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Investment Company Act Notices and Orders
Chronological Listing

This page lists notices and orders issued on or after January 1, 2007, relating to applications filed under the Investment Company Act. See Public Records and Information for instructions on obtaining paper copies of applications not filed electronically on EDGAR.

See also:


2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006

2017

File No. Release No. Date Investment Company
812-14656 IC-32484 Feb. 21, 2017 Morgan Stanley ETF Trust, et al. (Notice)
812-14386 IC-32483 Feb. 21, 2017 The RBB Fund, Inc. and Altair Advisers LLC (Notice)
812-14590 IC-32481 Feb. 16, 2017 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Notice)
812-14724 IC-32478 Feb. 14, 2017 Brinker Capital Destinations Trust, et al. (Notice)
812-14743 IC-32477 Feb. 13, 2017 General Electric Company and GE Capital International Holdings Limited (Notice)
812-14693 IC-32474 Feb. 9, 2017 USAA Asset Management Company, et al. (Notice)
812-14708 IC-32472 Feb. 7, 2017 NorthStar/Townsend Institutional Real Estate Fund Inc., et al. (Notice)
812-14701 IC-32471 Feb. 7, 2017 StrongVest ETF Trust, et al. (Notice)
812-14568 IC-32469 Feb. 7, 2017 Owl Rock Capital Corporation, et al.(Order)
812-14627 IC-32468 Feb. 6, 2017 Guardian Variable Products Trust and Park Avenue Institutional Advisers LLC (Order)
812-13764 IC-32461 Jan. 31, 2017 Golub Capital BDC, Inc., et al. (Notice)
812-14702 IC-32460 Jan. 31, 2017 Goldman, Sachs & Co. (Notice)
812-14628 IC-32459 Jan. 30, 2017 Destra Capital Advisors LLC, et al. (Order)
812-14629 IC-32458 Jan. 30, 2017 Destra Capital Advisors LLC, et al. (Notice)
812-14675 IC-32455 Jan. 27, 2017 Krane Funds Advisors, LLC, et al. (Order)
812-13828-01 IC-32454 Jan. 27, 2017 Hartford Funds Exchange-Traded Trust, et al. (Order)
812-14149 IC-32457 Jan. 27, 2017 Allstate Assurance Company, et al (Notice)
812-14700 IC-32453 Jan. 26, 2017 StrongVest ETF Trust, et al. (Notice)
812-14729 IC-32435 Jan. 25, 2017 Causeway ETMF Trust, et al. (Notice)
812-14655 IC-32431 Jan. 24, 2017 Morgan Stanley ETF Trust, et al. (Order)
812-13603 IC-32427 Jan. 18, 2017 Ares Capital Corporation, et al. (Order)
812-14690 IC-32426 Jan. 18, 2017 Northern Lights Fund Trust IV and Blue Sky Asset Management, LLC (Order)
812-14603 IC-32425 Jan. 18, 2017 Virtus Alternative Solutions Trust, et al. (Order)
812-14676 IC-32424 Jan. 18, 2017 Transamerica Funds, et al. (Order)
812-14595 IC-32423 Jan. 17, 2017 Delaware Management Business Trust, et al. (Order)
812-14568 IC-32422 Jan. 11, 2017 Owl Rock Capital Corporation, et al. (Notice)
812-14653 IC-32421 Jan. 10, 2017 Equus Total Return, Inc. (Order)
812-14627 IC-32420 Jan. 9, 2017 Guardian Variable Products Trust and Park Avenue Institutional Advisers LLC (Notice)
812-14606 IC-32419 Jan. 9, 2017 Minnesota Life Insurance Company, et al. (Order)
812-14663 IC-32418 Jan. 9, 2017 Alpha Architect ETF Trust, et al. (Order)
812-13828-01 IC-32413 Jan. 4, 2017 Hartford Funds Exchange-Traded Trust, et al. (Notice)
812-14675 IC-32412 Jan. 4, 2017 Krane Funds Advisors, LLC, et al. (Notice)
812-14605 IC-32411 Jan. 4, 2017 Fidus Investment Corporation, et al. (Order)
812-14543 IC-32410 Jan. 4, 2017 ALAIA Market Linked Trust and Beech Hill Securities, Inc. (Order)
812-14219 IC-32409 Jan. 4, 2017 Goldman Sachs BDC, Inc., et al. (Order)
812-14721 IC-32408 Jan. 4, 2017 Stifel, Nicolaus & Company, Inc., et al. (Order)

2016

File No. Release No. Date Investment Company
812-14622 IC-32406 Dec. 29, 2016 DFA Investment Dimensions Group Inc., et al. (Notice)
812-14655 IC-32405 Dec. 28, 2016 Morgan Stanley ETF Trust, et al. (Notice)
812-14685 IC-32404 Dec. 28, 2016 CWM Advisors, LLC, et al. (Order)
812-14690 IC-32401 Dec. 23, 2016 Northern Lights Fund Trust IV and Blue Sky Asset Management, LLC (Notice)
812-14676 IC-32400 Dec. 21, 2016 Transamerica Funds, et al. (Notice)
812-13603 IC-32399 Dec. 21, 2016 Ares Capital Corporation, et al. (Notice)
812-14603 IC-32398 Dec. 21, 2016 Virtus Alternative Solutions Trust, et al. (Notice)
812-14485 IC-32396 Dec. 20, 2016 OWLshares Trust, et al. (Order)
812-14595 IC-32395 Dec. 19, 2016 Delaware Management Business Trust, et al. (Notice)
812-14606 IC-32393 Dec. 14, 2016 Minnesota Life Insurance Company, et al. (Notice)
812-14653 IC-32392 Dec. 14, 2016 Equus Total Return, Inc. (Notice)
812-14547 IC-32391 Dec. 13, 2016 Legg Mason ETF Equity Trust, et al. (Order)
812-14663 IC-32389 Dec. 12, 2016 Alpha Architect ETF Trust, et al. (Notice)
812-14447 IC-32386 Dec. 8, 2016 Hartford Life Insurance Company, et al (Notice)
See also: requests and additional information
812-14446 IC-32385 Dec. 8, 2016 Hartford Life Insurance Company, et al (Notice)
See also: requests and additional information
812-14543 IC-32384 Dec. 8, 2016 ALAIA Market Linked Trust and Beech Hill Securities, Inc. (Notice)
812-14219 IC-32382 Dec. 7, 2016 Goldman Sachs BDC, Inc., et al. (Notice)
812-14605 IC-32381 Dec. 7, 2016 Fidus Investment Corporation, et al. (Notice)
812-14721 IC-32379 Dec. 6, 2016 Stifel, Nicolaus & Company, Inc., et al. (Notice and Temporary Order)
812-14299 IC-32378 Dec. 5, 2016 Advisors Series Trust and Vivaldi Asset Management, LLC (Order)
812-14654 IC-32377 Dec. 2, 2016 The Boston Trust & Walden Funds, et al. (Order)
812-14685 IC-32375 Dec. 1, 2016 CWM Advisors, LLC, et al. (Notice)
812-14633 IC-32374 Nov. 30, 2016 Prudential ETF Trust, et. al. (Order)
812-14652 IC-32364 Nov. 22, 2016 Hartford Mutual Funds, Inc., et al. (Order)
812-14485 IC-32363 Nov. 22, 2016 OWLshares Trust, et al. (Notice)
812-14472 IC-32362 Nov. 22, 2016 NF Investment Corp., et al. (Order)
812-14542 IC-32361 Nov. 18, 2016 ALAIA Market Linked Trust and Beech Hill Securities, Inc. (Order)
812-14547 IC-32360 Nov. 16, 2016 Legg Mason ETF Equity Trust, et al. (Notice)
812-14619 IC-32359 Nov. 16, 2016 Nuveen Fund Advisors, LLC, et al. (Order)
812-14508 IC-32358 Nov. 10, 2016 ETF Managers Group LLC et al. (Order)
812-14558 IC-32357 Nov. 10, 2016 State Farm Associates' Funds Trust, et al. (Order)
812-14594 IC-32355 Nov. 9, 2016 First Investors Equity Funds, et al. (Order)
812-14583 IC-32354A Nov. 7, 2016 Legg Mason Global Asset Management Trust, et al. (Order)
812-14654 IC-32353 Nov. 7, 2016 The Boston Trust & Walden Funds, et al. (Notice)
812-14633 IC-32351 Nov. 1, 2016 Prudential ETF Trust, et al. (Notice)
812-14592 IC-32350 Nov. 1, 2016 Hartford Funds Exchange-Traded Trust, et. al. (Order)
812-14452 IC-32349 Nov. 1, 2016 Terra Income Fund 6, Inc., et al. (Order)
812-14680-01 IC-32348 Nov. 1, 2016 The Bank of New York Mellon Trust Company, National Association and The Bank of New York Mellon (Order)
812-14609 IC-32347 Nov. 1, 2016 Harris Associates Investment Trust, et al. (Order)
812-14472 IC-32340 Oct. 27, 2016 NF Investment Corp., et al. (Notice)
812-14652 IC-32338 Oct. 26, 2016 Hartford Mutual Funds Inc., et al. (Notice)
812-14538 IC-32327 Oct. 25, 2016 Virtus Alternative Solutions Trust, et al. (Order)
812-14660 IC-32323 Oct. 24, 2016 Foreside ETF Trust, et al. (Order)
812-14641 IC-32325 Oct. 24, 2016 SerenityShares Investments LLC, et al. (Order)
812-14542 IC-32324 Oct. 24, 2016 ALAIA Market Linked Trust and Beech Hill Securities, Inc. (Notice)
812-14619 IC-32322 Oct. 21, 2016 Nuveen Fund Advisors, LLC, et al. (Notice)
812-14410 IC-32319 Oct. 17, 2016 Altegris KKR Commitments Master Fund, et al. (Order)
812-14594 IC-32318 Oct. 14, 2016 First Investors Equity Funds, et al. (Notice)
812-14508 IC-32317 Oct. 13, 2016 ETF Managers Group, et al. (Notice)
812-14432 IC-32313 Oct. 12, 2016 Northern Lights Fund Trust and Dearborn Capital Management, LLC (Order)
812-14602 IC-32312 Oct. 12, 2016 OFS Capital Corporation, et al. (Order)
812-14549 IC-32311 Oct. 12, 2016 Global X Funds, et al. (Order)
812-14453 IC-32310 Oct. 11, 2016 AB Private Credit Investors Corporation, et al. (Order)
812-14680-01 IC-32309 Oct. 7, 2016 The Bank of New York Mellon Trust Company, National Association and The Bank of New York Mellon (Notice)
812-14628 IC-32308 Oct. 7, 2016 Destra Capital Advisors LLC, et al. (Notice)
812-14592 IC-32307 Oct. 6, 2016 Hartford Funds Exchange-Traded Trust, et. al. (Notice)
812-14609 IC-32347 Nov. 1, 2016 Harris Associates Investment Trust, et al. (Order)
812-14609 IC-32306 Oct. 5, 2016 Harris Associates Investment Trust, et al. (Notice)
812-14665 IC-32305 Oct. 5, 2016 Dhandho ETF Trust and Dhandho Funds LLC (Order)
812-14659 IC-32304 Oct. 5, 2016 Foreside Advisor Services, LLC, et al. (Order)
812-14452 IC-32303 Oct. 4, 2016 Terra Income Fund 6, Inc., et al. (Notice)
812-13889 IC-32302 Oct. 4, 2016 Advisors Series Trust and Orinda Asset Management, LLC (Order Rescinding a Prior Order)
812-14583 IC-32300 Oct. 3, 2016 Legg Mason Global Asset Management Trust, et al. (Notice)
812-14538 IC-32293 Sep. 28, 2016 Virtus Alternative Solutions Trust, et al. (Notice)
812-14657 IC-32292 Sep. 27, 2016 Rational Advisors, Inc. and Strategy Shares (Order)
812-14658 IC-32291 Sep. 27, 2016 Regents Park Funds, LLC (Order)
812-14572 IC-32288 Sep. 27, 2016 Voya ETF Trust, et al. (Order)
812-14571 IC-32287 Sep. 27, 2016 Voya ETF Trust, et al. (Order)
812-14669 IC-32285 Sep. 26, 2016 Harris & Harris Group, Inc. (Order)
812-14660 IC-32284 Sep. 26, 2016 Foreside ETF Trust, et al. (Notice)
812-14641 IC-32283 Sep. 26, 2016 SerenityShares Investments LLC, et al. (Notice)
812-14630 IC-32282 Sep. 26, 2016 Starboard Investment Trust and Cavalier Investments, Inc. (Order)
812-14529 IC-32270 Sep. 20, 2016 Calvert Social Investment Fund, et al. (Order)
812-14678 IC-32268 Sep. 20, 2016 iShares Trust, et al. (Order)
812-14410 IC-32265 Sep. 19, 2016 Altegris KKR Commitments Master Fund, et al. (Notice)
812-14432 IC-32264 Sep. 16, 2016 Northern Lights Fund Trust and Dearborn Capital Management, LLC (Notice)
812-14549 IC-32262 Sep. 14, 2016 Global X Funds, et al. (Notice)
812-14453 IC-32261 Sep. 13, 2016 AB Private Credit Investors Corporation, et al. (Notice)
812-14632 IC-32260 Sep. 13, 2016 Davis Fundamental ETF Trust, et al. (Order)
812-14602 IC-32259 Sep. 13, 2016 OFS Capital Corporation, et al. (Notice)
812-14567 IC-32257 Sep. 12, 2016 FS Global Credit Opportunities Fund, et al. (Order)
812-14659 IC-32256 Sep. 9, 2016 Foreside Advisor Services, LLC, et al. (Notice)
812-14665 IC-32255 Sep. 9, 2016 Dhandho ETF Trust and Dhandho Funds LLC (Notice)
812-13889 IC-32254 Sep. 8, 2016 Advisors Series Trust and Orinda Asset Management, LLC (Notice of Intention to Rescind an Order)
See also: Notice, Rel. No. IC-30065
812-14599 IC-32253 Sep. 7, 2016 Wells Fargo Bank, National Association, et al. (Order)
812-14497 IC-32252 Sep. 6, 2016 BlackRock, et al. (Order)
812-14658 IC-32249 Aug. 31, 2016 Regents Park Funds, LLC, et al. (Notice)
812-14572 IC-32248 Aug. 30, 2016 Voya ETF Trust, et al. (Notice)
812-14585 IC-32247 Aug. 30, 2016 OSI ETF Trust, et al. (Order)
812-14571 IC-32246 Aug. 30, 2016 Voya ETF Trust, et al. (Notice)
812-14585 IC-32245 Aug. 30, 2016 Managed Portfolio Series and Port Street Investments, LLC (Order)
812-14661 IC-32244 Aug. 30, 2016 TrimTabs ETF Trust, et al. (Order)
812-14580 IC-32242 Aug. 29, 2016 Allianz Life Insurance Company of North America, et al. (Order)
812-14630 IC-32241 Aug. 29, 2016 Starboard Investment Trust and Cavalier Investments, Inc (Notice)
812-14666 IC-32237 Aug. 25, 2016 American Independence Funds Trust, et al. (Order)
812-14678 IC-32235 Aug. 24, 2016 iShares Trust, et al. (Notice)
812-14529 IC-32234 Aug. 24, 2016 Calvert Social Investment Fund, et al. (Notice)
812-14589 IC-32227 Aug. 23, 2016 New York Life Insurance and Annuity Corporation, et al. (Order)
812-14575 IC-32226 Aug. 23, 2016 Bain Capital Specialty Finance, Inc., et al. (Order)
812-14650 IC-32225 Aug. 23, 2016 CSat Investment Advisory, L.P., et al. (Order)
812-14635 IC-32224 Aug. 23, 2016 Investment Managers Series Trust, et al. (Order)
812-14567 IC-32221 Aug. 17, 2016 FS Global Credit Opportunities Fund, et al. (Notice)
812-14597 IC-32220 Aug. 16, 2016 Mutual Fund Series Trust, et al. (Order)
812-14632 IC-32219 Aug. 16, 2016 Davis Fundamental ETF Trust, et al. (Notice)
812-14599 IC-32218 Aug. 16, 2016 Wells Fargo Bank, National Association, et al. (Notice)
812-14497 IC-32209 Aug. 8, 2016 Blackrock Funds, et al. (Notice)
812-14661 IC-32208 Aug. 4, 2016 TrimTabs ETF Trust, et al. (Notice)
812-14580 IC-32207 Aug. 3, 2016 Allianz Life Insurance Company of North America, et al. (Notice)
812-14666 IC-32206 Aug. 3, 2016 American Independence Funds Trust, et al. (Notice)
812-14643 IC-32204 Aug. 2, 2016 OSI ETF Trust, et al. (Notice)
812-14585 IC-32201 Aug. 2, 2016 Managed Portfolio Series and Port Street Investments, LLC (Notice)
812-14575 IC-32197 Jul. 29, 2016 Bain Capital Specialty Finance, Inc., et al. (Notice)
812-14635 IC-32195 Jul. 28, 2016 Investment Managers Series Trust, et al. (Notice)
812-14650 IC-32196 Jul. 28, 2016 CSat Investment Advisory, L.P., et al. (Notice)
812-14651 IC-32191 Jul. 26, 2016 Fidelity Commonwealth Trust, et al. (Order)
812-14589 IC-32193 Jul. 26, 2016 New York Life Insurance and Annuity Corporation, et al. (Notice)
812-14502 IC-32192 Jul. 26, 2016 Lord Abbett Family of Funds and Lord, Abbett & Co. LLC (Order)
812-14523 IC-32190 Jul. 25, 2016 MainStay Funds Trust, et al. (Order)
812-14597 IC-32189 Jul. 20, 2016 Mutual Fund Series Trust, et al. (Notice)
812-14598 IC-32171 Jul. 6, 2016 ETF Managers Group LLC, et al. (Order)
812-14525 IC-32170 Jul. 5, 2016 Guggenheim Funds Trust, et al. (Order)
812-14501 IC-32168 Jul. 5, 2016 Ramius Archview Credit and Distressed Fund Ramius Advisors, LLC (Order)
812-14502 IC-32167 Jun. 29, 2016 Lord Abbett Family of Funds and Lord, Abbett & Co. LLC (Notice)
812-14651 IC-32166 Jun. 29, 2016 Fidelity Commonwealth Trust, et al. (Notice)
812-14426 IC-32164 Jun. 28, 2016 Carey Credit Income Fund, et al. (Order)
812-14523 IC-32163 Jun. 27, 2016 MainStay Funds Trust, et al. (Notice)
812-14399 IC-32154 Jun. 21, 2016 Ares Capital Corporation, et al. (Order)
812-14573 IC-32148 Jun. 13, 2016 Nationwide Mutual Funds, et al. (Order)
812-14598 IC-32142 Jun. 8, 2016 ETF Managers Group LLC, et al. (Notice)
812-14561 IC-32141 Jun. 7, 2016 TCW Alternative Funds, et al. (Order)
812-14525 IC-32140 Jun. 6, 2016 Guggenheim Funds Trust, et al. (Notice)
812-14501 IC-32139 Jun. 6, 2016 Ramius Archview Credit and Distressed Fund and Ramius Advisors, LLC (Notice)
812-14426 IC-32138 Jun. 2, 2016 Carey Credit Income Fund, et al. (Notice)
812-14544 IC-32136 Jun. 1, 2016 Capitala Finance Corp., et al. (Order)
812-14492 IC-32135 Jun. 1, 2016 Bridge Builder Trust, et al. (Order)
812-14552 IC-32134 May 31, 2016 Columbia ETF Trust I, et al. (Order)
812-14566 IC-32133 May 31, 2016 Franklin Templeton ETF Trust, et al. (Order)
812-14429 IC-32132 May 31, 2016 Triloma EIG Global Energy Fund, et al. (Order)
812-14399 IC-32127 May 26, 2016 Ares Capital Corporation, et al. (Notice)
813-00384 IC-32121 May 23, 2016 AllianceBernstein L.P. And AllianceBernstein U.S. Real Estate (Employee) Fund II, L.P. (Order)
812-14527 IC-32120 May 23, 2016 Madison ETF Trust and Madison ETF Advisers, LLC (Order)
812-14645 IC-32117 May 18, 2016 Terra Capital Partners, LLC, et al. (Order)
812-14587 IC-32116 May 18, 2016 ABS Long/Short Strategies Fund and ABS Investment Management LLC (Order)
812-14573 IC-32115 May 16, 2016 Nationwide Mutual Funds, et al. (Notice)
812-14561 IC-32113 May 11, 2016 TCW Alternative Funds, et al. (Notice)
812-14557 IC-32111 May 10, 2016 Nuveen Fund Advisers, LLC et al. (Order)
812-14604 IC-32110 May 10, 2016 Aptus Capital Advisors, LLC, et al. (Order)
812-14450 IC-32109 May 10, 2016 Newtek Business Services Corp. (Order)
812-14552 IC-32107 May 5, 2016 Columbia ETF Trust I, et al. (Notice)
812-14429 IC-32106 May 5, 2016 Triloma EIG Global Energy Fund, et al. (Notice)
812-14566 IC-32105 May 5, 2016 Franklin Templeton ETF Trust, et al. (Notice)
812-14492 IC-32103 May 4, 2016 Bridge Builder Trust, et al. (Notice)
812-14544 IC-32102 May 4, 2016 Capitala Finance Corp., et al. (Notice)
812-14514 IC-32101 May 3, 2016 Türkiye Sinai Kalkinma Bankasi A.S. (Order)
812-14528 IC-32100 May 2, 2016 Madison ETF Trust and Madison ETF Advisers, LLC (Order)
812-14511 IC-32098 Apr. 26, 2016 FactorShares Trust, et al. (Order)
812-14645 IC-32097 Apr. 26, 2016 Terra Capital Partners, LLC, et al. (Notice)
812-14537 IC-32096 Apr. 26, 2016 Advisors Asset Management, Inc. and AAM ETF Trust (Order)
813-00384 IC-32095 Apr. 25, 2016 AllianceBernstein L.P. and AllianceBernstein U.S. Real Estate (Employee) Fund II, L.P. (Notice)
812-14482 IC-32094 Apr. 25, 2016 OHA Investment Corporation, et al. (Order)
812-14527 IC-32093 Apr. 25, 2016 Madison ETF Trust and Madison ETF Advisers, LLC. (Notice)
812-14587 IC-32090 Apr. 21, 2016 ABS Long/Short Strategies Fund and ABS Investment Management LLC (Notice)
812-14285 IC-32079 Apr. 19, 2016 Northern Lights Fund Trust and Princeton Fund Advisors, LLC (Order)
812-14430 IC-32078 Apr. 19, 2016 NexPoint Capital, Inc., et al. (Order)
812-14384 IC-32077 Apr. 19, 2016 AMCAP Fund, et al. (Order)
812-14555 IC-32074 Apr. 18, 2016 Premise Capital LLC, et al. (Order)
812-14604 IC-32071 Apr. 13, 2016 Aptus Capital Advisors, LLC, et al. (Notice)
812-14450 IC-32070 Apr. 13, 2016 Newtek Business Services Corp. (Notice)
812-14557 IC-32069 Apr. 12, 2016 Nuveen Fund Advisors, LLC, et al. (Notice)
812-14600 IC-32068 Apr. 8, 2016 Principal Life Insurance Company, et al. (Order)
812-14586 IC-32067 Apr. 8, 2016 Principal Life Insurance Company, et al. (Order)
812-14514 IC-32066 Apr. 6, 2016 Türkiye Sinai Kalkinma Bankasi A.S. (Notice)
812-14528 IC-32065 Apr. 4, 2016 Madison ETF Trust and Madison ETF Advisers, LLC (Notice)
812-14577 IC-32064 Apr. 4, 2016 Pointbreak Advisers LLC, et al. (Order)
812-14537 IC-32063 Mar. 31, 2016 Advisors Asset Management, Inc. and AAM ETF Trust (Notice)
812-14511 IC-32062 Mar. 30, 2016 FactorShares Trust, et al. (Notice)
812-14482 IC-32061 Mar. 30, 2016 OHA Investment Corporation, et al. (Notice)
813-00385 IC-32058 Mar. 29, 2016 Ares Management LLC (Order)
812-13754 IC-32057 Mar. 29, 2016 Apollo Investment Corporation, et al. (Order)
812-14454 IC-32056 Mar. 29, 2016 Crescent Capital BDC, Inc., et al. (Order)
812-14535 IC-32055 Mar. 29, 2016 Advisors Asset Management, Inc. and AAM ETF Trust (Order)
812-14591 IC-32054 Mar. 29, 2016 Amplify ETF Trust and Amplify Investments LLC (Order)
812-14554 IC-32053 Mar. 25, 2016 CLS Investments, LLC, et al. (Order)
812-14481 IC-32052 Mar. 25, 2016 Charles Schwab Investment Management, Inc., et al. (Order)
812-14384 IC-32049 Mar. 24, 2016 AMCAP Fund, et al. (Notice)
812-14430 IC-32048 Mar. 24, 2016 NexPoint Capital, Inc., et al. (Notice)
812-14540 IC-32036 Mar. 22, 2016 LoCorr Fund Management, LLC and LoCorr Investment Trust (Order)
812-14442 IC-32035 Mar. 22, 2016 PowerShares Exchange-Traded Fund Trust, et al. (Order)
812-14555 IC-32033 Mar. 21, 2016 Premise Capital, LLC (Notice)
812-14285 IC-32032 Mar. 21, 2016 Northern Lights Fund Trust and Princeton Fund Advisors, LLC (Notice)
812-14586 IC-32030 Mar. 17, 2016 Principal Life Insurance Company, et al. (Notice)
812-14600 IC-32029 Mar. 17, 2016 Principal Life Insurance Company, et al. (Notice)
812-14532 IC-32026 Mar. 9, 2016 Innovator Management LLC and Academy Funds Trust (Order)
812-14574 IC-32025 Mar. 8, 2016 PowerShares Exchange-Traded Self-Indexed Fund Trust, et al. (Order)
812-14577 IC-32023 Mar. 7, 2016 Pointbreak Advisers LLC, et al. (Notice)
812-14591 IC-32022 Mar. 3, 2016 Amplify ETF Trust and Amplify Investments LLC (Notice)
812-14454 IC-32018 Mar. 2, 2016 Crescent Capital BDC Inc., et al. (Notice)
812-14505 IC-32021 Mar. 2, 2016 Good Hill Partners LP and Good Hill ETF Trust (Order)
813-00385 IC-32020 Mar. 2, 2016 Ares Management LLC (Notice)
812-13754 IC-32019 Mar. 2, 2016 Apollo Investment Corporation, et al. (Notice)
812-14433 IC-32017 Mar. 1, 2016 Medallion Financial Corp. (Order)
812-14535 IC-32015 Mar. 1, 2016 Advisors Asset Management, Inc. and AAM ETF Trust (Notice)
812-14481 IC-32014 Feb. 29, 2016 Charles Schwab Investment Management, Inc., et al. (Notice)
812-14376 IC-32013 Feb. 29, 2016 MassMutual Premier Funds, et al. (Order)
812-14554 IC-32011 Feb. 29, 2016 CLS Investments, LLC, et al. (Notice)
812-14530 IC-32010 Feb. 29, 2016 PNC Funds, et al. (Order)
812-14458 IC-32009 Feb. 29, 2016 Medallion Financial Corp. (Order)
812-14442 IC-32006 Feb. 25, 2016 PowerShares Exchange-Traded Fund Trust, et al. (Notice)
812-14540 IC-32005 Feb. 24, 2016 LoCorr Fund Management, LLC and LoCorr Investment Trust (Notice)
812-14518 IC-32004 Feb. 24, 2016 Susa Registered Fund, L.L.C., et al. (Order)
812-14532 IC-31996 Feb. 12, 2016 Innovator Management LLC, et al. (Notice)
812-14574 IC-31995 Feb. 11, 2016 PowerShares Exchange-Traded Self-Indexed Fund Trust, et al. (Notice)
812-14449 IC-31993 Feb. 10, 2016 The Guardian Insurance & Annuity Company, Inc., et al. (Order)
812-14473 IC-31992 Feb. 10, 2016 Leaning Pine II, L.L.C. (Order)
812-13761 IC-31990 Feb. 9, 2016 J.P. Morgan Exchange-Traded Fund Trust, et al. (Order)
812-14478 IC-31989 Feb. 8, 2016 Investment Managers Series Trust, et al. (Order)
812-14558 IC-31988 Feb. 8, 2016 State Farm Associates' Funds Trust, et al. (Notice)
812-14505 IC-31986 Feb. 5, 2016 Good Hill Partners LP and Good Hill ETF Trust (Notice)
812-14376 IC-31982 Feb. 3, 2016 MassMutual Premiere Funds, et al., (Notice)
812-14411 IC-31981 Feb. 3, 2016 Columbia Funds Series Trust I, et. al. (Order)
812-14433 IC-31980 Feb. 3, 2016 Medallion Financial Corp. (Notice)
812-14519 IC-31978 Feb. 2, 2016 Northern Lights Fund Trust, et. al (Order)
812-14458 IC-31977 Feb. 1, 2016 Medallion Financial Corp. (Notice)
812-14530 IC-31976 Feb. 1, 2016 PNC Funds, et al. (Notice)
812-14518 IC-31975 Jan. 29, 2016 Susa Registered Fund, L.L.C., et al. (Notice)
812-14461 IC-31961 Jan. 19, 2016 Recon Capital Series Trust, et al. (Order)
812-14449 IC-31958 Jan. 15, 2016 The Guardian Insurance & Annuity Company, Inc., et al. (Notice)
812-14473 IC-31959 Jan. 15, 2016 Leaning Pine II, L.L.C. (Notice)
812-13761 IC-31956 Jan. 14, 2016 J.P. Morgan Exchange-Traded Fund Trust, et al. (Notice)
812-14415 IC-31955 Jan. 12, 2016 Altegris KKR Commitments Master Fund, et al (Order)
812-14478 IC-31954 Jan. 11, 2016 Investment Managers Series Trust, et al. (Notice)
812-14411 IC-31953 Jan. 7, 2016 Columbia Funds Series Trust I, et al. (Notice)
812-14519 IC-31952 Jan. 4, 2016 Northern Lights Fund Trust, et al. (Notice)

2015

File No. Release No. Date Investment Company
812-14374 IC-31951 Dec. 30, 2015 Alcentra Capital Corporation., et al. (Order)
812-14258 IC-31950 Dec. 29, 2015 Nuveen Fund Advisors, LLC, et al. (Order)
812-14461 IC-31945 Dec. 21, 2015 Recon Capital Series Trust, et al. (Notice)
812-14415 IC-31944 Dec. 17, 2015 Altegris KKR Commitments Master Fund, et al. (Notice)
812-14593 IC-31943 Dec. 16, 2015 Third Avenue Trust and Third Avenue Management LLC (Notice and Temporary Order)
812-14475 IC-31938 Dec. 15, 2015 ETF Series Solutions and AlphaClone, Inc. (Order)
812-14451 IC-31937 Dec. 15, 2015 ETF Series Solutions and U.S. Global Investors, Inc. (Order)
812-14365 IC-31930 Dec. 10, 2015 Harvest Capital Credit Corporation, et al. (Order)
812-14256 IC-31929 Dec. 8, 2015 THL Credit, Inc. (Order)
812-14374 IC-31927 Dec. 4, 2015 Alcentra Capital Corporation, et al. (Notice)
812-14258 IC-31924 Dec. 2, 2015 Nuveen Fund Advisors, LLC, et al. (Notice)
812-14507 IC-31923 Dec. 2, 2015 Good Hill Partners LP, Good Hill ETF Trust, (Order)
812-14534 IC-31922 Dec. 1, 2015 Wildermuth Endowment Strategy Fund, et al. (Order)
812-14499 IC-31921 Dec. 1, 2015 Pointbreak Advisers LLC et al. (Order)
812-14491 IC-31920 Dec. 1, 2015 Legg Mason Partners Fund Advisor, LLC, et al. (Order)
812-14531 IC-31919 Dec. 1, 2015 Forum Funds and Exceed Advisory LLC (Order)
812-14512 IC-31917 Nov. 24, 2015 SPDR® Series Trust, et al. (Order)
812-14404 IC-31916 Nov. 24, 2015 U.S. Bank National Association (Order)
812-14475 IC-31906 Nov. 19, 2015 ETF Series Solutions and AlphaClone, Inc. (Notice)
812-14451 IC-31905 Nov. 18, 2015 U.S. Global Investors, Inc., et al. (Notice)
812-14506 IC-31904 Nov. 17, 2015 Good Hill Partners LP and Good Hill ETF Trust (Order)
812-14536 IC-31902 Nov. 16, 2015 Advisors Asset Management, Inc. AAM ETF Trust (Order)
812-14256 IC-31899 Nov. 10, 2015 THL Credit, Inc., et al. (Notice)
812-14553 IC-31898 Nov. 10, 2015 Columbia Trust (Order)
812-14507 IC-31897 Nov. 6, 2015 Good Hill Partners LP and Good Hill ETF Trust (Notice)
812-14534 IC-31896 Nov. 5, 2015 Wildermuth Endowment Strategy Fund, et al. (Notice)
812-14491 IC-31895 Nov. 5, 2015 Legg Mason Partners Fund Advisor, LLC, et al. (Notice)
812-14499 IC-31894 Nov. 5, 2015 Pointbreak Advisers LLC, et al. (Notice)
812-14531 IC-31893 Nov. 5, 2015 Forum Funds and Exceed Advisory LLC (Notice)
812-14515 IC-31891 Nov. 4, 2015 Harris & Harris Group, Inc. (Order)
812-14533 IC-31890 Nov. 3, 2015 CLA Strategic Allocation Fund and CLA Asset Management, LLC (Order)
812-14479 IC-31889 Nov. 2, 2015 ARK ETF Trust, et al. (Order)
812-14404 IC-31886 Oct. 29, 2015 U.S. Bank National Association (Notice)
812-14512 IC-31884 Oct. 28, 2015 SPDR® Series Trust, et al. (Notice)
812-14506 IC-31878 Oct. 22, 2015 Good Hill Partners LP and Good Hill ETF Trust (Notice)
812-14509 IC-31872 Oct. 19, 2015 Principal Exchange-Traded Funds, et al. (Order)
812-14550 IC-31871 Oct. 19, 2015 General Electric Company and GE Capital International Funding Company (Order)
812-14536 IC-31870 Oct. 19, 2015 Advisors Asset Management, Inc. and AAM ETF Trust (Notice)
812-14553 IC-31866 Oct. 13, 2015 Columbia Trust, et al. (Notice)
812-14479 IC-31864 Oct. 7, 2015 ARK ETF Trust, et al. (Notice)
812-14533 IC-31863 Oct. 7, 2015 CLA Strategic Allocation Fund and CLA Asset Management, LLC (Notice)
812-14416 IC-31862 Oct. 7, 2015 Pomona Investment Fund, et al. (Order)
812-13995 IC-31861 Oct. 6, 2015

TIAA-CREF Funds, et al. (Order)

812-14365 IC-31860 Oct. 5, 2015 Harvest Capital Credit Corporation, et al. (Notice)
812-14474 IC-31858 Oct. 5, 2015 AlphaClone, Inc., et al. (Order)
812-14122 IC-31856 Sep. 30, 2015 Triton Pacific Investment Corporation, Inc., et al. (Notice)
812-14456 IC-31855 Sep. 30, 2015 Brookfield Global Listed Infrastructure Income Fund Inc., et al. (Order)
812-14484 IC-31851 Sep. 28, 2015 The Glenmede Portfolios and Glenmede Investment Management LP (Order)
812-14396 IC-31837 Sep. 23, 2015 Full Circle Capital Corporation, et al. (Order)
812-14509 IC-31834 Sep. 21, 2015 Principal Exchange-Traded Funds, et al. (Notice)
812-14550 IC-31833 Sep. 21, 2015 General Electric Company and GE Capital International Funding Company (Notice)
812-14372 IC-31827 Sep. 16, 2015 The RBB Fund, Inc. and Abbey Capital Limited (Order)
812-14424 IC-31822 Sep. 14, 2015 Amplify Investments LLC and Amplify ETF Trust (Order)
812-14474 IC-31820 Sep. 11, 2015 AlphaClone, Inc., et al. (Notice)
812-14416 IC-31819 Sep. 11, 2015 Pomona Investment Fund, et al. (Notice)
812-14434 IC-31817 Sep. 10, 2015 Archstone Alternative Solutions Fund A.P. Management Company, LLC (Order)
812-14516 IC-31816 Sep. 9, 2015 Ivy NextShares, et al. (Order)
812-14517 IC-31815 Sep. 9, 2015 ALPS ETMF Trust, et al. (Order)
812-14352 IC-31814 Sep. 9, 2015 FEG Absolute Access TEI Fund LLC, et al. (Order)
812-14500 IC-31813 Sep. 9, 2015 Nile Capital Invesment Trust, et al. (Order)
812-14496 IC-31812 Sep. 9, 2015 Principal ETMF Trust, et al. (Order)
812-14495 IC-31811 Sep. 9, 2015 Victory Nextshares Trust, et al. (Order)
812-14412 IC-31808 Sep. 9, 2015 Janus Investment Fund, et al.(Order)
812-14356 IC-31809 Sep. 9, 2015 Pulteney Street Capital Management, LLC and PSP Family of Funds (Order)
812-13995 IC-31807 Sep. 8, 2015 TIAA-CREF Funds, et al. (Notice)
812-14474 IC-31820 Sep. 11, 2015 AlphaClone, Inc., et al. (Notice)
812-14456 IC-31802 Sep. 1, 2015 Brookfield Global Listed Infrastructure Income Fund Inc., et al. (Notice)
812-14484 IC-31801 Aug. 31, 2015 The Glenmede Portfolios and Glenmede Investment Management LP (Notice)
812-14396 IC-31799 Aug. 28, 2015 Full Circle Capital Corporation et al. (Notice)
812-14395 IC-31768 Aug. 25, 2015 Little Harbor Multistrategy Composite Fund Little and Harbor Advisors, LLC (Order)
812-14337 IC-31767 Aug. 24, 2015 AMG Pantheon Private Equity Fund, LLC, et al. (Order)
812-14372 IC-31766 Aug. 21, 2015 The RBB Fund, Inc. and Abbey Capital Limited (Notice)
812-14413 IC-31765 Aug. 18, 2015 BPV Family of Funds, BPV Capital Management, LLC (Order)
812-14424 IC-31764 Aug. 17, 2015 Amplify Investments LLC and Amplify ETF Trust (Notice)
812-14434 IC-31761 Aug. 14, 2015 Archstone Alternative Solutions Fund and A.P. Management Company, LLC (Notice)
812-14500 IC-31760 Aug. 13, 2015 Nile Capital Investment Trust, et al. (Notice)
812-14517 IC-31759 Aug. 13, 2015 ALPS ETMF Trust, et al. (Notice)
812-14352 IC-31758 Aug. 13, 2015 FEG Absolute Access TEI Fund LLC and FEG Investors, LLC (Notice)
812-14516 IC-31757 Aug. 13, 2015 Ivy NextShares, et al. (Notice)
812-14504 IC-31756 Aug. 13, 2015 Pioneer ETMF Series Trust I, Pioneer Investment Management, Inc. and Pioneer Funds Distributor, Inc. (Order)
812-14503 IC-31755 Aug. 13, 2015 Broms Asset Management NextShares Trust, Broms Asset Management LLC and Foreside Fund Services, LLC (Order)
812-14356 IC-31754 Aug. 13, 2015 Pulteney Street Capital Management, LLC and PSP Family of Funds (Notice)
812-14412 IC-31753 Aug. 13, 2015 Janus Investment Fund, et al. (Notice)
812-14496 IC-31746 Aug. 11, 2015 Principal ETMF Trust, et al. (Notice)
812-14495 IC-31745 Aug. 11, 2015 Victory NextShares Trust, et al. (Notice)
812-14336 IC-31744 Aug. 7, 2015 Horace Mann Life Insurance Company, et al. (Order)
812-14368 IC-31738 Aug. 5, 2015

Business Development Corporation of America et al. (Order)

812-14460 IC-31734 Aug. 3, 2015 Macquarie Capital (USA) Inc., et al. (Order)
812-14337 IC-31728 Jul. 29, 2015 AMG Pantheon Private Equity Fund, LLC, et al. (Notice)
812-14395 IC-31726 Jul. 28, 2015 Little Harbor MultiStrategy Composite Fund and Little Harbor Advisors, LLC (Notice)
812-14413 IC-31721 Jul. 21, 2015 BPV Capital Management, LLC and BPV Family of Funds (Notice)
812-14392 IC-31720 Jul. 21, 2015 Context Capital Advisers, LLC, et al. (Order)
812-13875-47 IC-31719 Jul. 20, 2015 Cash Trust Series, Inc., et al. (Order)
812-14504 IC-31718 Jul. 16, 2015 Pioneer ETMF Series Trust I (Notice)
812-14503 IC-31717 Jul. 16, 2015 Broms Asset Management NextShares Trust (Notice)
812-14425 IC-31716 Jul. 15, 2015 Amplify Investments LLC and Amplify ETF Trust (Order)
812-14325 IC-31715 Jul. 14, 2015 American Funds Insurance Series, et al. (Order)
812-14336 IC-31714 Jul. 13, 2015 Horace Mann Life Insurance Company, et al (Notice)
812-14440 IC-31713 Jul. 13, 2015 FFI Advisors, LLC, et al. (Order)
812-14275 IC-31712 Jul. 13, 2015 TCP Capital Corp., et al. (Order)
812-14358 IC-31711 Jul. 9, 2015 Academy Funds Trust and Innovator Management LLC (Order)
812-14272 IC-31708 Jul. 7, 2015 Ares Dynamic Credit Allocation Fund, Inc., et al. (Order)
812-14419 IC-31709 Jul. 8, 2015 New York Alaska ETF Management LLC, et al. (Order)
812-14428 IC-31705 Jul. 6, 2015 Nuveen ETF Trust, et al. (Order)
812-14460 IC-31704 Jul. 6, 2015 Macquarie Capital (USA) Inc., et al. (Notice and Temporary Order)
812-13875-47 IC-31697 Jun. 24, 2015 Cash Trust Series, Inc., et al. (Notice)
812-14392 IC-31689 Jun. 24, 2015 Context Capital Advisers, LLC, et al. (Notice)
812-14206 IC-31687 Jun. 23, 2015 The RBB Fund, Inc., et al. (Order)
812-14126 IC-31686 Jun. 23, 2015 Benefit Street Partners BDC, Inc., et al. (Order)
812-14425 IC-31683 Jun. 18, 2015 Amplify Investments LLC and Amplify ETF Trust (Notice)
812-14358 IC-31679 Jun. 17, 2015 Academy Funds Trust and Innovator Management LLC (Notice)
812-14325 IC-31677 Jun. 17, 2015 American Funds Insurance Series, et al. (Notice)
812-14363 IC-31676 Jun. 16, 2015 KCAP Financial, Inc. (Order)
812-14468 IC-31675 Jun. 16, 2015 Citicorp, et al. (Order)
812-14466 IC-31674 Jun. 16, 2015 J.P. Morgan Chase & Co., et al. (Order)
812-14469 IC-31673 Jun. 16, 2015 The Royal Bank of Scotland plc, et al. (Order)
812-14465 IC-31672 Jun. 16, 2015 UBS AG, et al. (Order)
812-14275 IC-31670 Jun. 15, 2015 TCP Capital Corp., et al. (Notice)
812-14440 IC-31669 Jun. 15, 2015 FFI Advisors, LLC, et al. (Notice)
812-14419 IC-31667 Jun. 12, 2015 New York Alaska ETF Management LLC, et al. (Notice)
812-14370 IC-31666 Jun. 10, 2015 BMO Funds, Inc. and BMO Asset Management Corp. (Order)
812-14428 IC-31664 Jun. 8, 2015 Nuveen Fund Advisors, LLC, et al. (Notice)
812-14272 IC-31665 Jun. 9, 2015

Ares Dynamic Credit Allocation Fund, Inc., et al. (Notice)

812-14360 IC-31663 Jun. 8, 2015 The MainStay Funds, et al. (Order)
812-14126 IC-31651 May 27, 2015 Benefit Street Partners BDC, Inc., et al. (Notice)
812-14385 IC-31650 May 27, 2015 Syntax, LLC and Syntax ETF Trust (Order)
812-14382 IC-31649 May 27, 2015 TCW Direct Lending LLC, et al. (Order)
812-14206 IC-31648 May 27, 2015 The RBB Fund, Inc., et al. (Notice)
812-14170 IC-31647 May 27, 2015 Starboard Investment Trust and Foliometrix, LLC (Order)
812-14443 IC-31646 May 26, 2015 Highland Funds I, et al. (Order)
812-14363 IC-31645 May 21, 2015 KCAP Financial, Inc. (Notice)
812-14469 IC-31642 May 20, 2015 The Royal Bank of Scotland plc, et al. (Notice)
812-14468 IC-31615 May 20, 2015 Citicorp, et al. (Notice)
812-14466 IC-31613 May 20, 2015 J.P. Morgan Chase & Co., et al. (Notice)
812-14465 IC-31612 May 20, 2015 UBS AG, et al. (Notice)
812-14438 IC-31608 May 19, 2015 Gabelli ETMF Trust, Gabelli Funds, LLC, G.distributors, LLC (Order)
812-14439 IC-31607 May 19, 2015 Hartford Funds NextShares Trust, et al. (Order)
812-14448 IC-31606 May 19, 2015 Deutsche Bank AG, et al. (Order)
812-14370 IC-31603 May 15, 2015 BMO Funds, Inc. and BMO Asset Management Corp. (Notice)
812-14460 IC-31602 May 15, 2015 Macquarie Capital (USA) Inc., et al (Temporary Order)
812-14302 IC-31599 May 12, 2015 Voya Retirement Insurance and Annuity Company Voya Insurance and Annuity Company ReliaStar Life Insurance Company of New York Security Life of Denver Insurance Company Variable Annuity Account B of Voya Retirement Insurance and Annuity Company Variable Annuity Account I of Voya Retirement Insurance and Annuity Company Separate Account B of Voya Insurance and Annuity Company Separate Account EQ of Voya Insurance and Annuity Company ReliaStar Life Insurance Company of New York Separate Account NY-B Security Life Separate Account A1 Security Life Separate Account S-A1 Voya Variable Portfolios Inc. (Order)
812-14368 IC-31598 May 11, 2015 Business Development Corporation of America, et al. (Notice)
See also: requests and additional information
812-14360 IC-31597 May 11, 2015 The MainStay Funds, et al. (Notice)
812-14400 IC-31596 May 6, 2015 Van Eck Associates Corporation, et al. (Order)
812-14357 IC-31593 May 5, 2015 Dreyfus TMT Opportunities Fund, Inc. and The Dreyfus Corporation (Order)
812-14437 IC-31592 May 4, 2015 Sprott Focus Trust, Inc. and Sprott Asset Management LP (Order)
812-14385 IC-31590 Apr. 30, 2015 Syntax, LLC and Syntax ETF Trust (Notice)
812-14382 IC-31589 Apr. 30, 2015 TCW Direct Lending LLC, et al. (Notice)
812-14170 IC-31587 Apr. 30, 2015 Starboard Investment Trust and Foliometrix, LLC (Notice)
812-14354 IC-31584 Apr. 28, 2015 Trust for Professional Managers and William Blair & Company, L.L.C. (Order)
812-14423 IC-31582 Apr. 28, 2015 Amplify Investments LLC and Amplify ETF Trust (Order)
812-13683 IC-31581 Apr. 28, 2015 John Hancock Exchange-Traded Fund Trust, et al. (Order)
812-14401 IC-31580 Apr. 28, 2015 Janus ETF Trust, et al. (Order)
812-14443 IC-31579 Apr. 27, 2015 Highland Funds I, et al. (Notice)
812-14439 IC-31576 Apr. 23, 2015 Hartford Funds NextShares Trust, et al. (Notice)
812-14438 IC-31575 Apr. 23, 2015 Gabelli ETMF Trust, et al. (Notice)
812-14448 IC-31577 Apr. 23, 2015 Deutsche Bank AG, et al. (Notice)
812-14367 IC-31562 Apr. 22, 2015 Princeton Private Equity Fund, et al. (Order)
812-14373 IC-31559 Apr. 20, 2015 Griffin Institutional Access Real Estate Fund et al. (Order)
812-14346 IC-31557 Apr. 20, 2015 ETFS Trust and ETF Securities Advisors LLC (Order)
812-14302 IC-31552 Apr. 15, 2015 Voya Retirement Insurance and Annuity Company, et al. (Notice)
812-14357 IC-31549 Apr. 7, 2015 Dreyfus TMT Opportunities Fund, Inc., et al. (Notice)
812-14437 IC-31548 Apr. 7, 2015 Sprott Focus Trust, Inc. and Sprott Asset Management LP (Notice)
812-14400 IC-31547 Apr. 6, 2015 Van Eck Associates Corporation, et al. (Notice)
812-13683 IC-31546 Apr. 2, 2015 John Hancock Exchange-Traded Fund Trust, et al. (Notice)
812-14423 IC-31545 Apr. 1, 2015 Amplify Investments LLC and Amplify ETF Trust (Notice)
812-14354 IC-31543 Apr. 1, 2015 Trust for Professional Managers and William Blair & Company, L.L.C. (Notice)
812-14401 IC-31544 Apr. 1, 2015 Janus ETF Trust, et al. (Notice)
812-14417 IC-31542 Apr. 1, 2015 American Beacon Nextshares Trust, et al. (Order)
812-13819 IC-31540 Mar. 30, 2015 Janus ETF Trust, et al. (Order)
812-14367 IC-31512 Mar. 25, 2015 Princeton Private Equity Fund and Princeton Fund Advisors, LLC (Notice)
812-14346 IC-31511 Mar. 25, 2015 ETFS Trust and ETF Securities Advisors LLC (Notice)
812-14373 IC-31509 Mar. 23, 2015 Griffin Institutional Access Real Estate Fund and Griffin Capital Advisor, LLC (Notice)
812-14341 IC-31506 Mar. 17, 2015 Realty Capital Income Funds Trust, et al. (Order)
812-14330 IC-31507 Mar. 17, 2015 Eagle Point Credit Company Inc., et al. (Order)
812-14326 IC-31501 Mar. 10, 2015 Corsair Opportunity Fund Corsair Capital Management, L.P. (Order)
812-14334 IC-31502 Mar. 10, 2015 Exchange Traded Concepts, LLC et al. (Order)
812-14417 IC-31498 Mar. 6, 2015 American Beacon Nextshares Trust, et al. (Notice)
812-14359 IC-31499 Mar. 6, 2015 Pacific Life Insurance Company, et al. (Order)
812-14234 IC-31494 Mar. 3, 2015 Exceed Advisory LLC and Exceed ETFs (Order)
812-13819 IC-31492 Mar. 3, 2015 Janus ETF Trust, et al. (Notice)
812-14409 IC-31493 Mar. 3, 2015 Victory Capital Management Inc., the Victory Portfolios, Victory Capital Advisers, Inc. (Order)
812-14351 IC-31495 Mar. 3, 2015 The Saratoga Advantage Trust (Order)
812-14235 IC-31496 Mar. 3, 2015 Ab Cap Fund, Inc., Alliancebernstein L.P. (Order)
812-14338 IC-31491 Mar. 2, 2015 Capital Group ETF Trust, et al. (Order)
812-14407 IC-31488 Feb. 26, 2015 Nexpoint Credit Strategies Fund, et al. (Order)
812-14398 IC-31472 Feb. 24, 2015 Diamond Hill Capital Management, Inc., et al. (Order)
812-14353 IC-31471 Feb. 24, 2015 CSOP ETF Trust, et al. (Order)
812-13858 IC-31470 Feb. 24, 2015 Crow Point Partners, LLC and Northern Lights Fund Trust (Order)
812-14402 IC-31469 Feb. 24, 2015 Alphamark Advisors, LLC et al. (Order)
812-14361 IC-31465 Feb. 23, 2015 Goldman Sachs ETF Trust, et al. (Order)
812-14362 IC-31466 Feb. 23, 2015 Goldman Sachs ETF Trust, et al. (Order)
812-14349 IC-31464 Feb. 23, 2015 Trust for Professional Managers and William Blair & Company, L.L.C. (Order)
812-14341 IC-31458 Feb. 18, 2015 Realty Capital Income Funds Trust, et al. (Notice)
812-14330 IC-31457 Feb. 18, 2015 Eagle Point Credit Company Inc., et al. (Notice)
812-14350 IC-31456 Feb. 12, 2015 Wilshire Mutual Funds, Inc., et al. (Order)
812-14334 IC-31453 Feb. 10, 2015 Exchange Traded Concepts, LLC et al. (Notice)
812-14326 IC-31454 Feb. 10, 2015 Corsair Opportunity Fund, et al. (Notice)
812-14300 IC-31452 Feb. 9, 2015 The Adams Express Company and Petroleum & Resources Corporation (Notice)
812-14359 IC-31451 Feb. 9, 2015 Pacific Life Insurance Company, Et Al (Notice)
812-14235 IC-31449 Feb. 6, 2015 AB Cap Fund, Inc., et al. (Notice)
812-14407 IC-31448 Feb. 5, 2015 Nexpoint Credit Strategies Fund, et al. (Notice)
812-14234 IC-31446 Feb. 4, 2015 Exceed Advisory LLC and Exceed ETFs (Notice)
812-14351 IC-31447 Feb. 5, 2015 The Saratoga Advantage Trust and James Alpha Management, LLC (Notice)
812-14355 IC-31443 Feb. 3, 2015 Forum Funds II, et al. (Order)
812-14409 IC-31444 Feb. 3, 2015 Victory Capital Management Inc., et al. (Notice)
812-14266 IC-31445 Feb. 3, 2015 Context Capital Advisers, LLC and Context Capital Funds (Order)
812-14338 IC-31441 Feb. 2, 2015 Capital Group ETF Trust, et al. (Notice)
812-14381 IC-31438 Jan. 30, 2015 Morgan Stanley Smith Barney LLC, et al. (Order)
812-14349 IC-31435 Jan. 28, 2015 Trust for Professional Managers and William Blair & Company L.L.C. (Notice)
812-14398 IC-31433 Jan. 28, 2015 Diamond Hill Capital Management, Inc., et al. (Notice)
812-14402 IC-31430 Jan. 28, 2015 Alphamark Advisors, LLC, et al. (Notice)
812-13858 IC-31431 Jan. 28, 2015 Crow Point Partners, LLC and Northern Lights Fund Trust (Notice)
812-14353 IC-31432 Jan. 28, 2015 CSOP ETF Trust and CSOP Asset Management Limited (Notice)
812-14361 IC-31428 Jan. 26, 2015 Goldman Sachs ETF Trust, et al. (Notice)
812-14362 IC-31427 Jan. 26, 2015 Goldman Sachs ETF Trust, et al. (Notice)
812-14347 IC-31422 Jan. 20, 2015 Pacer Funds Trust, et al. (Order)
812-14344 IC-31414 Jan. 13, 2015 Forum Funds II and CVR Portfolio Funds LLC (Order)
812-14345 IC-31413 Jan. 13, 2015 Forum Funds II and Acuitas Investments, LLC (Order)
812-13961 IC-31412 Jan. 13, 2015 SSgA Funds Management, Inc., El Al. (Order)
812-14403 IC-31411 Jan. 13, 2015 Royal Bank of Canada, et al. (Order)
812-14393 IC-31410 Jan. 13, 2015 Montage Managers Trust, El Al. (Order)
812-14097 IC-31409 Jan. 12, 2015 Garrison Capital Inc., et al. (Order)
812-14266 IC-31408 Jan. 6, 2015 Context Capital Advisers, LLC and Context Capital Funds (Notice)
812-14355 IC-31407 Jan. 6, 2015 Forum Funds II, et al. (Notice)
812-14333 IC-31406 Jan. 6, 2015 ACAP Strategic Fund Silverbay Capital Management LLC (Order)
812-14093 IC-31405 Jan. 6, 2015 Morgan Creek Global Equity Long/Short Institutional Fund, et al. (Order)
812-14381 IC-31404 Jan. 5, 2015 Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions (Notice)

2014

File No. Release No. Date Investment Company
812-14283 IC-31403 Dec. 30, 2014 Dreyfus ETF Trust, et al. (Order)
812-14264 IC-31401 Dec. 29, 2014 Elkhorn Investments, LLC Elkhorn Etf Trust (Order)
812-14328 IC-31400 Dec. 24, 2014 Alternative Strategies Fund Ladenburg Thalmann Asset Management, Inc. (Order)
812-14390 IC-31397 Dec. 23, 2014 Banc of America Mortgage Securities, Inc., et al. (Order)
812-14331 IC-31396 Dec. 23, 2014 MUFG Union Bank, N.A. (Order)
812-14292 IC-31395 Dec. 22, 2014 ETF Securities Advisors LLC, et al. (Order)
812-14347 IC-31394 Dec. 22, 2014 Pacer Funds Trust, et al. (Notice)
812-14403 IC-31388 Dec. 19, 2014 Royal Bank of Canada, et al. (Notice and Temporary Order)
812-14344 IC-31386 Dec. 18, 2014 Forum Funds II and CVR Portfolio Funds LLC (Notice)
812-14345 IC-31385 Dec. 18, 2014 Forum Funds II and Acuitas Investments, LLC (Notice)
812-13961 IC-31384 Dec. 18, 2014 SSgA Funds Management, Inc., et al. (Notice)
812-14393 IC-31382 Dec. 17, 2014 Montage Managers Trust, et al. (Notice)
812-14350 IC-31381 Dec. 16, 2014 Wilshire Mutual Funds, Inc., et al. (Notice)
812-14318 IC-31380 Dec. 16, 2014 Lattice Strategies, LLC, et al. (Order)
812-13980 IC-31379 Dec. 16, 2014 TPG Specialty Lending, Inc., et al. (Order)
812-14159 IC-31377 Dec. 16, 2014 Advanced Series Trust, et al. (Order)
813-366 IC-31376 Dec. 16, 2014 BlackRock, Inc., et al. (Order)
812-14097 IC-31373 Dec. 15, 2014 Garrison Capital Inc., et al. (Notice)
812-14333 IC-31372 Dec. 11, 2014 ACAP Strategic Fund and SilverBay Capital Management LLC (Notice)
812-14093 IC-31369 Dec. 11, 2014 Morgan Creek Global Equity Long/Short Institutional Fund, et al. (Notice)
812-14283 IC-31365 Dec. 3, 2014 Dreyfus ETF Trust, et al. (Notice)
812-14236 IC-31364 Dec. 3, 2014 AllianceBernstein Cap Fund, Inc., et al. (Order)
812-14264 IC-31363 Dec. 2, 2014 Elkhorn Investments, LLC and Elkhorn ETF Trust (Notice)
812-14329 IC-31362 Dec. 2, 2014 American Century Capital Portfolios, Inc. and American Century Investment Management, Inc. (Order)
812-14139 IC-31361 Dec. 2, 2014 Eaton Vance Management, et al. (Order)
812-14328 IC-31360 Dec. 1, 2014 Alternative Strategies Fund and Ladenburg Thalmann Asset Management, Inc. (Notice)
812-14296 IC-31358 Nov. 25, 2014 Tennenbaum Opportunities Fund V, LLC, et al. (Order)
812-14292 IC-31346 Nov. 24, 2014 ETF Securities Advisors LLC, et al. (Notice)
812-14390 IC-31359 Nov. 25, 2014 Banc of America Mortgage Securities, Inc, et al. (Notice and Temporary Order)
812-14331 IC-31347 Nov. 24, 2014 MUFG Union Bank, N.A. (Notice)
812-14227 IC-31345 Nov. 24, 2014 Alliancebernstein Multi-Manager Alternative Fund, et al. (Order)
812-14318 IC-31343 Nov. 20, 2014 Lattice Strategies, LLC, et al. (Notice)
812-14159 IC-31342 Nov. 20, 2014 Advanced Series Trust, et al. (Notice)
813-366 IC-31341 Nov. 20, 2014 Blackrock, Inc., et al. (Notice)
812-14271 IC-31340 Nov. 19, 2014 ETF Securities Advisors LLC, et al. (Order)
812-14332 IC-31339 Nov. 18, 2014 Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC (Order)
812-13980 IC-31338 Nov. 18, 2014 TPG Specialty Lending, Inc., et al. (Notice)
812-13953 IC-31337 Nov. 14, 2014 Spruce ETF Trust, et al. (Order)
812-14116 IC-31336 Nov. 14, 2014 Precidian ETFs Trust, et al. (Order)
812-13784 IC-31335 Nov. 12, 2014 BlackRock Advisors, LLC BlackRock Funds FDP Series, Inc. (Order)
812-14295 IC-31334 Nov. 12, 2014 Principal Real Estate Income Fund ALPS Advisors, Inc. (Order)
812-14236 IC-31332 Nov. 6, 2014 Alliancebernstein Cap Fund, Inc., et al. (Notice)
812-14139 IC-31333 Nov. 6, 2014 Eaton Vance Management, et al. (Notice)
812-14226 IC-31331 Nov. 5, 2014 SunAmerica Series Trust, et al. (Order)
812-14279 IC-31329 Nov. 5, 2014 New Mountain Finance Corporation (Order)
812-14329 IC-31328 Nov. 4, 2014 American Century Capital Portfolios, Inc. and American Century Investment Management, Inc. (Notice)
812-14304 IC-31327 Nov. 4, 2014 Eaton Vance Distributors, Inc. Eaton Vance Unit Trust (Order)
812-14177 IC-31326 Nov. 3, 2014 DBX ETF Trust, et al. (Order)
812-14250 IC-31323 Oct. 31, 2014 Managed Portfolio Series, U.S. Bancorp Fund Services, LLC, Tortoise Capital Advisors, L.L.C. (Order)
812-14227 IC-31322 Oct. 31, 2014 Alliancebernstein Multi-Manager Alternative Fund, et al. (Notice)
812-14271 IC-31319 Oct. 24, 2014 ETF Securities Advisors LLC, et al. (Notice)
812-14332 IC-31302 Oct. 22, 2014 Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC (Notice)
812-14289 IC-31299 Oct. 21, 2014 Northern Trust Investments, Inc., Flexshares Trust, and Foreside Fund Services, LLC (Order)
812-13953 IC-31301 Oct. 21, 2014 Spruce ETF Trust, et al. (Notice)
812-14116 IC-31300 Oct. 21, 2014 Precidian ETFs Trust, et al. (Notice)
812-14296 IC-31296 Oct. 20, 2014 Tennenbaum Opportunities Fund V, LLC, et al. (Notice)
812-14270 IC-31297 Oct. 20, 2014 JNL Series Trust, JNL Investors Series Trust, Curian Series Trust, Curian Variable Series Trust, JNL Variable Fund LLC, JNL Strategic Income Fund LLC, Jackson National Asset Management, LLC and Curian Capital, LLC (Order)
812-14252 IC-31295 Oct. 20, 2014 Great-West Funds, Inc., Great-West Capital Management, LLC, and Gwfs Equities, Inc. (Order)
812-13784 IC-31291 Oct. 16, 2014 BlackRock Advisors, LLC, et al. (Notice)
812-14295 IC-31290 Oct. 16, 2014 Principal Real Estate Income Fund and Alps Advisors, Inc. (Notice)
812-14028 IC-31286 Oct. 15, 2014 Monroe Capital Corporation, et al. (Order)
812-14250 IC-31268A Oct. 15, 2014 Managed Portfolio Series, et al. (Notice)
812-14293 IC-31285 Oct. 14, 2014 Evanston Alternative Opportunities Fund Evanston Capital Management, LLC (Order)
812-14251 IC-31284 Oct. 10, 2014 Persimmon Capital Management LP and Northern Lights Fund Trust III (Order)
812-14279 IC-31282 Oct. 10, 2014 New Mountain Finance Corporation, et al. (Notice)
812-14226 IC-31281 Oct. 10, 2014 SunAmerica Series Trust, et al. (Notice)
812-14304 IC-31280 Oct. 8, 2014 Eaton Vance Distributors, Inc. and Eaton Vance Unit Trust (Notice)
812-14240 IC-31279 Oct. 7, 2014 BNY Mellon Funds Trust et al. (Order)
812-14291 IC-31278 Oct. 7, 2014 SSgA Master Trust SSgA Funds Management, Inc. (Order)
812-14322 IC-31277 Oct. 7, 2014 Validea Capital Management, LLC, et al. (Order)
812-14177 IC-31276 Oct. 6, 2014 DBX ETF Trust, et al. (Notice)
812-14242 IC-31274 Oct. 2, 2014 Monroe Capital Corporation et al. (Order)
812-14317 IC-31271 Sep. 30, 2014 Harris & Harris Group, Inc. (Certification)
812-14320 IC-31270 Sep. 30, 2014 Garrison Capital Inc., et al. (Order)
812-14173 IC-31269 Sep. 29, 2014 Eagle Capital Appreciation Fund, et al. (Order)
812-14250 IC-31268 Sep. 29, 2014 Managed Portfolio Series, et al. (Notice)
812-14289 IC-31264 Sep. 25, 2014 Northern Trust Investments, Inc., et al. (Notice)
812-14252 IC-31262 Sep. 24, 2014 Great-West Funds, Inc., et al. (Notice)
812-14270 IC-31261 Sep. 24, 2014 JNL Series Trust, et al. (Notice)
812-14032 IC-31254 Sep. 23, 2014 Northern Lights Fund Trust II and North Peak Asset Management LLC (Order)
812-14028 IC-31253 Sep. 19, 2014 Monroe Capital Corporation, et al. (Notice)
812-14288 IC-31251 Sep. 16, 2014 American Fidelity Assurance Company, et al. (Order)
812-14293 IC-31250 Sep. 15, 2014 Evanston Alternative Opportunities Fund and Evanston Capital Management, LLC. (Notice)
812-14291 IC-31249 Sep. 11, 2014 SSgA Mastertrust and SSgA Funds Management, Inc. (Notice)
812-14308 IC-31248 Sep. 9, 2014 Innovator Management LLC Academy Funds Trust (Order)
812-14132 IC-31247 Sep. 9, 2014 Fifth Street Finance Corp., et al. (Order)
812-14322 IC-31246 Sep. 9, 2014 Validea Capital Management, LLC, et al. (Notice)
812-14240 IC-31245 Sep. 9, 2014 BNY Mellon Funds Trust, et al. (Notice)
812-14138 IC-31244 Sep. 8, 2014 Principal Funds, Inc., et al. (Order)
812-14320 IC-31240 Sep. 3, 2014 Garrison Capital, Inc., et al. (Notice)
812-14173 IC-31239 Sep. 3, 2014 Eagle Capital Appreciation Fund, et al. (Notice)
812-13970 IC-31238 Sep. 3, 2014 Citigroup Global Markets Inc., et al. (Order)
812-14242 IC-31235 Aug. 28, 2014 Monroe Capital Corporation, et al. (Notice)
812-14299 IC-31226 Aug. 27, 2014 Advisors Series Trust and Vivaldi Asset Management, LLC (Notice)
See also requests and additional information
812-14306 IC-31224 Aug. 27, 2014 H & Q Healthcare Investors, H & Q Life Sciences Investors, Tekla Healthcare Opportunities Fund, and Tekla Capital Management, LLC : (Order)
812-14032 IC-31222 Aug. 26, 2014 Northern Lights Fund Trust II and North Peak Asset Management LLC (Notice)
812-14196 IC-31221 Aug. 22, 2014 Altegris Advisors L.L.C. and Northern Lights Fund Trust (Order)
812-14251 IC-31218 Aug. 19, 2014 Persimmon Capital Management LP and Northern Lights Fund Trust III (Notice)
812-14288 IC-31217 Aug. 19, 2014 American Fidelity Assurance Company, et al. (Notice)
812-14290 IC-31216 Aug. 19, 2014 The New Ireland Fund, Inc. and Kleinwort Benson Investors International Ltd. (Order)
812-14314 IC-31215 Aug. 19, 2014 Steben Alternative Investment Funds and Steben & Company, Inc. (Order)
812-14298 IC-31214 Aug. 19, 2014 TrimTabs Asset Management, LLC, et al. (Order)
811-07528 IC-31213 Aug. 15, 2014 Special Opportunities Fund, Inc. (Order)
812-14132 IC-31212 Aug. 14, 2014 Fifth Street Finance Corp., et al. (Notice)
812-14308 IC-31209 Aug. 13, 2014 Innovator Management LLC and Academy Funds Trust (Notice)
812-14253 IC-31207 Aug. 12, 2014 FundVantage Trust et al. (Order)
812-14249 IC-31206 Aug. 12, 2014 Stellus Capital Investment Corporation et al. (Order)
812-14323 IC-31205 Aug. 12, 2014 Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust (Order)
812-14305 IC-31204 Aug. 11, 2014 College Retirement Equities Fund, et al. (Order)
812-14138 IC-31203 Aug. 11, 2014 Principal Funds, Inc., et al. (Notice)
812-13970 IC-31199 Aug. 6, 2014 Citigroup Global Markets Inc., et al. (Notice of Application and Temporary Order)
812-14306 IC-31197 Aug. 5, 2014 H&Q Healthcare Investors, et al. (Notice)
812-14217 IC-31193 Jul. 30, 2014 BMO Funds, Inc., et al. (Order)
812-14294 IC-31192A Jul. 29, 2014 Janus Investment Fund, et al. (Order)
812-14222 IC-31191 Jul. 29, 2014 American Capital, Ltd., et al. (Order)
812-14284 IC-31190 Jul. 29, 2014 KraneShares Trust and Krane Funds Advisors, LLC (Order)
812-14196 IC-31189 Jul. 28, 2014 Altegris Advisors L.L.C. and Northern Lights Fund Trust (Notice)
812-14195 IC-31187 Jul. 28, 2014 Solar Capital Ltd., Solar Senior Capital Ltd., and Solar Capital Partners, LLC (Order)
812-14327 IC-31188 Jul. 28, 2014 BNP Paribas S.A. (Order)
812-14314 IC-31186 Jul. 24, 2014 Steben Alternative Investment Funds and Steben & Company, Inc. (Notice)
812-14290 IC-31185 Jul. 23, 2014 The New Ireland Fund, Inc. and Kleinwort Benson Investors International Ltd. (Notice)
812-14298 IC-31165 Jul. 22, 2014 TrimTabs Asset Management, LLC, et al. (Notice)
812-14265 IC-31164 Jul. 22, 2014 Rothschild Larch Lane Management Company LLC and the Advisors' Inner Circle Fund III (Order)
812-14277 IC-31163 Jul. 22, 2014 USCF Equity Trust, et al. (Order)
812-14244 IC-31162 Jul. 22, 2014 Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc. (Order)
812-14253 IC-31161 Jul. 17, 2014 FundVantage Trust, et al. (Notice)
812-14249 IC-31206 Aug. 12, 2014 Stellus Capital Investment Corporationm et al. (Order)
812-14249 IC-31160 Jul. 17, 2014 Stellus Capital Investment Corporation, et al. (Notice)
812-14262 IC-31158 Jul. 15, 2014 Elkhorn Investments, LLC and Elkhorn ETF Trust (Order)
812-14230 IC-31157 Jul. 15, 2014 Cohen & Steers ETF Trust, et al. (Order)
812-14323 IC-31156 Jul. 15, 2014 Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust (Notice)
812-14263 IC-31155 Jul. 15, 2014 Elkhorn Investments, LLC and Elkhorn ETF Trust (Order)
812-14297 IC-31154 Jul. 15, 2014 Northern Lights Fund Trust, et al. (Order)
812-14241 IC-31153 Jul. 14, 2014 Global X Funds, Global X Management Company LLC, and Sei Investments Distribution Company (Order)
812-14120 IC-31152 Jul. 8, 2014 WhiteHorse Finance, Inc., et al. (Order)
812-14274 IC-31150 Jul. 8, 2014 Absolute Shares Trust, et al. (Order)
812-14222 IC-31148 Jul. 3, 2014 American Capital, Ltd., et al. (Notice)
812-14217 IC-31146 Jul. 2, 2014 BMO Funds, Inc., et al. (Notice)
812-14294 IC-31145 Jul. 2, 2014 Janus Investment Fund, et al. (Notice)
812-14284 IC-31144 Jul. 2, 2014 KraneShares Trust and Krane Funds Advisors, LLC (Notice)
812-13951 IC-31142 Jul. 1, 2014 Valmark Advisers, Inc. and Northern Lights Variable Trust (Order)
813-382 IC-31141 Jul. 1, 2014 Kohlberg Kravis Roberts & Co. L.P. et al. (Order)
812-14195 IC-31143 Jul. 1, 2014 Solar Capital Ltd., et al. (Notice)
812-14327 IC-31140 Jun. 30, 2014 BNP Paribas S.A., et al. (Notice)
812-14216 IC-31138 Jun. 30, 2014 Ivy Funds, et al. (Order)
812-14156 IC-31137 Jun. 30, 2014 Fidus Investment Corporation, et al. (Order)
812-14209 IC-31135 Jun. 26, 2014 Marketshares ETF Trust, et al. (Order)
812-14265 IC-31134 Jun. 25, 2014 Rothschild Larch Lane Management Company LLC and The Advisors' Inner Circle Fund III (Notice)
812-14277 IC-31133 Jun. 25, 2014 USCF Equity Trust, et al. (Notice)
812-14273 IC-31132 Jun. 25, 2014 BMO Funds, Inc. et al. (Order)
812-14267 IC-31095 Jun. 24, 2014 Prudential Investments LLC, et al. (Order)
812-14244 IC-31093 Jun. 23, 2014 Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc. (Notice)
812-14305 IC-31092 Jun. 23, 2014 College Retirement Equities Fund, et al. (Notice)
812-14230 IC-31090 Jun. 20, 2014 Cohen & Steers ETF Trust, et al. (Notice)
812-14262 IC-31089 Jun. 19, 2014 Elkhorn Investments, LLC and Elkhorn ETF Trust (Notice)
811-02815 IC-31088 Jun. 19, 2014 Copley Fund, Inc. (Order)
812-14297 IC-31087 Jun. 18, 2014 Northern Lights Fund Trust, et al. (Notice)
812-14276 IC-31086 Jun. 17, 2014 Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions (Order)
812-14263 IC-31085 Jun. 17, 2014 Elkhorn Investments, LLC and Elkhorn ETF Trust (Notice)
812-14241 IC-31084 Jun. 17, 2014 Global X Funds, Global X Management Company LLC, and Sei Investments Distribution Company (Notice)
812-14280 IC-31083 Jun. 16, 2014 Beverly Hills Bancorp Inc. (Order)
812-14313 IC-31082 Jun. 16, 2014 Credit Suisse Asset Management, LLC, et al. (Order)
812-14120 IC-31080 Jun. 12, 2014 WhiteHorse Finance, Inc., et al. (Notice)
812-14274 IC-31079 Jun. 12, 2014 Absolute Shares Trust, et al. (Notice)
812-14147 IC-31075 Jun. 10, 2014 Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc. (Order)
812-14239 IC-31074 Jun. 10, 2014 Capitala Finance Corp., et al. (Order)
812-13951 IC-31071 Jun. 4, 2014 Valmark Advisers, Inc. and Northern Lights Variable Trust (Notice)
813-382 IC-31070 Jun. 3, 2014 Kohlberg Kravis Roberts & Co. L.P., et al. (Notice)
812-14209 IC-31069 Jun. 2, 2014 Marketshares ETF Trust, et al. (Notice)
812-14216 IC-31068 Jun. 2, 2014 Ivy Funds, et al. (Notice)
812-14156 IC-31067 Jun. 2, 2014 Fidus Investment Corporation, et al. (Notice)
812-14273 IC-31064 May 30, 2014 BMO Funds, Inc., et al. (Notice)
812-14267 IC-31063 May 29, 2014 Prudential Investments LLC, et al. (Notice)
812-14276 IC-31062 May 21, 2014 Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions (Notice)
812-14280 IC-31054 May 21, 2014 Beverly Hills Bancorp Inc. (Notice)
812-14144 IC-31052 May 21, 2014 Steben Select Multi-Strategy Fund and Steben & Company, Inc. (Order)
812-14313 IC-31051 May 19, 2014 Credit Suisse Asset Management, LLC, et al. (Notice and Temporary Order)
812-14239 IC-31050 May 19, 2014 Capitala Finance Corp., et al. (Notice)
811-02815 34-72173 May 15, 2014 Copley Fund, Inc. (Notice)
See also Application and Exhibits
812-14147 IC-31046 May 14, 2014 Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc. (Notice)
812-14058 IC-31045 May 13, 2014 Matthews A Share Selections Fund, LLC, et al. (Order)
812-13597 IC-31044 May 13, 2014 Vanguard Admiral Funds, et al. (Order)
812-14261 IC-31043 May 13, 2014 Elkhorn Securities, LLC, Elkhorn Unit Trust (Order)
813-336 IC-31042 May 13, 2014 UBS AG, et al. (Order)
812-14210 IC-31040 May 6, 2014 Ivy Funds, et al. (Order)
812-14225 IC-31039 May 6, 2014 ALPS ETF Trust, ALPS Advisors, Inc., ALPS Distributors, Inc., and ALPS Portfolio Solutions Distributor, Inc. (Order)
812-14243 IC-31038 May 5, 2014 Professionally Managed Portfolios and Balter Liquid Alternatives, LLC (Order)
812-14172 IC-31034 Apr. 29, 2014 ARK ETF Trust, et al. (Order)
812-14197 IC-31033 Apr. 29, 2014 FundVantage Trust, et al (Order)
812-14269 IC-31032 Apr. 29, 2014 Direxion Shares ETF Trust, et al (Order)
812-14144 IC-31029 Apr. 25, 2014 Steben Select Multi-Strategy Fund and Steben & Company, Inc. (Notice)
812-14203 IC-31028 Apr. 24, 2014 Minnesota Life Insurance Company, et al. (Order)
812-14221 IC-31023 Apr. 22, 2014 MetLife Insurance Company of Connecticut, et al. (Order)
812-14261 IC-31022 Apr. 17, 2014 Elkhorn Securities, LLC and Elkhorn Unit Trust (Notice)
812-13597 IC-31021 Apr. 17, 2014 Vanguard Admiral Funds, et al. (Notice)
812-14058 IC-31020 Apr. 17, 2014 Matthews A Share Selections Fund, LLC, et al. (Notice)
813-336 IC-31019 Apr. 17, 2014 UBS AG, et al. (Notice)
812-14245 IC-31018 Apr. 16, 2014 Empowered Funds, LLC and Empowered Funds ETF Trust (Order)
812-14016 IC-31016 Apr. 15, 2014 HMS Income Fund, Inc., et al. (Order)
812-14134 IC-31015 Apr. 15, 2014 PennantPark Investment Corp., et al. (Order)
812-14231 IC-31014 Apr. 15, 2014 Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc. (Order)
812-14210 IC-31013 Apr. 10, 2014 Ivy Funds, et al. (Notice)
812-14225 IC-31011 Apr. 8, 2014 ALPS ETF Trust, ALPS Advisors, Inc., ALPS Distributors, Inc., and ALPS Portfolio Solutions Distributor, Inc. (Notice)
812-14243 IC-31010 Apr. 8, 2014 Professionally Managed Portfolios and Balter Liquid Alternatives, LLC (Notice)
812-14172 IC-31009 Apr. 7, 2014 ARK ETF Trust, et al. (Notice)
812-14197 IC-31003 Apr. 3, 2014 FundVantage Trust, et al (Notice)
812-14269 IC-31002 Apr. 3, 2014 Direxion Shares ETF Trust, et al (Notice)
812-14208 IC-31001 Apr. 2, 2014 DFA Investment Dimensions Group Inc., et al. (Order)
812-14221 IC-31000 Mar. 31, 2014 MetLife Insurance Company of Connecticut, et al. (Notice)
812-14203 IC-30999 Mar. 28, 2014 Minnesota Life Insurance Company, et al. (Notice)
812-14282 IC-30991 Mar. 25, 2014 Hatteras Alternative Mutual Funds Trust, et al. (Order)
812-14127 IC-30990 Mar. 24, 2014 Legg Mason Partners Equity Trust, et al. (Order)
812-14245 IC-30988 Mar. 21, 2014 Empowered Funds, LLC and Empowered Funds ETF Trust (Notice)
812-14229 IC-30987 Mar. 21, 2014 Cohen & Steers Capital Management, Inc., Cohen & Steers ETF Trust, Cohen & Steers Securities, LLC (Order)
812-14231 IC-30986 Mar. 19, 2014 Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc. (Notice)
812-14134 IC-30985 Mar. 19, 2014 PennantPark Investment Corp., et al. (Notice)
812-14016 IC-30984 Mar. 18, 2014 HMS Income Fund, Inc., et al. (Notice)
812-14160 IC-30983 Mar. 18, 2014 RiverNorth Funds, et al. (Order)
812-14237 IC-30978 Mar. 11, 2014 Acacia Asset Management LLC and Acacia Trust (Order)
812-14208 IC-30976 Mar. 7, 2014 DFA Investment Dimensions Group Inc., et al. (Notice)
812-14205 IC-30975 Mar. 7, 2014 Emerging Global Advisors, LLC, et al. (Order)
812-14260 IC-30974 Mar. 5, 2014 Elkhorn Securities, LLC and Elkhorn Unit Trust (Order)
812-14124 IC-30973 Mar. 4, 2014 KKR Series Trust and Prisma Capital Partners LP (Order)
812-14211 IC-30970 Feb. 28, 2014 The Gabelli Dividend & Income Trust, et al. (Order)
812-14282 IC-30969 Feb. 26, 2014 Hatteras Alternative Mutual Funds Trust, et al. (Notice)
812-14161 IC-30968 Feb. 26, 2014 NF Investment Corp., et al. (Order)
812-14224 IC-30967 Feb. 26, 2014 T. Rowe Price Global Allocation Fund, Inc. et al. (Order)
812-13760 IC-30927 Feb. 24, 2014 J.P. Morgan Exchange-Traded Fund Trust, et al. (Order)
812-14182 IC-30925 Feb. 24, 2014 The Ohio National Life Insurance Company, et al. (Order)
812-14127 IC-30923 Feb. 24, 2014 Legg Mason Partners Equity Trust, et al. (Notice)
812-14229 IC-30924 Feb. 24, 2014 Cohen & Steers Capital Management, Inc., et al. (Notice)
812-14140 IC-30921 Feb. 19, 2014 USAA Asset Management Company, et al. (Order)
812-14160 IC-30919 Feb. 18, 2014 RiverNorth Funds, et al. (Notice)
812-14218 IC-30917 Feb. 11, 2014 ALPS Series Trust, Brinker Capital, Inc. and ALPS Distributors, Inc. (Order)
812-14060 IC-30916 Feb. 11, 2014 Cornerstone Advisors Inc. and The Advisors’ Inner Circle Fund (Order)
812-14237 IC-30915 Feb. 11, 2014 Acacia Asset Management LLC and Acacia Trust (Notice)
812-14181 IC-30914 Feb. 11, 2014 American Pension Investors Trust, et al. (Order)
812-14215 IC-30913 Feb. 11, 2014 Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC (Order)
812-14184 IC-30912 Feb. 11, 2014 Total Income+ Real Estate Fund, et al. (Order)
812-14228 IC-30911 Feb. 11, 2014 Multi-Strategy Growth & Income Fund, et al. (Order)
812-14205 IC-30910 Feb. 10, 2014 Emerging Global Advisors, LLC, et al. (Notice)
812-14199 IC-30909 Feb. 10, 2014 Prospect Capital Corporation, et al. (Order)
812-14211 IC-30908 Feb. 6, 2014 The Gabelli Dividend & Income Trust, et al. (Notice)
812-14124 IC-30905 Feb. 4, 2014 KKR Series Trust and Prisma Capital Partners LP (Notice)
812-14260 IC-30902 Feb. 3, 2014 Elkhorn Securities, LLC and Elkhorn Unit Trust (Notice)
812-14224 IC-30901 Jan. 31, 2014 T. Rowe Price Global Allocation Fund, Inc. et al. (Notice)
812-14161 IC-30900 Jan. 31, 2014 NF Investment Corp., et al. (Notice)
812-13760 IC-30898 Jan. 30, 2014 J.P. Morgan Exchange-Traded Fund Trust, et al. (Notice)
812-14182 IC-30895 Jan. 28, 2014 The Ohio National Life Insurance Company, et al. (Notice)
812-14140 IC-30891 Jan. 23, 2014 USAA Asset Management Company, et al. (Notice)
812-14153 IC-30889 Jan. 22, 2014 IndexIQ ETF Trust, et al. (Order)
812-14053 IC-30888 Jan. 22, 2014 IndexIQ ETF Trust, et al. (Order)
812-14181 IC-30885 Jan. 16, 2014 American Pension Investors Trust, et al. (Notice)
812-14060 IC-30884 Jan. 16, 2014 Cornerstone Advisors Inc. and The Advisors’ Inner Circle Fund (Notice)
812-14215 IC-30913 Feb. 11, 2014 Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC (Order)
812-14215 IC-30883 Jan. 16, 2014 Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC (Notice)
812-14228 IC-30860 Jan. 15, 2014 Multi-Strategy Growth & Income Fund, et al. (Notice)
812-14184 IC-30859 Jan. 15, 2014 Total Income+ Real Estate Fund, et al. (Notice)
812-14218 IC-30858 Jan. 15, 2014 ALPS Series Trust, Brinker Capital, Inc. and ALPS Distributors, Inc. (Notice)
812-14198 IC-30857 Jan. 14, 2014 Forethought Variable Insurance Trust, et al. (Order)
812-14199 IC-30855 Jan. 13, 2014 Prospect Capital Corporation, et al. (Notice)
812-14101 IC-30854 Jan. 13, 2014 Catalyst Capital Advisors LLC and Mutual Fund Series Trust (Order)
812-14090 IC-30853 Jan. 8, 2014 Wells Fargo Funds Trust, et al. (Order)

2013

File No. Release No. Date Investment Company
812-14154 IC-30852 Dec. 31, 2013 Compass Efficient Model Portfolios, LLC, Compass EMP Funds Trust, Northern Lights Distributors, LLC (Order)
812-14158 IC-30850 Dec. 30, 2013 Minnesota Life Insurance Company, et al. (Order)
812-14201 IC-30849 Dec. 30, 2013 VTL Associates, LLC, et al. (Order)
812-13825 IC-30848