 1998 LLC et al. (Order)
813-194 IC-30060 May 4, 2012 SK Private Investment Fund 1998 LLC, et al. (Notice)
812-14802 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)
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-33123 Jun. 15, 2018 Sprott ETF Trust and Sprott Asset Management USA Inc. (Notice)
812-14871 IC-33112 Jun. 1, 2018 Sprott ETF Trust and Sprott Asset Management USA Inc. (Notice)
812-14437 IC-31592 May 4, 2015 Sprott Focus Trust, Inc. and Sprott Asset Management LP (Order)
812-14437 IC-31548 Apr. 7, 2015 Sprott Focus Trust, Inc. and Sprott Asset Management LP (Notice)
812-13953 IC-31301 Oct. 21, 2014 Spruce ETF Trust, et al. (Notice)
812-13953 IC-31337 Nov. 14, 2014 Spruce ETF Trust, et al. (Order)
812-13961 IC-31412 Jan. 13, 2015 SSgA Funds Management, Inc., El Al. (Order)
812-13961 IC-31384 Dec. 18, 2014 SSgA Funds Management, Inc., et al. (Notice)
812-14291 IC-31278 Oct. 7, 2014 SSgA Master Trust SSgA Funds Management, Inc. (Order)
812-13487 IC-29499 Nov. 17, 2010 SSgA Funds Management, Inc., et al. (Notice)
812-13356 IC-27809 Apr. 30, 2007 SSgA Funds Management, Inc., et al. (Notice)
812-13487 IC-29524 Dec. 13, 2010 SSgA Funds Management, Inc., et al. (Order)
812-13356 IC-27839 May 25, 2007 SSgA Funds Management, Inc., et al. (Order)
812-14291 IC-31249 Sep. 11, 2014 SSgA Mastertrust and SSgA Funds Management, Inc. (Notice)
812-14630 IC-32282 Sep. 26, 2016 Starboard Investment Trust and Cavalier Investments, Inc. (Order)
812-14630 IC-32241 Aug. 29, 2016 Starboard Investment Trust and Cavalier Investments, Inc (Notice)
812-14170 IC-31647 May 27, 2015 Starboard Investment Trust and Foliometrix, LLC (Order)
812-14170 IC-31587 Apr. 30, 2015 Starboard Investment Trust and Foliometrix, LLC (Notice)
812-14558 IC-32357 Nov. 10, 2016 State Farm Associates' Funds Trust, et al. (Order)
812-14558 IC-31988 Feb. 8, 2016 State Farm Associates' Funds Trust, et al. (Notice)
812-14725 IC-32897 Nov. 7, 2017 Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC (Order)
812-14725 IC-32860 Oct. 12, 2017 Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC (Notice)
812-14314 IC-31186 Jul. 24, 2014 Steben Alternative Investment Funds and Steben & Company, Inc. (Notice)
812-14314 IC-31215 Aug. 19, 2014 Steben Alternative Investment Funds and Steben & Company, Inc. (Order)
812-14144 IC-31029 Apr. 25, 2014 Steben Select Multi-Strategy Fund and Steben & Company, Inc. (Notice)
812-14144 IC-31052 May 21, 2014 Steben Select Multi-Strategy Fund and Steben & Company, Inc. (Order)
812-13793 IC-30070 May 23, 2012 Steel Partners Holdings L.P. (Order)
812-13793 IC-30056 Apr. 27, 2012 Steel Partners Holdings L.P. (Notice)
812-14061 IC-30739 Sep. 30, 2013 Stellus Capital Investment Corporation, et al. (Notice)
812-14061 IC-30754 Oct. 23, 2013 Stellus Capital Investment Corporation, et al. (Order)
812-14249 IC-31160 Jul. 17, 2014 Stellus Capital Investment Corporation, et al. (Notice)
812-14249 IC-31206 Aug. 12, 2014 Stellus Capital Investment Corporation et al. (Order)
813-306 IC-27843 May 29, 2007 Stephens Inc., et al. (Notice)
813-306 IC-27875 Jun. 26, 2007 Stephens, Inc., et al. (Order)
812-13834 IC-29713 Jul. 1, 2011 Sterling Capital Funds and Sterling Capital Management LLC (Notice)
812-13834 IC-29738 Jul. 26, 2011 Sterling Capital Funds and Sterling Capital Management LLC (Order)
813-310 IC-30475 Apr. 23, 2013 Stetson Capital Fund LP and Davis Polk & Wardwell LLP (Order)
813-310 IC-30438 Mar. 27, 2013 Stetson Capital Fund LP and Davis Polk & Wardwell LLP (Notice)
812-14721 IC-32408 Jan. 4, 2017 Stifel, Nicolaus & Company, Inc., et al. (Order)
812-14721 IC-32379 Dec. 6, 2016 Stifel, Nicolaus & Company, Inc., et al. (Notice and Temporary Order)
812-13867 IC-29791 Sep. 16, 2011 Stone Harbor Emerging Markets Income Fund, et al. (Notice)
812-13867 IC-29834 Oct. 12, 2011 Stone Harbor Emerging Markets Income Fund, et al. (Order)
812-13931 IC-29784 Sep. 7, 2011 Stone Harbor Investment Partners LP, et al. (Notice)
812-13931 IC-29830 Oct. 4, 2011 Stone Harbor Investment Partners LP, et al. (Order)
812-13712 IC-29064 Nov. 30, 2009 Strategic Funds, Inc., et al. (Notice)
812-13712 IC-29097 Dec. 23, 2009 Strategic Funds, Inc., et al. (Order)
812-14701 IC-32522 Mar. 7, 2017 StrongVest ETF Trust, et al. (Order)
812-14701 IC-32471 Feb. 7, 2017 StrongVest ETF Trust, et al. (Notice)
812-14700 IC-32453 Jan. 26, 2017 StrongVest ETF Trust, et al. (Notice)
812-14700 IC-32507 Feb. 22, 2017 StrongVest ETF Trust, et al. (Order)
812-13402 IC-28570 Dec. 23, 2008 Sun Life Assurance Company of Canada (U.S.), et al. (Notice)
812-13402 IC-28607 Jan. 22, 2009 Sun Life Assurance Company of Canada (U.S.), et al. (Order)
812-13282 IC-27651 Dec. 29, 2006 Sun Life Assurance Company of Canada (U.S.), et al. (Notice)
812-13282 IC-27688 Jan. 25, 2007 Sun Life Assurance Company of Canada (U.S.), et al. (Order)
812-13239 IC-28578 Jan. 6, 2009 SunAmerica Focused Alpha Growth Fund, Inc., et al. (Notice)
812-13239 IC-28612 Feb. 3, 2009 SunAmerica Focused Alpha Growth Fund, Inc., et al. (Order)
812-14226 IC-31281 Oct. 10, 2014 SunAmerica Series Trust, et al. (Notice)
812-14226 IC-31331 Nov. 5, 2014 SunAmerica Series Trust, et al. (Order)
812-13778 IC-30046 Apr. 24, 2012 Sunwest Rollover Member LLC (Order)
812-13778 IC-30014 Mar. 29, 2012 Sunwest Rollover Member LLC (Notice)
812-14518 IC-32004 Feb. 24, 2016 Susa Registered Fund, L.L.C., et al. (Order)
812-14518 IC-31975 Jan. 29, 2016 Susa Registered Fund, L.L.C., et al. (Notice)
812-14857 IC-33099 May 21, 2018 The Swiss Helvetia Fund, Inc., et al. (Order)
812-14857 IC-33075 Apr. 23, 2018 The Swiss Helvetia Fund, Inc., et al. (Notice)
812-14082 IC-30353 Jan. 22, 2013 Symetra Life Insurance Company, et al. (Notice)
812-14082 IC-30386 Feb. 19, 2013 Symetra Life Insurance Company, et al. (Order)
812-14081 IC-30472 Apr. 19, 2013 Symetra Mutual Funds Trust, et al. (Notice)
812-14081 IC-30516 May 14, 2013 Symetra Mutual Funds Trust, et al. (Order)
812-14175 IC-30747 Oct. 18, 2013 Syntax Analytics, LLC and Syntax ETF Trust (Notice)
812-14175 IC-30782 Nov. 13, 2013 Syntax Analytics, LLC and Syntax ETF Trust (Order)
812-14385 IC-31590 Apr. 30, 2015 Syntax, LLC and Syntax ETF Trust (Notice)
812-14385 IC-31650 May 27, 2015 Syntax, LLC and Syntax ETF Trust (Order)

T

File No. Release No. Date Investment Company
812-13726 IC-30336 Jan. 2, 2013 T. Rowe Price Associates, Inc., T. Rowe Price Institutional Income Funds, Inc. and T. Rowe Price Investment Services, Inc. (Order)
812-13726 IC-30299 Dec. 7, 2012 T. Rowe Price Associates, Inc., et al. (Notice)
812-14224 IC-30901 Jan. 31, 2014 T. Rowe Price Global Allocation Fund, Inc. et al. (Notice)
812-14224 IC-30967 Feb. 26, 2014 T. Rowe Price Global Allocation Fund, Inc. et al. (Order)
812-14798 IC-32969 Jan. 17, 2018 TCG BDC, Inc., et al. (Order)
812-14798 IC-32945 Dec. 20, 2017 TCG BDC, Inc., et al. (Notice)
812-14275 IC-31670 Jun. 15, 2015 TCP Capital Corp., et al. (Notice)
812-14275 IC-31712 Jul. 13, 2015 TCP Capital Corp., et al. (Order)
812-14561 IC-32113 May 11, 2016 TCW Alternative Funds, et al. (Notice)
812-14561 IC-32141 Jun. 7, 2016 TCW Alternative Funds, et al. (Order)
812-14765 IC-33110 May 30, 2018 TCW Direct Lending LLC, et al. (Order)
812-14765 IC-33094 May 9, 2018 TCW Direct Lending LLC, et al. (Notice)
812-14382 IC-31589 Apr. 30, 2015 TCW Direct Lending LLC, et al. (Notice)
812-14382 IC-31649 May 27, 2015 TCW Direct Lending LLC, et al. (Order)
812-14296 IC-31296 Oct. 20, 2014 Tennenbaum Opportunities Fund V, LLC, et al. (Notice)
812-14296 IC-31358 Nov. 25, 2014 Tennenbaum Opportunities Fund V, LLC, et al. (Order)
812-14645 IC-32117 May 18, 2016 Terra Capital Partners, LLC, et al. (Order)
812-14645 IC-32097 Apr. 26, 2016 Terra Capital Partners, LLC, et al. (Notice)
812-14452 IC-32349 Nov. 1, 2016 Terra Income Fund 6, Inc., et al. (Order)
812-14452 IC-32303 Oct. 4, 2016 Terra Income Fund 6, Inc., et al. (Notice)
812-14593 IC-31943 Dec. 16, 2015 Third Avenue Trust and Third Avenue Management LLC (Notice and Temporary Order)
812-14256 IC-31899 Nov. 10, 2015 THL Credit, Inc., et al. (Notice)
812-14256 IC-31929 Dec. 8, 2015 THL Credit, Inc. (Order)
812-13508 IC-28252 Apr. 24, 2008 Thrivent Mutual Funds, et al. (Notice)
812-13508 IC-28267 May 20, 2008 Thrivent Mutual Funds, et al. (Order)
812-14723 IC-32814 Sep. 12, 2017 TIAA-CREF Funds, et al. (Order)
812-14723 IC-32779 Aug. 15, 2017 TIAA-CREF Funds, et al. (Notice)
812-13995 IC-31861 Oct. 6, 2015 TIAA-CREF Funds, et al. (Order)
812-13995 IC-31807 Sep. 8, 2015 TIAA-CREF Funds, et al. (Notice)
812-13831 IC-29707 Jun. 24, 2011 TIAA-CREF Funds, et al. (Notice)
812-13831 IC-29728 Jul. 19, 2011 TIAA-CREF Funds, et al. (Order)
812-13563 IC-28530 Dec. 10, 2008 TIAA-CREF Life Funds, et al. (Notice)
812-13563 IC-28577 Jan. 6, 2009 TIAA-CREF Life Funds, et al. (Order)
812-13791 IC-29687 Jun. 1, 2011 TIAA-CREF Life Insurance Company, et al. (Notice)
812-13791 IC-29600 Mar. 22, 2011 TIAA-CREF Life Insurance Company, et al. (Notice)
812-13791 IC-29709 Jun. 28, 2011 TIAA-CREF Life Insurance Company, et al. (Order)
812-14707 IC-32680 Jun. 14, 2017 TICC Capital Corp., et al. (Order)
812-14707 IC-32641 May 19, 2017 TICC Capital Corp., et al. (Notice)
812-13363 IC-28123 Jan. 18, 2008 The TIGERS Revenue Trust and VTL Associates, LLC (Notice)
812-13363 IC-28151 Feb. 13, 2008 The TIGERS Revenue Trust and VTL Associates, LLC (Order)
812-14706 IC-32579 Mar. 28, 2017 Tortoise Index Solutions, LLC, et al. (Order)
812-14706 IC-32512 Feb. 27, 2017 Tortoise Index Solutions, LLC, et al. (Notice)
812-13862 IC-29785 Sep. 12, 2011 Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Order)
812-13862 IC-29755 Aug. 16, 2011 Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Notice)
812-14184 IC-30859 Jan. 15, 2014 Total Income+ Real Estate Fund, et al. (Notice)
812-14184 IC-30912 Feb. 11, 2014 Total Income+ Real Estate Fund, et al. (Order)
812-14612 IC-32580 Mar. 28, 2017 Touchstone Investment Trust, et al. (Order)
812-14612 IC-32515 Feb. 28, 2017 Touchstone Investment Trust, et al. (Notice)
813-350 IC-28046 Nov. 8, 2007 Tower 21st Century Fund LLC, et al. (Notice)
813-350 IC-28072 Dec. 4, 2007 Tower 21st Century Fund, LLC, et al. (Order)
812-13980 IC-31338 Nov. 18, 2014 TPG Specialty Lending, Inc., et al. (Notice)
812-13980 IC-31379 Dec. 16, 2014 TPG Specialty Lending, Inc., et al. (Order)
812-14489 IC-32604 Apr. 19, 2017 Transamerica Advisors Life Insurance Company, et al. (Order)
812-14489 IC-32573 Mar. 24, 2017 Transamerica Advisors Life Insurance Company, et al. (Notice)
812-14649 IC-32743 Jul. 26, 2017 Transamerica ETF Trust, et al. (Order)
812-14649 IC-32718 Jun. 30, 2017 Transamerica ETF Trust, et al. (Notice)
812-14487 IC-32606 Apr. 19, 2017 Transamerica Financial Life Insurance Company, et al. (Order)
812-14487 IC-32571 Mar. 24, 2017 Transamerica Financial Life Insurance Company, et al. (Notice)
812-14676 IC-32424 Jan. 18, 2017 Transamerica Funds, et al. (Order)
812-14676 IC-32400 Dec. 21, 2016 Transamerica Funds, et al. (Notice)
812-14490 IC-32603 Apr. 19, 2017 Transamerica Life Insurance Company, et al. (Order)
812-14488 IC-32605 Apr. 19, 2017 Transamerica Life Insurance Company, et al. (Order)
812-14490 IC-32574 Mar. 24, 2017 Transamerica Life Insurance Company, et al. (Notice)
812-14488 IC-32572 Mar. 24, 2017 Transamerica Life Insurance Company, et al. (Notice)
812-14133 IC-30816 Dec. 3, 2013 Transamerica Life Insurance Company, et al. (Order)
812-14133 IC-30776 Nov. 6, 2013 Transamerica Life Insurance Company, et al. (Notice)
812-13661 IC-29410 Sep. 3, 2010 Transamerica Asset Management, Inc., et al. (Notice)
812-13661 IC-29447 Sep. 28, 2010 Transamerica Asset Management, Inc., et al. (Order)
812-14121 IC-30558 Jun. 14, 2013 Transparent Value Trust, et al. (Notice)
812-14121 IC-30596 Jul. 10, 2013 Transparent Value Trust, et al. (Order)
812-14077 IC-30432 Mar. 21, 2013 Triangle Capital Corporation (Order)
812-13647 IC-28692 Apr. 13, 2009 Triangle Capital Corporation (Notice)
812-13447 IC-28165 Feb. 20, 2008 Triangle Capital Corporation (Notice)
812-13647 IC-28718 May 5, 2009 Triangle Capital Corporation (Order)
812-13447 IC-28196 Mar. 18, 2008 Triangle Capital Corporation (Order)
812-13771 IC-29453 Sep. 30, 2010 Triangle Capital Corporation, et al. (Notice)
812-13355 IC-28383 Sep. 19, 2008 Triangle Capital Corporation, et al. (Notice)
812-13771 IC-29482 Oct. 22, 2010 Triangle Capital Corporation, et al. (Order)
812-13355 IC-28437 Oct. 14, 2008 Triangle Capital Corporation, et al. (Order)
812-13465 IC-29415 Sep. 10, 2010 Tri-Continental Corporation, et al. (Notice)
812-13465 IC-29457 Oct. 5, 2010 Tri-Continental Corporation, et al. (Order)
812-14750 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)
812-14354 IC-31543 Apr. 1, 2015 Trust for Professional Managers and William Blair & Company, L.L.C. (Notice)
812-14354 IC-31584 Apr. 28, 2015 Trust for Professional Managers and William Blair & Company, L.L.C. (Order)
812-14113 IC-30460 Apr. 12, 2013 Trust for Professional Managers and Aurora Investment Management L.L.C. (Notice)
812-14113 IC-30510 May 8, 2013 Trust for Professional Managers and Aurora Investment Management L.L.C. (Order)
812-14349 IC-31464 Feb. 23, 2015 Trust for Professional Managers and William Blair & Company, L.L.C. (Order)
812-14349 IC-31435 Jan. 28, 2015 Trust for Professional Managers and William Blair & Company L.L.C. (Notice)
812-14012 IC-30235 Oct. 18, 2012 Trust for Professional Managers, et al. (Notice)
812-14012 IC-30263 Nov. 14, 2012 Trust for Professional Managers , et al. (Order)
812-13514 IC-28382 Sep. 19, 2008 Trust for Professional Managers, et al. (Notice)
812-13514 IC-28439 Oct. 15, 2008 Trust for Professional Managers, et al. (Order)
812-13408 IC-27995 Sep. 26, 2007 Trust for Professional Managers, et al. (Order)
812-13408 IC-27964 Aug. 31, 2007 Trust for Professional Managers, Inc., et al. (Notice)
812-14054 IC-30449 Apr. 4, 2013 TSC Distributors LLC and TSC UITS (Notice)
812-14054 IC-30501 Apr. 30, 2013 TSC Distributors LLC and TSC UITS (Order)
813-359 IC-29409 Sep. 3, 2010 Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Notice)
813-359 IC-29449 Sep. 29, 2010 Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Order)
812-14514 IC-32101 May 3, 2016 Türkiye Sinai Kalkinma Bankasi A.S. (Order)
812-14514 IC-32066 Apr. 6, 2016 Türkiye Sinai Kalkinma Bankasi A.S. (Notice)
813-332 IC-28528 Dec. 9, 2008 TWB Investment Partnership, L.P., et al. (Notice)
813-332 IC-28576 Jan. 6, 2009 TWB Investment Partnership, L.P., et al. (Order)

U

File No. Release No. Date Investment Company
812-14404 IC-31916 Nov. 24, 2015 U.S. Bank National Association (Order)
812-14404 IC-31886 Oct. 29, 2015 U.S. Bank National Association (Notice)
812-13246 IC-28264 May 7, 2008 U.S. Bank National Association FAF Advisors, Inc. (Order)
812-13246 IC-28238 Apr. 16, 2008 U.S. Bank National Association, et al. (Notice)
812-14869 IC-33118 Jun. 5, 2018 U.S. Global Investors, Inc. et al. (Order)
812-14869 IC-33092 May 9, 2018 U.S. Global Investors, Inc. et al. (Notice)
812-14451 IC-31905 Nov. 18, 2015 U.S. Global Investors, Inc., et al. (Notice)
812-14188 IC-30723 Sep. 25, 2013 U.S. Global Investors, Inc., et al. (Notice)
812-14188 IC-30755 Oct. 23, 2013 U.S. Global Investors ETF Trust, et al. (Order)
812-13658-01 IC-29128 Feb. 2, 2010 U.S. One, Inc. and U.S. One Trust (Notice)
812-13658-01 IC-29164 Mar. 1, 2010 U.S. One, Inc. and U.S. One Trust (Order)
812-14469 IC-31673 Jun. 16, 2015 The Royal Bank of Scotland plc, et al. (Order)
812-14465 IC-31672 Jun. 16, 2015 UBS AG, et al. (Order)
812-14465 IC-31612 May 20, 2015 UBS AG, et al. (Notice)
813-336 IC-31019 Apr. 17, 2014 UBS AG, et al. (Notice)
813-336 IC-31042 May 13, 2014 UBS AG, et al. (Order)
812-14105 IC-30311 Dec. 19, 2012 UBS AG, et al. (Temporary Order)
812-14105 IC-30383 Feb. 15, 2013 UBS AG, et al. (Notice and Temporary Order)
812-14105 IC-30424 Mar. 13, 2013 UBS AG, et al. (Order)
812-13902 IC-29666 May 9, 2011 UBS AG, et al. (Notice and Temporary Order)
812-13645 IC-28652 Mar. 19, 2009 UBS AG, et al. (Notice and Temporary Order)
812-13902 IC-29690 Jun. 6, 2011 UBS AG, et al. (Order)
812-13645 IC-28695 Apr. 14, 2009 UBS AG, et al. (Order)
812-14727 IC-32594 Apr. 5, 2017 UBS ETMF Trust, et al. (Order)
812-14727 IC-32529 Mar. 10, 2017 UBS ETMF Trust, et al. (Notice)
812-13453 IC-28080 Dec. 19, 2007 The UBS Funds, et al. (Notice)
812-13453 IC-28122 Jan. 16, 2008 The UBS Funds, et al. (Order)
812-13609 IC-28569 Dec. 23, 2008 UBS Securities LLC, et al. (Notice and Temporary Order)
812-13609 IC-28606 Jan. 16, 2009 UBS Securities LLC, et al. (Order)
812-13450 IC-28071 Nov. 30, 2007 Unified Series Trust and Envestnet Asset Management, Inc. (Notice)
812-13450 IC-28117 Dec. 27, 2007 Unified Series Trust, et al. (Order)
812-14693 IC-32525 Mar. 7, 2017 USAA Asset Management Company, et al. (Order)
812-14693 IC-32474 Feb. 9, 2017 USAA Asset Management Company, et al. (Notice)
812-14140 IC-30891 Jan. 23, 2014 USAA Asset Management Company, et al. (Notice)
812-14140 IC-30921 Feb. 19, 2014 USAA Asset Management Company, et al. (Order)
812-14692 IC-32576 Mar. 27, 2017 USAA ETF Trust, et al. (Order)
812-14692 IC-32511 Feb. 27, 2017 USAA ETF Trust, et al. (Notice)
812-14277 IC-31133 Jun. 25, 2014 USCF Equity Trust, et al. (Notice)
812-14277 IC-31163 Jul. 22, 2014 USCF Equity Trust, et al. (Order)
812-14340 IC-32889 Oct. 31, 2017 USCF Fund Advisors, LLC, et al. (Order)
812-14340 IC-32851 Oct. 4, 2017 USCF Fund Advisors, LLC, et al. (Notice)
812-14733 IC-32798 Aug. 28, 2017 USQ Core Real Estate Fund and Union Square Capital Partners, LLC (Order)
812-14733 IC-32767 Jul. 31, 2017 USQ Core Real Estate Fund and Union Square Capital Partners, LLC (Notice)

V

File No. Release No. Date Investment Company
812-14805 IC-33002 Feb. 6, 2018 Validea Capital Management, ETF Series Solutions, and Quasar Distributors LLC (Order)
812-14805 IC-32952 Dec. 26, 2017 Validea Capital Management, LLC, et al. (Notice)
812-14322 IC-31277 Oct. 7, 2014 Validea Capital Management, LLC, et al. (Order)
812-14322 IC-31246 Sep. 9, 2014 Validea Capital Management, LLC, et al. (Notice)
812-13951 IC-31071 Jun. 4, 2014 Valmark Advisers, Inc. and Northern Lights Variable Trust (Notice)
812-13951 IC-31142 Jul. 1, 2014 Valmark Advisers, Inc. and Northern Lights Variable Trust (Order)
812-14400 IC-31547 Apr. 6, 2015 Van Eck Associates Corporation, et al. (Notice)
812-14400 IC-31596 May 6, 2015 Van Eck Associates Corporation, et al. (Order)
812-13624 IC-29455 Oct. 1, 2010 Van Eck Associates Corporation, et al. (Notice)
812-13605 IC-29459 Oct. 7, 2010 Van Eck Associates Corporation, et al. (Notice)
812-13507 IC-28349 Jul. 31, 2008 Van Eck Associates Corporation, et al. (Notice)
812-13426 IC-28007 Sep. 28, 2007 Van Eck Associates Corporation, et al. (Notice)
812-13339 IC-27694 Jan. 31, 2007 Van Eck Associates Corporation, et al. (Notice)
812-13624 IC-29490 Oct. 26, 2010 Van Eck Associates Corporation, et al. (Order)
812-13605 IC-29496 Nov. 3, 2010 Van Eck Associates Corporation, et al. (Order)
812-13507 IC-28365 Aug. 25, 2008 Van Eck Associates Corporation, et al. (Order)
812-13426 IC-28021 Oct. 24, 2007 Van Eck Associates Corporation, et al. (Order)
812-13339 IC-27742 Feb. 27, 2007 Van Eck Associates Corporation, Market Vectors ETF Trust, and Van Eck Securities Corporation (Order)
812-13740 IC-30252 Oct. 25, 2012 Van Eck Funds, et al. (Notice)
812-13740 IC-30279 Nov. 23, 2012 Van Eck Funds, et al. (Order)
812-13846 IC-30063 May 10, 2012 Van Eck VIP Trust, et al. (Notice)
812-13846 IC-30096 June 5, 2012 Van Eck VIP Trust, et al. (Order)
812-13304 IC-27820 May 9, 2007 Van Eck Worldwide Insurance Trust, et al. (Notice)
812-13304 IC-27849 Jun. 1, 2007 Van Eck Worldwide Insurance Trust, et al. (Order)
812-13506 IC-28406 Sep. 25, 2008 Van Kampen Retirement Strategy Trust, et al. (Notice)
812-13506 IC-28440 Oct. 17, 2008 Van Kampen Retirement Strategy Trust, et al. (Order)
812-13597 IC-31044 May 13, 2014 Vanguard Admiral Funds, et al. (Order)
812-13597 IC-31021 Apr. 17, 2014 Vanguard Admiral Funds, et al. (Notice)
812-13336 IC-27750 Mar. 9, 2007 Vanguard Bond Index Funds, et al. (Notice)
812-13336 IC-27773 Apr. 2, 2007 Vanguard Bond Index Funds, et al. (Order)
812-14691 IC-32852 Oct. 4, 2017 The Vanguard Group, Inc., et al. (Order)
812-14691 IC-32810 Sep. 8, 2017 The Vanguard Group, Inc., et al. (Notice)
812-13412 IC-28009 Sep. 28, 2007 Vanguard STAR Funds, et al. (Notice)
812-13412 IC-28024 Oct. 24, 2007 Vanguard STAR Funds, et al. (Order)
812-14108 IC-30700 Sep. 24, 2013 Variable Insurance Trust, et al. (Notice)
812-14108 IC-30749 Oct. 22, 2013 Variable Insurance Trust, et al. (Order)
812-14008 IC-30103 Jun. 14, 2012 Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC (Notice)
812-14008 IC-30133 Jul. 10, 2012 Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC (Order)
812-14716 IC-32766 Jul. 31, 2017 Vertical Capital Income Fund and Oakline Advisors, LLC, (Order)
812-14716 IC-32723 Jul. 3, 2017 Vertical Capital Income Fund and Oakline Advisors, LLC (Notice)
812-14409 IC-31493 Mar. 3, 2015 Victory Capital Management Inc., the Victory Portfolios, Victory Capital Advisers, Inc. (Order)
812-14409 IC-31444 Feb. 3, 2015 Victory Capital Management Inc., et al. (Notice)
812-14495 IC-31745 Aug. 11, 2015 Victory NextShares Trust, et al. (Notice)
812-14495 IC-31811 Sep. 9, 2015 Victory Nextshares Trust, et al. (Order)
812-14719 IC-32577 Mar. 28, 2017 Victory Portfolios, et al. (Order)
812-14719 IC-32519 Mar. 2, 2017 Victory Portfolios, et al. (Notice)
812-14603 IC-32425 Jan. 18, 2017 Virtus Alternative Solutions Trust, et al. (Order)
812-14603 IC-32398 Dec. 21, 2016 Virtus Alternative Solutions Trust, et al. (Notice)
812-14538 IC-32327 Oct. 25, 2016 Virtus Alternative Solutions Trust, et al. (Order)
812-14538 IC-32293 Sep. 28, 2016 Virtus Alternative Solutions Trust, et al. (Notice)
812-14231 IC-30986 Mar. 19, 2014 Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc. (Notice)
812-14231 IC-31014 Apr. 15, 2014 Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc. (Order)
812-13751 IC-29370 Jul. 27, 2010 Virtus Opportunities Trust, et al. (Notice)
812-13751 IC-29383 Aug. 23, 2010 Virtus Opportunities Trust, et al. (Order)
812-14572 IC-32288 Sep. 27, 2016 Voya ETF Trust, et al. (Order)
812-14571 IC-32287 Sep. 27, 2016 Voya ETF Trust, et al. (Order)
812-14572 IC-32248 Aug. 30, 2016 Voya ETF Trust, et al. (Notice)
812-14571 IC-32246 Aug. 30, 2016 Voya ETF Trust, et al. (Notice)
812-14302 IC-31599 May 12, 2015 Voya Retirement Insurance and Annuity Company, et al. (Order)
812-14302 IC-31552 Apr. 15, 2015 Voya Retirement Insurance and Annuity Company, et al. (Notice)
812-14201 IC-30815 Dec. 2, 2013 VTL Associates, LLC, et al. (Notice)
812-14201 IC-30849 Dec. 30, 2013 VTL Associates, LLC, et al. (Order)
812-14200 IC-30789 Nov. 19, 2013 VTL Associates, LLC, et al. (Order)

W

File No. Release No. Date Investment Company
812-13632 IC-28618 Feb. 18, 2009 Wachovia Securities, LLC, et al. (Notice and Temporary Order)
812-13632 IC-28648 Mar. 17, 2009 Wachovia Securities, LLC, et al. (Order)
812-14832 IC-33124 Jun. 18, 2018 Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC (Order)
812-14832 IC-33101 May 21, 2018 Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC (Notice)
812-14176 IC-30644 Aug. 6, 2013 Wells Fargo Bank, N.A., et al. (Notice and Temporary Order)
812-14176 IC-30685 Sep. 4, 2013 Wells Fargo Bank, N.A., et al. (Permanent Order)
812-14176 IC-30600 Jul. 15, 2013 Wells Fargo Bank, N.A., et al. (Temporary Order)
812-14074 IC-30210 Sep. 21, 2012 Wells Fargo Bank, N.A., et al. (Temporary Order)
812-14074 IC-30266 Nov. 16, 2012 Wells Fargo Bank, N.A., et al. (Notice and Temporary Order)
812-14074 IC-30303 Dec. 12, 2012 Wells Fargo Bank, N.A., et al. (Order)
812-13987 IC-29881 Dec. 9, 2011 Wells Fargo Bank, N.A. (Notice and Temporary Order)
812-14599 IC-32218 Aug. 16, 2016 Wells Fargo Bank, National Association, et al. (Notice)
812-14599 IC-32253 Sep. 7, 2016 Wells Fargo Bank, National Association, et al. (Order)
812-14681 IC-32869 Oct. 24, 2017 Wells Fargo Exchange-Traded Funds Trust, et al. (Order)
812-14681 IC-32836 Sep. 27, 2017 Wells Fargo Exchange-Traded Funds Trust, et al. (Notice)
812-14323 IC-31156 Jul. 15, 2014 Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust (Notice)
812-14323 IC-31205 Aug. 12, 2014 Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust (Order)
812-14090 IC-30830 Dec. 13, 2013 Wells Fargo Funds Trust, et al. (Notice)
812-14090 IC-30853 Jan. 8, 2014 Wells Fargo Funds Trust, et al. (Order)
812-13967 IC-30201 Sep. 12, 2012 Wells Fargo Funds Trust, et al. (Notice)
812-13967 IC-30231 Oct. 10, 2012 Wells Fargo Funds Trust, et al. (Order)
812-13548 IC-28482 Oct. 31, 2008 Wells Fargo Funds Trust, et al. (Notice)
812-13548 IC-28524 Nov. 26, 2008 Wells Fargo Funds Trust, et al. (Order)
812-14728 IC-32682 Jun. 16, 2017 Westcore Trust and Denver Investment Advisors LLC (Notice)
812-14728 IC-32732 Jul. 12, 2017 Westcore Trust and Denver Investment Advisors LLC (Order)
812-14120 IC-31080 Jun. 12, 2014 WhiteHorse Finance, Inc., et al. (Notice)
812-14120 IC-31152 Jul. 8, 2014 WhiteHorse Finance, Inc., et al. (Order)
812-14817 IC-32890 Oct. 31, 2017 Whitford Asset Management LLC, et al. (Order)
812-14817 IC-32853 Oct. 4, 2017 Whitford Asset Management, LLC, et al. (Notice)
812-14534 IC-31896 Nov. 5, 2015 Wildermuth Endowment Strategy Fund, et al. (Notice)
812-14534 IC-31922 Dec. 1, 2015 Wildermuth Endowment Strategy Fund, et al. (Order)
813-274 IC-28700 Apr. 22, 2009 William Blair & Company, L.L.C. and Wilblairco II, L.L.C. (Notice)
813-274 IC-28727 May 20, 2009 William Blair & Company, L.L.C., Wilblairco II, L.L.C. (Order)
812-13871 IC-30314 Dec. 21, 2012 William Blair & Company, L.L.C. and William Blair Funds (Order)
812-13871 IC-30285 Nov. 29, 2012 William Blair & Company, L.L.C. and William Blair Funds (Notice)
812-14350 IC-31456 Feb. 12, 2015 Wilshire Mutual Funds, Inc., et al. (Order)
812-14350 IC-31381 Dec. 16, 2014 Wilshire Mutual Funds, Inc., et al. (Notice)
812-13272 IC-27751 Mar. 15, 2007 Wilshire Variable Insurance Trust and Wilshire Associates Incorporated (Order)
812-13272 IC-27701 Feb. 16, 2007 Wilshire Variable Insurance Trust, et al. (Notice)
813-374 IC-30374 Jan. 31, 2013 WINCO Investment Partnership 2008 L.P. and Winstead PC (Notice)
813-374 IC-30407 Feb. 26, 2013 WINCO Investment Partnership 2008 L.P. and Winstead PC (Order)
812-14694 IC-32614 Apr. 26, 2017 Winton Diversified Opportunities Fund and Winton Capital US LLC (Order)
812-14694 IC-32585 Mar. 30, 2017 Winton Diversified Opportunities Fund and Winton Capital US LLC (Notice)
812-13470 IC-28147 Feb. 6, 2008 Wisdom Tree Trust, et al. (Notice)
812-13733 IC-29380 Aug. 13, 2010 WisdomTree Asset Management Inc, et al. (Notice)
812-13642 IC-28836 Jul. 24, 2009 WisdomTree Asset Management Inc. (Order)
812-13733 IC-29412 Sep. 8, 2010 WisdomTree Asset Management Inc., et al. (Order)
812-13642 IC-28804 Jun. 29, 2009 WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice)
812-13458 IC-28419 Sep. 29, 2008 WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice)
812-13458 IC-28471 Oct. 27, 2008 WisdomTree Asset Management, Inc. and WisdomTree Trust (Order)
812-13650 IC-28755 Jun. 1, 2009 WisdomTree Investments, Inc., et al. (Notice)
812-13417 IC-27976 Sep. 21, 2007 WisdomTree Investments, Inc., et al. (Notice)
812-13650 IC-28805 Jun. 29, 2009 WisdomTree Investments, Inc., et al. (Order)
812-13417 IC-28015 Oct. 17, 2007 WisdomTree Investments, Inc., et al. (Order)
812-14238 IC-30790 Nov. 20, 2013 WisdomTree Trust, et al. (Notice)
812-14238 IC-30826 Dec. 11, 2013 WisdomTree Trust, et al. (Order)
812-13470 IC-28174 Feb. 27, 2008 WisdomTree Trust, et al. (Order)
812-13687 IC-29202 Apr. 2, 2010 WNC Tax Credits 38, LLC, et al. (Notice)
812-13687 IC-29260 Apr. 27, 2010 WNC Tax Credits 38, LLC, et al. (Order)
812-13885 IC-29715 Jul. 6, 2011 WNC Tax Credits 40, LLC, et al. (Notice)
812-13885 IC-29742 Aug. 2, 2011 WNC Tax Credits 40, LLC, et al. (Order)
813-365 IC-28484 Nov. 10, 2008 Wortham Finance, L.P. et al. (Notice)
813-365 IC-28529 Dec. 9, 2008 Wortham Finance, L.P., et al. (Order)

XYZ

File No. Release No. Date Investment Company
812-13449 IC-28766 Jun. 11, 2009 X Exchange-Traded Funds, Inc., et al. (Notice)
812-13449 IC-28814 Jul. 7, 2009 X Exchange-Traded Funds, Inc., et al. (Order)
812-13334 IC-27783 Apr. 25, 2007 XTF Advisors Trust, et al. (Notice)
812-13334 IC-27825 May 22, 2007 XTF Advisors Trust, et al. (Order)
812-13874 IC-30306 Dec. 17, 2012 Yorkville ETF Trust and Yorkville ETF Advisors, LLC (Notice)
812-13874 IC-30349 Jan. 14, 2013 Yorkville ETF Trust and Yorkville ETF Advisers, LLC (Order)
812-13224 IC-27610 Dec. 22, 2006 Ziegler Exchange Traded Trust, et al. (Notice)
812-13224 IC-27664 Jan. 18, 2007 Ziegler Exchange Traded Trust, Ziegler Capital Management, LLC, B.C. Ziegler and Company (Order)
812-13497 IC-28441 Oct. 20, 2008 The Zweig Total Return Fund, Inc., et al. (Notice)
812-13497 IC-28485 Nov. 17, 2008 The Zweig Total Return Fund, Inc., et al. (Order)

 

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