Investment Company Act Notices and Orders
| File Number | Date | Investment Company | Type | Release Number | Category |
|---|---|---|---|---|---|
| 812-15838 | MML Bay State Life Insurance Company, et al. | Investment Company Act Notice | IC-35863
|
Insurance Products - Substitution Related Affiliated Securities Transactions | |
| 812-15826 | AB Private Credit Investors Corporation, et al. | Investment Company Act Notice | IC-35862
|
Co-Investment | |
| 812-15868 | AOG Institutional Fund, et al. | Investment Company Act Notice | IC-35861
|
Co-Investment | |
| 812-15840 | Oxford Square Capital Corp., et al. | Investment Company Act Order | IC-35860
|
Co-Investment | |
| 812-15849 | Prospect Capital Corporation, et al. | Investment Company Act Order | IC-35859
|
Co-Investment | |
| 812-15930 | Denali Structured Return Strategy Fund, et al. | Investment Company Act Notice | IC-35858
|
Multi-Class | |
| 812-15901 | Elevation Series Trust and Truemark Investments LLC | Investment Company Act Notice | IC-35857
|
Multi-Manager - Voting & Disclosure | |
| 812-15882 | Source Capital /DE/, et al. | Investment Company Act Notice | IC-35849
|
Co-Investment | |
| 812-15949 | Oppenheimer & Co. Inc., et al. | Investment Company Act Order | IC-35848
|
Ineligible - Disqualified Firm | |
| 812-15824 | Shelton Funds, et al. | Investment Company Act Order | IC-35847
|
Multi-Manager - Voting & Disclosure | |
| 812-15792 | Antares Private Credit Fund, et al. | Investment Company Act Order | IC-35846
|
Co-Investment | |
| 812-15925 | The RBB Fund Trust and Gladius Capital Management LP | Investment Company Act Notice | IC-35845
|
Multi-Manager - Voting & Disclosure | |
| 812-15940 | Aristotle Pacific Enhanced CLO Income Fund and Aristotle Pacific | Investment Company Act Notice | IC-35844
|
Multi-Class | |
| 812-15937 | RBC BlueBay Enhanced Income Fund and RBC Global Asset Management (U.S.) Inc. | Investment Company Act Notice | IC-35843
|
Multi-Class | |
| 812-15863 | Lafayette Square USA, Inc., et al. | Investment Company Act Notice | IC-35842
|
Co-Investment | |
| 812-15902 | ARK ETF Trust and ARK Investment Management LLC | Investment Company Act Order | IC-35841
|
Non-In-Person Board Meetings | |
| 812-15903 | ARK ETF Trust and ARK Investment Management LLC | Investment Company Act Order | IC-35840
|
Multi-Manager - Voting & Disclosure | |
| 812-15844 | The RBB Fund Trust and Clearbrook Investment Consulting, LLC | Investment Company Act Order | IC-35839
|
Multi-Manager - Voting & Disclosure | |
| 812-15818 | Bain Capital Credit, LP, et al. | Investment Company Act Order | IC-35838
|
Co-Investment | |
| 812-15779 | Credit Suisse Services AG, et al. | Investment Company Act Order | IC-35837
See Also - Response Letter, Response from United Against Money Laundering, Request for Hearing from United Against Money Laundering |
Ineligible - Disqualified Firm | |
| 812-15809 | The RBB Fund Trust and Twin Oak ETF Company | Investment Company Act Notice | IC-35836
|
Multi-Manager - Voting & Disclosure | |
| 812-15843 | Kayne Anderson Energy Infrastructure Fund, Inc., et al. | Investment Company Act Notice | IC-35835
|
Co-Investment | |
| 812-15875 | Victory Portfolios, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15812 | Tweedy, Browne Fund Inc., et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15619 | Virtus Alternative Solutions Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15556 | TCW Metropolitan West Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15589 | The Charles Schwab Family of Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15688 | Thornburg Investment Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15582 | Touchstone Funds Group Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15653 | SPDR Series Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15641 | Segall Bryant & Hamill Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15626 | Shelton Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15908 | Parnassus Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15636 | PFS Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15708 | PIMCO Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15839 | New York Life Investments Active ETF Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15644 | Nushares ETF Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15751 | Neuberger Berman Investment Advisers LLC, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15542 | Morgan Stanley Institutional Fund Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15680 | Lord, Abbett & Co. LLC, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15662 | J.P. Morgan Investment Management Inc., et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15637 | John Hancock Investment Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15760 | Harbor Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15640 | Guinness Atkinsons Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15577 | GMO Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15501 | F/m Investments LLC, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15517 | Fidelity Hastings Street Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15679-01 | Deutsche DWS Asset Allocation Trust | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15652 | BlackRock Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15591 | Allspring Funds Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15793 | Baron Investment Funds Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15570 | AB Municipal Income Fund, Inc., et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15837 | Wilshire Private Assets Fund, et al. | Investment Company Act Order | IC-35833
|
Multi-Class | |
| 812-15855 | Star Mountain Lower Middle-Market Capital Corp., et al. | Investment Company Act Order | IC-35832
|
Co-Investment | |
| 812-15685 | Columbia Credit Income Opportunities Fund, et al. | Investment Company Act Order | IC-35831
|
Co-Investment | |
| 812-15798 | Monroe Capital Corporation, et al. | Investment Company Act Order | IC-35830
|
Co-Investment | |
| 812-15796 | 1WS Credit Income Fund, et al. | Investment Company Act Order | IC-35829
|
Co-Investment | |
| 812-15819 | Sardis Credit Opportunities Fund, et al. | Investment Company Act Notice | IC-35828
|
Multi-Class | |
| 812-15831 | NB Private Markets Access Fund LLC, et al. | Investment Company Act Notice | IC-35827
|
Co-Investment | |
| 812-15800 | Barings Corporate Investors, et al. | Investment Company Act Notice | IC-35826
|
Co-Investment | |
| 812-15853 | MA Specialty Credit Income Fund, et al. | Investment Company Act Order | IC-35825
|
Co-Investment | |
| 812-15775 | TCW Direct Lending VIII LLC, et al. | Investment Company Act Notice | IC-35824
|
Affiliated Sales & Purchases - In-Kind | |
| 812-15845 | Willow Tree Capital Corporation, et al. | Investment Company Act Order | IC-35823
|
Co-Investment | |
| 812-15856 | Onex Direct Lending BDC Fund, et al. | Investment Company Act Notice | IC-35822
|
Co-Investment | |
| 812-15840 | Oxford Square Capital Corp., et al. | Investment Company Act Notice | IC-35820
|
Co-Investment | |
| 812-15849 | Prospect Capital Corporation, et al. | Investment Company Act Notice | IC-35819
|
Co-Investment | |
| 812-15949 | Oppenheimer & Co. Inc., et al. | Investment Company Act Notice | IC-35818
|
Ineligible - Disqualified Firm | |
| 812-15824 | Shelton Funds, et al. | Investment Company Act Notice | IC-35817
|
Multi-Manager - Voting & Disclosure | |
| 812-15818 | Bain Capital Credit, LP, et al. | Investment Company Act Notice | IC-35815
|
Co-Investment | |
| 812-15902 | ARK ETF Trust and ARK Investment Management LLC | Investment Company Act Notice | IC-35814
|
Non-In-Person Board Meetings | |
| 812-15903 | ARK ETF Trust and ARK Investment Management LLC | Investment Company Act Notice | IC-35813
|
Multi-Manager - Voting & Disclosure | |
| 812-15792 | Antares Private Credit Fund, et al. | Investment Company Act Notice | IC-35812
|
Co-Investment | |
| 812-15844 | The RBB Fund Trust and Clearbrook Investment Consulting, LLC | Investment Company Act Notice | IC-35811
|
Multi-Manager - Voting & Disclosure | |
| 812-15685 | Columbia Credit Income Opportunities Fund, et al. | Investment Company Act Notice | IC-35800
|
Co-Investment | |
| 812-15798 | Monroe Capital Corporation, et al. | Investment Company Act Notice | IC-35799
|
Co-Investment | |
| 812-15796 | 1WS Credit Income Fund, et al. | Investment Company Act Notice | IC-35798
|
Co-Investment | |
| 812-15855 | Star Mountain Lower Middle-Market Capital Corp., et al. | Investment Company Act Notice | IC-35797
|
Co-Investment | |
| 812-15837 | Wilshire Private Assets Fund, et al. | Investment Company Act Notice | IC-35796
|
Multi-Class | |
| 812-15853 | MA Specialty Credit Income Fund, et al. | Investment Company Act Notice | IC-35795
|
Co-Investment | |
| 812-15878 | Audax PDB Management Company, LLC, et al. | Investment Company Act Order | IC-35794
|
Multi-Class | |
| 812-15890 | Cambria ETF Trust, et al. | Investment Company Act Order | IC-35793
|
Multi-Manager - Voting & Disclosure | |
| 812-15845 | Willow Tree Capital Corporation, et al. | Investment Company Act Notice | IC-35792
|
Co-Investment | |
| 812-15886 | Diameter Dynamic Credit Fund, et al. | Investment Company Act Order | IC-35791
|
Multi-Class | |
| 812-15861 | TCG Strategic Income Fund, et al. | Investment Company Act Order | IC-35790
|
Multi-Class | |
| 812-15874 | Pennantpark Enhanced Income Fund, et al. | Investment Company Act Order | IC-35789
|
Multi-Class | |
| 812-15880 | FPLF Management LLC, et al. | Investment Company Act Order | IC-35788
|
Multi-Class | |
| 812-15860 | ARK Venture Fund, et al. | Investment Company Act Order | IC-35787
|
Multi-Class | |
| 812-15484 | DFA Investment Dimensions Group., et al. | Investment Company Act Order | IC-35786
|
Exchange Traded Funds - Multi-Class | |
| 812-15887 | Partners Group Lending Fund, LLC and Partners Group (USA), Inc., | Investment Company Act Order | IC-35785
|
Multi-Class | |
| 812-15578 | Axxes Opportunistic Credit Fund, et al. | Investment Company Act Order | IC-35784
|
Co-Investment | |
| 812-15609 | Russell Investments New Economy Infrastructure Fund, et al | Investment Company Act Order | IC-35783
|
Co-Investment | |
| 812-15835 | 26North BDC, Inc., et al. | Investment Company Act Order | IC-35782
|
Co-Investment | |
| 812-15628 | Crestline Lending Solutions, LLC, et al. | Investment Company Act Order | IC-35781
|
Co-Investment | |
| 812-15815 | Rand Capital Corporation, et al. | Investment Company Act Order | IC-35780
|
Co-Investment | |
| 812-15823 | Privacore VPC Asset Backed Credit Fund, et al. | Investment Company Act Order | IC-35779
|
Co-Investment | |
| 812-15858 | Oaktree Strategic Credit Fund, et al. | Investment Company Act Order | IC-35778
|
Co-Investment | |
| 812-15807 | Banner Ridge DSCO Private Markets Fund, et al. | Investment Company Act Order | IC-35777
|
Co-Investment | |
| 812-15661 | TCW Steel City Perpetual Levered Fund LP, et al | Investment Company Act Order | IC-35776
|
Co-Investment | |
| 812-15806 | Gladstone Alternative Income Fund, et al. | Investment Company Act Order | IC-35773
|
Co-Investment | |
| 812-15794 | Constitution Capital Access Fund, LLC, et al. | Investment Company Act Order | IC-35772
|
Co-Investment |