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Investment Company Act Notices and Orders
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A | |||
| File No. | Release No. | Date | Investment Company |
|---|---|---|---|
| 812-13251 | IC-27918 | Jul. 31, 2007 | AARP Funds, et al. (Notice) |
| 812-13251 | IC-27956 | Aug. 28, 2007 | AARP Funds, et al. (Order) |
| 812-13530 | 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) |
| 812-14237 | IC-30915 | Feb. 11, 2014 | Acacia Asset Management LLC and Acacia Trust (Notice) |
| 812-14066 | IC-30602 | Jul. 19, 2013 | ACS Wireless, Inc. (Order) |
| 812-14066 | IC-30567 | Jun. 25, 2013 | ACS Wireless, Inc (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) |
| 812-13537 | IC-28355 | Aug. 8, 2008 | Advanced Series Trust, et al. (Notice) |
| 812-13537 | IC-28374 | Sep. 3, 2008 | Advanced Series Trust, et al. (Order) |
| 812-13643 | 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) |
| 812-13536 | 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) |
| 812-13889 | IC-30065 | May 21, 2012 | Advisors Series Trust and Orinda Asset Management, LLC (Order) |
| 812-13889 | IC-30065 | May 21, 2012 | Advisors Series Trust and Orinda Asset Management, LLC (Order) |
| 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) |
| 812-13578 | IC-28819 | Jul. 16, 2009 | The Alger Funds, et al. (Notice) |
| 812-13578 | IC-28844 | Aug. 11, 2009 | The Alger Funds, et al. (Order) |
| 812-13797 | 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) |
| 812-13939 | 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) |
| 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) |
| 812-13523 | 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) |
| 812-13630 | 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) |
| 812-13884 | IC-30519 | May 14, 2013 | ALPS ETF Trust, et al. (Notice) |
| 812-13884 | IC-30553 | Jun. 11, 2013 | ALPS ETF Trust, et al. (Order) |
| 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) |
| 812-14130 | 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) |
| 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) |
| 812-14005 | 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) |
| 812-13825 | IC-30819 | Dec. 5, 2013 | American Beacon Funds, et al. (Notice) |
| 812-13825 | IC-30848 | Dec. 30, 2013 | American Beacon Funds, et al. (Order) |
| 812-13308 | 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) |
| 812-13853 | 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) |
| 812-13493 | 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) |
| 812-13930 | 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) |
| 812-13708 | 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) |
| 812-13973 | 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) |
| 812-13259 | 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) |
| 812-13612 | 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) |
| 812-13833 | IC-30153 | Jul. 26, 2012 | AQR Capital Management, LLC (Order) |
| 812-13833 | IC-30128 | Jul. 3, 2012 | AQR Capital Management, LLC, et al. (Notice) |
| 812-14062 | 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) |
| 812-13847 | IC-29977 | Mar. 9, 2012 | Ares Capital Corporation et al. (Notice) |
| 812-13847 | IC-30024 | Mar. 30, 2012 | Ares Capital Corporation, Ares Capital Management LLC, and Ivy Hill Asset Management, L.P. (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) |
| 812-14155 | 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) |
| 812-13746 | 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) |
| 812-13641 | 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) |
| 812-14036 | 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) |
| 812-12903 | 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) |
| 812-13662 | 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) |
| 812-13391 | 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) |
| 812-13352 | 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) |
| 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) |
| 812-14135 | 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) |
| 812-13235 | 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) |
| 812-14026 | 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) |
| 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) |
| 812-14096 | 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) |
| 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) |
| 812-14118 | IC-30592 | Jul. 9, 2013 | Bridge Builder Trust, et al. (Notice) |
| 812-14118 | IC-30641 | Aug. 6, 2013 | Bridge Builder Trust, et al. (Order) |
| 812-13525 | IC-28685 | Apr. 1, 2009 | Bridgeway Capital Management, Inc. (Notice) |
| 812-13525 | IC-28716 | Apr. 28, 2009 | Bridgeway Capital Management, Inc. (Order) |
| 812-12984 | 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) |
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) |
| 812-13718 | 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) |
| 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) |
| 812-14007 | IC-29981 | Mar. 14, 2012 | Capital Research and Management Company, et al. (Notice) |
| 812-13769 | IC-29450 | Sep. 29, 2010 | Capital Southwest Corporation (Notice) |
| 812-13769 | IC-29491 | Oct. 26, 2010 | Capital Southwest Corporation (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) |
| 812-14101 | 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) |
| 812-13857 | 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) |
| 812-14009 | 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) |
| 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) |
| 812-13618 | IC-28717 | Apr. 29, 2009 | Citibank, N.A. (Notice) |
| 812-13618 | IC-28746 | May 26, 2009 | Citibank, N.A. (Order) |
| 812-13615 | IC-28572 | Dec. 23, 2008 | Citigroup Global Markets Inc., et al. (Notice and Temporary 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) |
| 812-13534 | 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) |
| 812-13105 | 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) |
| 812-13594 | 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-30924 | Feb. 24, 2014 | Cohen & Steers Capital Management, Inc., et al. (Notice) |
| 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) |
| 812-14037 | IC-30260 | Nov. 13, 2012 | Columbia ETF Trust, et al. (Notice) |
| 812-14037 | IC-30301 | Dec. 11, 2012 | Columbia ETF Trust, et al. (Order) |
| 812-13955 | 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) |
| 812-13631 | 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) |
| 812-13573 | 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) |
| 812-14060 | IC-30884 | Jan. 16, 2014 | Cornerstone Advisors Inc. and The Advisors’ Inner Circle Fund (Notice) |
| 812-14060 | IC-30916 | Feb. 11, 2014 | Cornerstone Advisors Inc. and The Advisors’ Inner Circle Fund (Order) |
| 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) |
| 812-13865 | 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) |
| 812-13966 | 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) |
| 812-13423 | 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) |
D | |||
| File No. | Release No. | Date | Investment Company |
| 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) |
| 812-13521 | 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) |
| 812-13574-01 | 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) |
| 812-13664 | 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) |
| 812-13943 | 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) |
| 812-13377 | 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) |
| 812-13637 | 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) |
| 812-13539 | 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) |
| 812-13586 | 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) |
| 812-13759 | 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) |
| 812-14260 | 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) |
| 812-14117 | 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) |
| 812-13706 | IC-29294 | Jun. 4, 2010 | EQ Advisors Trust, et al. (Notice) |
| 812-13706 | IC-29336 | Jun. 30, 2010 | EQ Advisors Trust, et al. (Order) |
| 812-14129 | IC-30673 | Aug. 23, 2013 | Equinox Funds Trust, et al. (Notice) |
| 812-14129 | IC-30691 | Sep. 19, 2013 | Equinox Funds Trust, et al. (Order) |
| 812-14145 | 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) |
| 812-14212 | 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) |
| 812-13774 | IC-29501 | Nov. 18, 2010 | ETSpreads, LLC, et al. (Notice) |
| 812-13774 | IC-29525 | Dec. 14, 2010 | ETSpreads, LLC, et al. (Order) |
| 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) |
| 812-13963 | 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) |
| 812-13854 | 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) |
| 812-13748 | IC-29292 | Jun. 2, 2010 | FFCM, LLC and FQF Trust (Notice) |
| 812-13748 | IC-29335 | Jun. 29, 2010 | FFCM, LLC and FQF Trust (Order) |
| 812-13731 | 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) |
| 812-13984 | 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) |
| 812-13879 | 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) |
| 812-13698 | 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) |
| 812-13350 | 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) |
| 812-14023 | 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) |
| 812-14198 | 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) |
| 812-13265 | IC-27605 | Dec. 20, 2006 | Forum Funds, et al. (Notice) |
| 812-13265 | IC-27665 | Jan. 18, 2007 | Forum Funds and Absolute Investment Advisers (Order) |
| 812-13915 | 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) |
| 812-13741 | 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) |
| 812-13500 | 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) |
| 812-13499 | 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) |
| 812-13665 | IC-30511 | May 9, 2013 | FS Investment Corporation, et al. (Notice) |
| 812-13665 | IC-30548 | Jun. 4, 2013 | FS Investment Corporation, et al. (Order) |
G | |||
| File No. | Release No. | Date | Investment Company |
| 812-14211 | IC-30908 | Feb. 6, 2014 | The Gabelli Dividend & Income Trust, et al. (Notice) |
| 812-14211 | IC-30970 | Feb. 28, 2014 | The Gabelli Dividend & Income Trust, et al. (Order) |
| 812-13373 | IC-27808 | Apr. 30, 2007 | The Gabelli Equity Trust Inc., et al. (Notice) |
| 812-13373 | IC-27823 | May 22, 2007 | The Gabelli Equity Trust Inc., et al. (Order) |
| 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) |
| 812-13935 | 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) |
| 812-13517 | 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) |
| 812-14079 | 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) |
| 812-14075 | 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) |
| 812-13794 | 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) |
| 812-13986 | 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) |
| 812-14110 | 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) |
| 812-14151-04 | 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) |
| 812-14137 | 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 |
| 812-13392 | 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) |
| 812-14164 | 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) |
| 812-13267 | 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) |
| 812-14282 | IC-30969 | Feb. 26, 2014 | Hatteras Alternative Mutual Funds Trust, 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) |
| 812-14040 | 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) |
| 812-13736 | 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) |
| 812-13876 | 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) |
| 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 |
| 812-13921 | 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) |
| 812-13763 | 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) |
| 812-13891 | 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) |
| 812-13728 | 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) |
| 812-13601 | 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) |
| 812-14114 | 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) |
J | |||
| File No. | Release No. | Date | Investment Company |
| 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) |
| 812-13425 | 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) |
| 812-13419 | 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) |
| 812-13734 | 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) |
| 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 |
| 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) |
| 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) |
| 812-13989 | 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) |
L | |||
| File No. | Release No. | Date | Investment Company |
| 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) |
| 812-13757 | IC-30265 | Nov. 16, 2012 | Legg Mason ETF Trust, et al. (Order) |
| 812-14127 | IC-30923 | Feb. 24, 2014 | Legg Mason Partners Equity Trust, et al. (Notice) |
| 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) |
| 812-12973 | 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) |
| 812-14085 | IC-30523 | May 15, 2013 | LocalShares Investment Trust, et al. (Notice) |
| 812-14085 | IC-30555 | Jun. 11, 2013 | LocalShares Investment Trust, et. al. (Order) |
| 812-13913 | 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) |
M | |||
| File No. | Release No. | Date | Investment Company |
| 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) |
| 812-13257 | 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) |
| 812-13515 | 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) |
| 812-13551 | IC-28748 | May 28, 2009 | The Managers Funds, et al. (Notice) |
| 812-13551 | IC-28770 | Jun. 23, 2009 | The Managers Funds, et al. (Order) |
| 812-14125 | 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) |
| 812-13475 | 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) |
| 812-13694 | 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) |
| 812-13666 | 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) |
| 812-14020 | 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) |
| 812-13654 | 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) |
| 812-13816 | 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) |
| 812-13294 | 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) |
| 812-14158 | 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) |
| 812-13346 | 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) |
| 812-13656 | 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) |
| 812-14228 | 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) |
| 812-14059 | 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) |
| 812-13376 | 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) |
| 812-13648 | 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) |
| 812-13444 | 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) |
| 812-13086-05 | 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) |
| 812-13319 | 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) |
| 812-13903 | 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) |
| 812-14161 | 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) |
| 812-13707 | 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) |
| 812-13786 | 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) |
| 812-13863 | 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) |
| 812-13968 | 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) |
| 812-14128 | 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) |
| 812-14215 | 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 |
| 812-14185 | IC-30812 | Nov. 26, 2013 | OFS Capital Corporation, et al. (Order) |
| 812-14185 | IC-30771 | Oct. 30, 2013 | OFS Capital Corporation, et al. (Notice) |
| 812-14182 | IC-30895 | Jan. 28, 2014 | The Ohio National Life Insurance Company, et al. (Notice) |
| 812-14182 | IC-30925 | Feb. 24, 2014 | The Ohio National Life Insurance Company, et al. (Order) |
| 812-13614 | IC-28847 | Aug. 13, 2009 | Old Mutual Global Shares Trust, et al. (Notice) |
| 812-13614 | IC-28898 | Sep. 9, 2009 | Old Mutual Global Shares Trust, et al. (Order) |
| 812-13286 | IC-27837 | May 23, 2007 | Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Order) |
| 812-13286 | IC-27807 | Apr. 27, 2007 | Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Notice) |
| 812-13504 | 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) |
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) |
| 812-13571 | 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) |
| 812-14141 | 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) |
| 812-13348 | IC-28176 | Feb. 28, 2008 | Patriot Capital Funding, Inc. (Notice) |
| 812-13348 | IC-28200 | Mar. 25, 2008 | Patriot Capital Funding, Inc. (Order) |
| 812-13883 | IC-29751 | Aug. 10, 2011 | Pax World Funds Series Trust I, et al. (Notice) |
| 812-13883 | IC-29783 | Sep. 7, 2011 | Pax World Funds Series Trust I, et al. (Order) |
| 812-13702 | IC-29257 | Apr. 26, 2010 | Pax World Funds Trust II, et al. (Notice) |
| 812-13503 | IC-28834 | Jul. 22, 2009 | Pax World Funds Trust II, et al. (Notice) |
| 812-13702 | IC-29269 | May 17, 2010 | Pax World Funds Trust II, et al. (Order) |
| 812-13503 | IC-28846 | Aug. 13, 2009 | Pax World Funds Trust II, et al. (Order) |
| 812-13772 | 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) |
| 812-13526 | IC-28375 | Sep. 3, 2008 | Phoenix Equity Trust, et al. (Notice) |
| 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) |
| 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) |
| 812-13526 | 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) |
| 812-13513 | 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) |
| 812-13636 | 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) |
| 812-13640 | 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) |
| 812-13386 | 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) |
| 812-13820 | 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) |
| 812-13627 | IC-30066 | May 21, 2012 | Praxis Mutual Funds, et al. (Order) |
| 812-13627 | IC-30042 | Apr. 23, 2012 | Praxis Mutual Funds, et al. (Notice) |
| 812-13981 | IC-30129 | Jul. 5, 2012 | Precidian ETFs Trust, et al. (Order) |
| 812-13981 | IC-30101 | Jun. 8, 2012 | Precidian ETFs Trust, et al. (Notice) |
| 812-13818 | IC-29692 | Jun. 9, 2011 | Precidian ETFs Trust, et al. (Notice) |
| 812-13818 | IC-29712 | Jul. 1, 2011 | Precidian ETFs Trust, et al. (Order) |
| 812-13965 | 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) |
| 812-13869 | IC-29824 | Sep. 29, 2011 | Principal Funds, Inc., et al. (Notice) |
| 812-13869 | IC-29843 | Oct. 25, 2011 | Principal Funds, Inc., et al. (Order) |
| 812-14136 | IC-30692 | Sep. 20, 2013 | Principal Management Corporation, et al. (Notice) |
| 812-14136 | IC-30742 | Oct. 16, 2013 | Principal Management Corporation, et al. (Order) |
| 812-13338 | 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) |
| 812-13029 | 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) |
| 812-13572 | 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) |
| 812-13455 | 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) |
| 812-13489-01 | 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) |
| 812-13634 | 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) |
| 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) |
| 812-13496 | 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) |
| 812-13295 | 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) |
| 812-13200 | 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) |
| 812-14068 | 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) |
| 812-13976 | 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) |
| 812-13569 | 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) |
| 812-14160 | IC-30919 | Feb. 18, 2014 | RiverNorth Funds, et al. (Notice) |
| 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) |
| 812-14148 | 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) |
| 812-14035 | 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) |
| 812-14022 | 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) |
| 812-13559 | 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) |
| 812-14046 | 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) |
| 812-13372 | 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) |
| 811-07528 | IC-30647 | Aug. 8, 2013 | Special Opportunities Fund, Inc. (Notice) See also Application |
| 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) |
| 812-13793 | 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) |
| 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) |
| 812-13867 | 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) |
| 812-13402 | 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) |
| 812-13778 | IC-30046 | Apr. 24, 2012 | Sunwest Rollover Member LLC (Order) |
| 812-13778 | IC-30014 | Mar. 29, 2012 | Sunwest Rollover Member LLC (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) |
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) |
| 812-13508 | IC-28252 | Apr. 24, 2008 | Thrivent Mutual Funds, et al. (Notice) |
| 812-13508 | IC-28267 | May 20, 2008 | Thrivent Mutual Funds, et al. (Order) |
| 812-13831 | 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) |
| 812-13363 | 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) |
| 812-13862 | 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) |
| 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) |
| 812-14133 | IC-30776 | Nov. 6, 2013 | Transamerica Life Insurance Company, et al. (Notice) |
| 812-14133 | IC-30816 | Dec. 3, 2013 | Transamerica Life Insurance Company, et al. (Order) |
| 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) |
| 812-14113 | 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) |
| 812-14012 | IC-30235 | Oct. 18, 2012 | Trust for Professional Managers, et al. (Notice) |
| 812-14012 | IC-30263 | Nov. 14, 2012 | Trust for Professional Managers , et al. (Order) |
| 812-13514 | IC-28382 | Sep. 19, 2008 | Trust for Professional Managers, et al. (Notice) |
| 812-13514 | IC-28439 | Oct. 15, 2008 | Trust for Professional Managers, et al. (Order) |
| 812-13408 | IC-27995 | Sep. 26, 2007 | Trust for Professional Managers, et al. (Order) |
| 812-13408 | IC-27964 | Aug. 31, 2007 | Trust for Professional Managers, Inc., et al. (Notice) |
| 812-14054 | IC-30449 | Apr. 4, 2013 | TSC Distributors LLC and TSC UITS (Notice) |
| 812-14054 | IC-30501 | Apr. 30, 2013 | TSC Distributors LLC and TSC UITS (Order) |
| 813-359 | IC-29409 | Sep. 3, 2010 | Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Notice) |
| 813-359 | IC-29449 | Sep. 29, 2010 | Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Order) |
| 813-332 | 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 |
| 812-13246 | 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) |
| 812-14188 | 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) |
| 812-14105 | 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) |
| 812-13453 | 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) |
| 812-14140 | 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) |
V | |||
| File No. | Release No. | Date | Investment Company |
| 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) |
| 812-13336 | 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) |
| 812-13412 | 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) |
| 812-13751 | IC-29370 | Jul. 27, 2010 | Virtus Opportunities Trust, et al. (Notice) |
| 812-13751 | IC-29383 | Aug. 23, 2010 | Virtus Opportunities Trust, et al. (Order) |
| 812-14201 | 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) |
| 812-14176 | 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) |
| 812-14090 | 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) |
| 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) |
| 812-13272 | 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) |
| 812-13470 | 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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