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:
2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006
2023 | |||
| File No. | Release No. | Date | Investment Company |
|---|---|---|---|
| 812-15422 | IC-34965 | Jul. 25, 2023 | MBC Total Private Markets Access Fund, et al. (Order) |
| 812-15430 | IC-34964 | Jul. 24, 2023 | RM Opportunity Trust and Rocky Mountain Private Wealth Management L.L.C. (Notice) |
| 812-15461 | IC-34963 | Jul. 24, 2023 | T. Rowe Price OHA Select Private Credit Fund, et al. (Notice) |
| 812-15181 | IC-34962 | Jul. 18, 2023 | KKR Real Estate Select Trust Inc., et al. (Notice) |
| 812-15323 | IC-34961 | Jul. 18, 2023 | Vista Credit Strategic Lending Corp., et al. (Order) |
| 812-15465 | IC-34960 | Jul. 12, 2023 | PACE Select Advisors Trust, et al. (Notice) |
| 812-15463 | IC-34957 | Jul. 6, 2023 | Crescent Private Credit Income Corp., and Crescent Cap NT Advisors, LLC. (Notice) |
| 812-15460 | IC-34958 | Jul. 6, 2023 | Morningstar Funds Trust and Morningstar Investment Management LLC. (Notice) |
| 812-15474 | IC-34956 | Jul. 5, 2023 | Credit Suisse Asset Management, LLC., et al. (Order) |
| 812-15422 | IC-34953 | Jun. 28, 2023 | MBC Total Private Markets Access Fund, et al. (Notice) |
| 812-15145 | IC-34952 | Jun. 28, 2023 | Arca U.S. Treasury Fund and Arca Capital Management, LLC (Order) |
| 812-15323 | IC-34946 | Jun. 20, 2023 | Vista Credit Strategic Lending Corp. et al. (Notice) |
| 812-15420 | IC-34945 | Jun. 20, 2023 | VanEck Russia ETF and VanEck Russia Small-Cap ETF, Series of VanEck ETF Trust, and Van Eck Associates Corporation (Order) |
| 812-15401 | IC-34944 | Jun. 20, 2023 | PGIM Investments LLC and PGIM Private Credit Fund (Order) |
| 812-15474 | IC-34941 | Jun. 7, 2023 | Credit Suisse Asset Management, LLC., et al. (Notice and Temporary Order) |
| 812-15304 | IC-34940 | Jun. 6, 2023 | Hartford Schroders Private Opportunities Fund, et al., (Order) |
| 812-15396 | IC-34939 | Jun. 6, 2023 | JPMorgan Private Markets Fund, et al. (Order) |
| 812-15449 | IC-34938 | Jun. 5, 2023 | Hennessy Funds Trust and Hennessy Advisors, Inc., (Order) |
| 812-15454 | IC-34937 | Jun. 5, 2023 | SEI Alternative Income Fund, SEI Investments Distribution Co. and SEI Investments Management Corporation (Order) |
| 812-15448 | IC-34936 | Jun. 2, 2023 | Calamos Aksia Alternative Credit and Income Fund, et al. (Order) |
| 812-15145 | IC-34935 | Jun. 2, 2023 | Arca U.S. Treasury Fund and Arca Capital Management, LLC (Notice) |
| 812-15425 | IC-34921 | May 23, 2023 | Total Fund Solution and Cromwell Investment Advisors, LLC (Order) |
| 812-15364 | IC-34920 | May 22, 2023 | Silver Point Specialty Lending Fund, et al. (Order) |
| 812-15374 | IC-34919 | May 16, 2023 | Hamilton Lane Private Assets Fund, et al. (Order) |
| 812-15428 | IC-34918 | May 16, 2023 | Two Roads Shared Trust and Hypatia Capital Management LLC (Order) |
| 812-15401 | IC-34917 | May 16, 2023 | PGIM Investments LLC and PGIM Private Credit Fund (Notice) |
| 812-15304 | IC-34915 | May 11, 2023 | Hartford Schroders Private Opportunities Fund, et al. (Notice) |
| 812-15396 | IC-34914 | May 10, 2023 | JPM Private Markets Fund, et al. (Notice) |
| 812-15410 | IC-34913 | May 10, 2023 | Investment Managers Series Trust II and Embassy Asset Management, LP (Order) |
| 812-15373 | IC-34912 | May 8, 2023 | Doubleline ETF Trust and Doubleline ETF Adviser LP (Order) |
| 812-15448 | IC-34911 | May 8, 2023 | Calamos Aksia Alternative Credit and Income Fund, et al. (Notice) |
| 812-15449 | IC-34910 | May 8, 2023 | Hennessy Funds Trust and Hennessy Advisors, Inc. (Notice) |
| 812-15454 | IC-34909 | May 8, 2023 | SEI Alternative Income Fund, et al. (Notice) |
| 812-15365 | IC-34907 | May 4, 2023 | Lafayette Square USA, Inc. et al. (Notice) |
| 812-15421 | IC-34905 | May 2, 2023 | MBC Total Private Markets Access Fund and Seneca Management, LLC (Order) |
| 812-15394 | IC-34903 | Apr. 28, 2023 | Invesco Dynamic Credit Opportunity Fund, et al. (Order) |
| 812-15425 | IC-34901 | Apr. 26, 2023 | Total Fund Solution and Cromwell Investment Advisors, LLC (Notice) |
| 812-15364 | IC-34893 | Apr. 24, 2023 | Silver Point Specialty Lending Fund, et al. (Notice) |
| 812-15428 | IC-34892 | Apr. 20, 2023 | Two Roads Shared Trust and Hypatia Capital Management LLC (Notice) |
| 812-15374 | IC-34891 | Apr. 19, 2023 | Hamilton Lane Private Assets Fund, et al. (Notice) |
| 812-15303 | IC-34890 | Apr. 18, 2023 | Bain Capital Private Credit and BCSF Advisors, LP (Order) |
| 812-15438 | IC-34889 | Apr. 18, 2023 | Nomura Alternative Income Fund and Nomura Private Capital LLC (Order) |
| 812-15329 | IC-34888 | Apr. 17, 2023 | AGTB Fund Manager, LLC and AG Twin Brook Capital Income Fund (Order) |
| 812-15332 | IC-34887 | Apr. 17, 2023 | Ares Strategic Income Fund and Ares Capital Management LLC (Order) |
| 812-15410 | IC-34886 | Apr. 14, 2023 | Investment Managers Series Trust II and Embassy Asset Management, LP (Notice) |
| 812-15440 | IC-34885 | Apr. 12, 2023 | The RBB Fund, Inc., et al. (Order) |
| 812-15441 | IC-34883 | Apr. 11, 2023 | Cloudflare, Inc. (Order) |
| 812-15406 | IC-34882 | Apr. 11, 2023 | Pender Real Estate Credit Fund and Pender Capital Management, LLC (Order) |
| 812-15373 | IC-34881 | Apr. 10, 2023 | DoubleLine ETF Trust, et al. (Notice) |
| 812-15292 | IC-34880 | Apr. 10, 2023 | BC Partners Lending Corporation, et al., (Order) |
| 812-15421 | IC-34879 | Apr. 6, 2023 | MBC Total Private Markets Access Fund and Seneca Management, LLC (Notice) |
| 812-15380 | IC-34878 | Apr. 4, 2023 | Lord Abbett & Co. LLC, et al. (Order) |
| 812-15437 | IC-34877 | Apr. 3, 2023 | Confluent, Inc. (Order) |
| 812-15424 | IC-34876 | Apr. 3, 2023 | JPMorgan Private Markets Fund, J.P. Morgan Investment Management Inc. and J.P. Morgan Institutional Investments Inc. (Order) |
| 812-15394 | IC-34874 | Mar. 31, 2023 | Invesco Dynamic Credit Opportunity Fund, et al. (Notice) |
| 812-15325 | IC-34872 | Mar. 30, 2023 | PGIM Private Real Estate Fund, Inc., et al. (Order) |
| 812-15438 | IC-34871 | Mar. 23, 2023 | Nomura Alternative Income Fund and Nomura Private Capital LLC (Notice) |
| 812-15303 | IC-34870 | Mar. 23, 2023 | Bain Capital Private Credit and BCSF Advisors, LP (Notice) |
| 812-15411 | IC-34863 | Mar. 21, 2023 | Tidal Trust II, et al. (Order) |
| 812-15332 | IC-34862 | Mar. 20, 2023 | Ares Strategic Income Fund and Ares Capital Management LLC (Notice) |
| 812-15329 | IC-34861 | Mar. 20, 2023 | AGTB Fund Manager, LLC and AG Twin Brook Capital Income Fund (Notice) |
| 812-15406 | IC-34859 | Mar. 16, 2023 | Pender Real Estate Credit Fund and Pender Capital Management, LLC (Notice) |
| 812-15352 | IC-34858 | Mar. 15, 2023 | The RBB Fund, Inc., et al. (Order) |
| 812-15356 | IC-34857 | Mar. 15, 2023 | The RBB Fund, Inc., et al. (Order) |
| 812-15441 | IC-34856 | Mar. 15, 2023 | Cloudflare, Inc. (Notice) |
| 812-15440 | IC-34853 | Mar. 14, 2023 | The RBB Fund, Inc., et al. (Notice) |
| 812-15353 | IC-34852 | Mar. 13, 2023 | Carlyle Alpinvest Private Markets Fund and Alpinvest Private Equity Investment Management, LLC (Order) |
| 812-15367 | IC-34851 | Mar. 7, 2023 | Constitution Capital Access Fund, LLC, et al. (Order) |
| 812-15380 | IC-34850 | Mar. 7, 2023 | Lord Abbett & Co. LCC, et al. (Notice) |
| 812-15292 | IC-34849 | Mar. 7, 2023 | BC Partners Lending Corporation, et al. (Notice) |
| 812-15437 | IC-34848 | Mar. 6, 2023 | Confluent, Inc. (Notice) |
| 812-15309 | IC-34847 | Mar. 6, 2023 | Kennedy Lewis Management LP, et al. (Order) |
| 812-15424 | IC-34846 | Mar. 6, 2023 | JPMorgan Private Markets Fund, et al. (Notice) |
| 812-15325 | IC-34845 | Mar. 3, 2023 | PGIM Private Real Estate Fund, Inc., et al. (Notice) |
| 812-15375 | IC-34844 | Mar. 3, 2023 | Fidelity Private Credit Fund and Fidelity Diversifying Solutions LLC (Order) |
| 812-15411 | IC-34841 | Feb. 23, 2023 | Tidal Trust II, et al. (Notice) |
| 812-15356 | IC-34836 | Feb. 17, 2023 | The RBB Fund, Inc., et al. (Notice) |
| 812-15352 | IC-34835 | Feb. 17, 2023 | The RBB Fund, Inc., et al. (Notice) |
| 812-15224 | IC-34834 | Feb. 14, 2023 | Forum Real Estate Income Fund (Formerly Forum Cre Income Fund) and Forum Capital Advisors LLC (Order) |
| 812-15409 | IC-34833 | Feb. 14, 2023 | Guidestone Funds and Guidestone Capital Management, LLC (Order) |
| 812-15353 | IC-34832 | Feb. 13, 2023 | Carlyle AlpInvest Private Markets Fund, et al. (Notice) |
| 812-15307 | IC-34831 | Feb. 13, 2023 | Fidelity Private Credit Fund, et al. (Order) |
| 812-15297 | IC-34829 | Feb. 8, 2023 | Prospect Capital Management L.P. and Prospect Floating Rate and Alternative Income Fund, Inc. (Order) |
| 812-15367 | IC-34828 | Feb. 7, 2023 | Constitution Capital Access Fund, LLC, et al. (Notice) |
| 812-15402 | IC-34827 | Feb. 7, 2023 | RBB Fund Trust and Element ETFs, LLC, (Order) |
| 812-15412 | IC-34826 | Feb. 7, 2023 | Cadre Horizon Fund, Inc., et al. (Order) |
| 812-15390 | IC-34825 | Feb. 7, 2023 | Elevation Series Trust and Paralel Advisors LLC (Order) |
| 812-15309 | IC-34824 | Feb. 6, 2023 | Kennedy Lewis Management LP, et al. (Notice) |
| 812-15397 | IC-34823 | Feb. 1, 2023 | Fidelity Multi-Strategy Credit Fund and Fidelity Diversifying Solutions LLC (Order) |
| 812-15375 | IC-34814 | Jan. 24, 2023 | Fidelity Private Credit Fund and Fidelity Diversifying Solutions LLC (Notice) |
| 812-15247 | IC-34813 | Jan. 24, 2023 | Monachil Credit Income Fund, et al. (Order) |
| 812-15409 | IC-34812 | Jan. 19, 2023 | Guidestone Funds and Guidestone Capital Management, LLC (Notice) |
| 812-15224 | IC-34811 | Jan. 18, 2023 | Forum Real Estate Income Fund, et al. (Notice) |
| 812-15355 | IC-34810 | Jan. 18, 2023 | Forum Real Estate Income Fund, et al. (Order) |
| 812-15408 | IC-34809 | Jan. 18, 2023 | Touchstone Strategic Trust et al. (Order) |
| 812-15248 | IC-34808 | Jan. 17, 2023 | PCM Fund, Inc., et al. (Order) |
| 812-15297 | IC-34807 | Jan. 13, 2023 | Prospect Capital Management L.P. and Prospect Floating Rate and Alternative Income Fund, Inc. (Notice) |
| 812-15285 | IC-34806 | Jan. 13, 2023 | ACAP Strategic Fund, et al. (Order) |
| 812-15326 | IC-34805 | Jan. 13, 2023 | Golub Capital BDC, Inc., et al. (Order) |
| 812-15402 | IC-34804 | Jan. 12, 2023 | RBB Fund Trust and Element ETFs, LLC. (Notice) |
| 812-15307 | IC-34803 | Jan. 11, 2023 | Fidelity Private Credit Fund., et al. (Notice) |
| 812-15390 | IC-34802 | Jan. 11, 2023 | Elevation Series Trust and Paralel Advisors LLC (Notice) |
| 812-15412 | IC-34801 | Jan. 10, 2023 | Cadre Horizon Fund, Inc., et al. (Notice) |
| 812-15388 | IC-34800 | Jan. 10, 2023 | Monroe Capital Corporation, et al. (Order) |
| 812-15382 | IC-34799 | Jan. 10, 2023 | MidCap Financial Investment Corporation, et al. (Order) |
| 812-15339 | IC-34798 | Jan. 9, 2023 | Silver Spike Investment Corp., et al. (Order) |
| 812-15397 | IC-34796 | Jan. 5, 2023 | Fidelity Multi-Strategy Credit Fund and Fidelity Diversifying Solutions LLC (Notice) |
2022 | |||
| File No. | Release No. | Date | Investment Company |
| 812-15420 | IC-34793 | Dec. 28, 2022 | VanEck Russia ETF and VanEck Russia Small-Cap ETF, Series of VanEck ETF Trust, and Van Eck Associates Corporation (Notice and Temporary Order) See also: requests and additional information |
| 812-15247 | IC-34792 | Dec. 28, 2022 | Monachil Credit Income Fund, et al. (Notice) |
| 812-15416 | IC-34791 | Dec. 23, 2022 | Franklin FTSE Russia ETF, a Series of Franklin Templeton ETF Trust, and Franklin Advisory Services, LLC (Notice and Temporary Order) |
| 812-15408 | IC-34790 | Dec. 22, 2022 | Touchstone Strategic Trust, et al. (Notice) |
| 812-15358 | IC-34789 | Dec. 22, 2022 | Cantor Fitzgerald Sustainable Infrastructure Fund and Cantor Fitzgerald Investment Advisors, L.P. (Order) |
| 812-15361 | IC-34788 | Dec. 22, 2022 | Varagon Capital Corporation, et al. (Order) |
| 812-15355 | IC-34780 | Dec. 21, 2022 | Forum Real Estate Income Fund, et al. (Notice) |
| 812-15248 | IC-34779 | Dec. 19, 2022 | PCM Fund, Inc., et al. (Notice) |
| 812-15285 | IC-34777 | Dec. 16, 2022 | ACAP Strategic Fund, et al. (Notice) |
| 812-15393 | IC-34776 | Dec. 16, 2022 | Prospect Floating Rate and Alternative Income Fund, Inc. and Prospect Capital Management L.P. (Order) |
| 812-15326 | IC-34775 | Dec. 16, 2022 | Golub Capital BDC, Inc., et al. (Notice) |
| 812-15387 | IC-34773 | Dec. 14, 2022 | Hennessy Funds Trust, et al. (Order) |
| 812-15251 | IC-34772 | Dec. 13, 2022 | Trinity Capital Inc. (Order) |
| 812-15339 | IC-34771 | Dec. 12, 2022 | Silver Spike Investment Corp., et al. (Notice) |
| 812-15382 | IC-34770 | Dec. 9, 2022 | MidCap Financial Investment Corporation, et al. (Notice) |
| 812-15388 | IC-34769 | Dec. 8, 2022 | Monroe Capital Corporation, et al. (Notice) |
| 812-15383 | IC-34767 | Nov. 30, 2022 | J.P. Morgan Exchange-Traded Fund Trust, J.P. Morgan Investment Management Inc. and JPMorgan Distribution Services, Inc. (Order) |
| 812-15361 | IC-34766 | Nov. 29, 2022 | Varagon Capital Corporation, et al. (Notice) |
| 812-15358 | IC-34758 | Nov. 22, 2022 | Cantor Fitzgerald Sustainable Infrastructure Fund and Cantor Fitzgerald Investment Advisors, L.P. (Notice) |
| 812-15386 | IC-34757 | Nov. 22, 2022 | Royalty Pharma Plc and Royalty Pharma Finance Corporation (Order) |
| 812-15393 | IC-34755 | Nov. 21, 2022 | Prospect Floating Rate and Alternative Income Fund, Inc. and Prospect Capital Management L.P. (Notice) |
| 812-15387 | IC-34754 | Nov. 18, 2022 | Hennessy Funds Trust, et al. (Notice) |
| 812-15237 | IC-34753 | Nov. 16, 2022 | Goldman Sachs Bdc, Inc., et al. (Order) |
| 812-15251 | IC-34752 | Nov. 15, 2022 | Trinity Capital Inc. (Notice) |
| 812-15371 | IC-34751 | Nov. 15, 2022 | Emerald Strategic Innovation Interval Fund and Emerald Mutual Fund Advisers Trust (Order) |
| 812-15379 | IC-34749 | Nov. 8, 2022 | Lincoln Variable Insurance Products Trust, and Lincoln Investment Advisors Corporation (Order) |
| 812-15362 | IC-34748 | Nov. 8, 2022 | Main Street Capital Corporation, et al. (Order) |
| 812-15383 | IC-34747 | Nov. 3, 2022 | J.P. Morgan Exchange-Traded Fund Trust, et al. (Notice) |
| 812-15305 | IC-34742 | Oct. 28, 2022 | PennantPark Investment Advisers, LLC, et al. (Order) |
| 812-15386 | IC-34741 | Oct. 27, 2022 | Royalty Pharma Plc and Royalty Pharma Finance Corporation (Notice) |
| 812-15366 | IC-34740 | Oct. 26, 2022 | Constitution Capital Private Markets Fund, LLC and Constitution Capital Pm, LP (Order) |
| 812-15378 | IC-34730 | Oct. 25, 2022 | Neuberger Berman BDC LLC, et al. (Order) |
| 812-15371 | IC-34729 | Oct. 17, 2022 | Emerald Strategic Innovation Interval Fund and Emerald Mutual Fund Advisers Trust (Notice) |
| 812-15322 | IC-34728 | Oct. 14, 2022 | Nuveen Churchill Direct Lending Corp., et al. (Order) |
| 812-15379 | IC-34727 | Oct. 13, 2022 | Lincoln Variable Insurance Products Trust and Lincoln Investment Advisors Corporation (Notice) |
| 812-15362 | IC-34726 | Oct. 11, 2022 | Main Street Capital Corporation, et al. (Notice) |
| 812-15305 | IC-34723 | Oct. 3, 2022 | PennantPark Investment Advisers, LLC, et al. (Notice) |
| 812-15368 | IC-34722 | Sep. 30, 2022 | Ares Capital Corporation, et al. (Order) |
| 812-15366 | IC-34720 | Sep. 30, 2022 | Constitution Capital Private Markets Fund, LLC and Constitution Capital PM, LP (Notice) |
| 812-15378 | IC-34719 | Sep. 29, 2022 | Neuberger Berman BDC LLC, et al. (Notice) |
| 812-15286 | IC-34718 | Sep. 26, 2022 | John Hancock Asset-Based Lending Fund, et al. (Order) |
| 812-15226 | IC-34706 | Sep. 20, 2022 | Capital Southwest Corporation (Order) |
| 812-15344-01 | IC-34705 | Sep. 20, 2022 | CCOF II Lux Feeder, SCSp, et al. (Order) |
| 812-15287 | IC-34704 | Sep. 19, 2022 | Brightwood Capital Corporation I, et al., (Order) |
| 812-15322 | IC-34702 | Sep. 15, 2022 | Nuveen Churchill Direct Lending Corp., et al. (Notice) |
| 812–05753 | IC-34701 | Sep. 13, 2022 | VALIC Timed Opportunity Fund, Inc. (Order) |
| 812-05867 | IC-34700 | Sep. 13, 2022 | Merrill Lynch Corporate Dividend Fund, Inc., et al. (Order) |
| 812-15368 | IC-34699 | Sep. 8, 2022 | Ares Capital Corporation, et al. (Notice) |
| 812-15349 | IC-34698 | Sep. 8, 2022 | Varagon Capital Corporation, et al. (Order) |
| 812-15360 | IC-34697 | Sep. 8, 2022 | Pacific Funds Series Trust, Pacific Select Fund, and Pacific Life Fund Advisors LLC (Order) |
| 812-15341 | IC-34696 | Sep. 7, 2022 | Owl Rock Capital Corporation, et al. (Order) |
| 812-15348 | IC-34695 | Sep. 6, 2022 | Rand Capital Corporation, et al. (Order) |
| 812-15320 | IC-34694 | Aug. 31, 2022 | MSD Investment Corp., et al. (Order) |
| 812-14387 | IC-34693 | Aug. 30, 2022 | CION Investment Corporation, et al. (Order) |
| 812-15350 | IC-34692 | Aug. 30, 2022 | Runway Growth Finance Corp., et al. (Order) |
| 812-15342 | IC-34691 | Aug. 30, 2022 | New Mountain Capital, L.L.C., et al. (Order) |
| 812-15286 | IC-34690 | Aug. 29, 2022 | John Hancock Asset-Based Lending Fund, et al. (Notice) |
| 812-15226 | IC-34688 | Aug. 25, 2022 | Capital Southwest Corporation (Notice) |
| 812-15344-01 | IC-34687 | Aug. 24, 2022 | CCOF II Lux Feeder, SCSp, et al. (Notice) |
| 812-15287 | IC-34680 | Aug. 22, 2022 | Brightwood Capital Corporation I, Et Al (Notice) |
| 812-5419 | IC-34679 | Aug. 17, 2022 | Prudential-Bache Option Growth Fund, Inc (Order) |
| 812-05867 | IC-34678 | Aug. 17, 2022 | Merrill Lynch Corporate Dividend Fund, Inc., et al. (Notice) |
| 812–05753 | IC-34677 | Aug. 17, 2022 | VALIC Timed Opportunity Fund, Inc. (Notice) |
| 812-5611 | IC-34676 | Aug. 17, 2022 | Piedmont Income Fund, Inc. (Order) |
| 812-15349 | IC-34672 | Aug. 11, 2022 | Varagon Capital Corporation, et al. (Notice) |
| 812-15360 | IC-34671 | Aug. 11, 2022 | Pacific Funds Series Trust, et al. (Notice) |
| 812-15341 | IC-34670 | Aug. 10, 2022 | Owl Rock Capital Corporation, et al. (Notice) |
| 812-15319 | IC-34668 | Aug. 9, 2022 | Quaker Investment Trust and Community Capital Management, LLC (Order) |
| 812-15348 | IC-34667 | Aug. 9, 2022 | Rand Capital Corporation, et al. (Notice) |
| 812-15283 | IC-34666 | Aug. 8, 2022 | Cypress Creek Private Strategies Master Fund, L.P., et al. (Order) |
| 812-15320 | IC-34665 | Aug. 5, 2022 | MSD Investment Corp., et al. (Notice) |
| 812-15350 | IC-34664 | Aug. 4, 2022 | Runway Growth Finance Corp., et al. (Notice) |
| 812-15342 | IC-34663 | Aug. 4, 2022 | New Mountain Capital, L.L.C., et al. (Notice) |
| 812-14387 | IC-34662 | Aug. 4, 2022 | CION Investment Corporation, et al. (Notice) |
| 812-15377 | IC-34661 | Aug. 3, 2022 | iShares MSCI Russia ETF, a Series of iShares Inc., and BlackRock Fund Advisors (Notice and Temporary Order) |
| 812-15090 | IC-34660 | Aug. 3, 2022 | Sixth Street Specialty Lending, Inc., et al. (Order) |
| 812-15330 | IC-34659 | Aug. 2, 2022 | Prospect Capital Corporation, et al. (Order) |
| 812-15327 | IC-34658 | Aug. 2, 2022 | Morgan Stanley Direct Lending Fund et al. (Order) |
| 812-15336 | IC-34654 | Jul. 25, 2022 | Goldman Sachs Trust II, Goldman Sachs Asset Management, L.P., and Goldman Sachs Asset Management International (Order) |
| 812-15334 | IC-34650 | Jul. 19, 2022 | Federated Hermes Project and Trade Finance Tender Fund and Federated Investment Management Company (Order) |
| 812-15319 | IC-34648 | Jul. 13, 2022 | Quaker Investment Trust and Community Capital Management, LLC. (Notice) |
| 813-00405 | IC-34646 | Jul. 12, 2022 | Viking Global Equities II LP and Viking Global Investors LP (Order) |
| 812-15283 | IC-34645 | Jul. 11, 2022 | Cypress Creek Private Strategies Master Fund, L.P., et al. (Notice) |
| 812-15090 | IC-34644 | Jul. 8, 2022 | Sixth Street Specialty Lending, Inc., Et Al (Notice) |
| 812-15327 | IC-34643 | Jul. 6, 2022 | Morgan Stanley Direct Lending Fund, et al. (Notice) |
| 812-15330 | IC-34642 | Jul. 5, 2022 | Prospect Capital Corporation, et al. (Notice) |
| 812-15314 | IC-34640 | Jun. 29, 2022 | Voya Senior Income Fund, et al. (Order) |
| 812-15298 | IC-34639 | Jun. 28, 2022 | Blackrock Capital Investment Advisors, LLC and Blackrock Private Credit Fund (Order) |
| 812-15336 | IC-34638 | Jun. 27, 2022 | Goldman Sachs Trust II, et al (Notice) |
| 812-15334 | IC-34621 | Jun. 22, 2022 | Federated Hermes Project and Trade Finance Tender Fund and Federated Investment Management Company (Notice) |
| 812-15208 | IC-34617 | Jun. 15, 2022 | Lafayette Square Empire BDC, Inc., et al. (Order) |
| 812-15337 | IC-34616 | Jun. 14, 2022 | Allianz Global Investors U.S. LLC, et al. (Order) |
| 813-00405 | IC-34615 | Jun. 14, 2022 | Viking Global Equities II LP and Viking Global Investors LP (Notice) |
| 812-15168 | IC-34614 | Jun. 14, 2022 | Stone Point Credit Corporation, et al. (Order) |
| 812-15315 | IC-34613 | Jun. 9, 2022 | First Eagle Alternative Capital BDC, Inc., et al. (Order) |
| 812-15317 | IC-34612 | Jun. 7, 2022 | Blackstone Floating Rate Enhanced Income Fund, et al. (Order) |
| 812-15079 | IC-34611 | Jun. 7, 2022 | WCB Investment Pool LLC (Order) |
| 812-15314 | IC-34609 | Jun. 3, 2022 | Voya Senior Income Fund, et al. (Notice) |
| 812-15298 | IC-34606 | Jun. 2, 2022 | Blackrock Capital Investment Advisors, LLC and Blackrock Private Credit Fund (Notice) |
| 812-15280 | IC-34604 | Jun. 1, 2022 | AFC BDC Inc., et al. (Order) |
| 812-15208 | IC-34590 | May 20, 2022 | Lafayette Square Empire BDC, Inc., et al (Notice) |
| 812-15168 | IC-34588 | May 18, 2022 | Stone Point Credit Corporation, et al. (Notice) |
| 812-15337 | IC-34587 | May 17, 2022 | Allianz Global Investors U.S. LLC, et al. (Notice and Temporary Order) |
| 812-15312 | IC-34586 | May 17, 2022 | Churchill Asset Management LLC and Nuveen Churchill Private Capital Income Fund (Order) |
| 812-15213 | IC-34584 | May 16, 2022 | Capital Southwest Corporation (Order) |
| 812-15315 | IC-34583 | May 13, 2022 | First Eagle Alternative Capital BDC, Inc., et al. (Notice) |
| 812-15079 | IC-34582 | May 12, 2022 | WCB Investment Pool LLC (Notice) |
| 812-15291 | IC-34580 | May 11, 2022 | American General Life Insurance Company, et al. (Order) |
| 812-15317 | IC-34581 | May 11, 2022 | Blackstone Floating Rate Enhanced Income Fund, et al. (Notice) |
| 812-15255 | IC-34579 | May 9, 2022 | Stellus Capital Investment Corporation, et al. (Order) |
| 812-15333 | IC-34578 | May 4, 2022 | Voya Russia Fund, a Series of Voya Mutual Funds, and Voya Investments, LLC (Notice and Temporary Order) |
| 812-15280 | IC-34577 | May 3, 2022 | AFC BDC Inc., et al. (Notice) |
| 812-15294 | IC-34574 | Apr. 29, 2022 | IndexIQ Active ETF Trust and IndexIQ Advisors LLC (Order) |
| 812-15310 | IC-34572 | Apr. 27, 2022 | Brighthouse Funds Trust I, et al. (Order) |
| 812-15308 | IC-34571 | Apr. 26, 2022 | Principal Exchange-Traded Funds, et al. (Order) |
| 812-15312 | IC-34569 | Apr. 21, 2022 | Churchill Asset Management LLC and Nuveen Churchill Private Capital Income Fund (Notice) |
| 813-00393 | IC-34568 | Apr. 21, 2022 | Point72 Employee Investment Fund, L.P. and Point72 Asset Management, L.P. (Order) |
| 812-15213 | IC-34560 | Apr. 19, 2022 | Capital Southwest Corporation (Notice) |
| 812-15291 | IC-34559 | Apr. 15, 2022 | AGL Separate Account VL-R, et al. (Notice) |
| 812-15259 | IC-34558 | Apr. 14, 2022 | BlackRock Capital Investment Corporation, et al. (Order) |
| 812-15267 | IC-34557 | Apr. 11, 2022 | Panagram Capital, LLC, et al. (Order) |
| 812-15255 | IC-34556 | Apr. 11, 2022 | Stellus Capital Investment Corporation, et al. (Notice) |
| 812-15277 | IC-34555 | Apr. 5, 2022 | Alpha Alternative Assets Fund and Alpha Growth Management LLC (Order) |
| 812-15294 | IC-34554 | Apr. 4, 2022 | IndexIQ Active ETF Trust and IndexIQ Advisors LLC (Notice) |
| 812-15245 | IC-34553 | Apr. 1, 2022 | Redwood Enhanced Income Corp., et al. (Order) |
| 812-15310 | IC-34552 | Apr. 1, 2022 | Brighthouse Funds Trust I, Et Al (Notice) |
| 812-15136 | IC-34551 | Mar. 30, 2022 | Jefferies Private Credit BDC Inc. (Order) |
| 812-15308 | IC-34550 | Mar. 30, 2022 | Principal Exchange-Traded Funds, et al. (Notice) |
| 812-15234 | IC-34546 | Mar. 29, 2022 | Onex Falcon Direct Lending BDC Fund, et al. (Order) |
| 812-15282 | IC-34537 | Mar. 22, 2022 | Northern Lights Fund Trust IV, First Manhattan Co. and Northern Lights Distributors, LLC (Order) |
| 812-15259 | IC-34535 | Mar. 18, 2022 | BlackRock Capital Investment Corporation, et al. (Notice) |
| 812-15288 | IC-34534 | Mar. 15, 2022 | Thrivent ETF Trust, et al. (Order) |
| 812-15237 | IC-34533 | Mar. 15, 2022 | Goldman Sachs BDC, Inc., et al (Notice) |
| 812-15243 | IC-34532 | Mar. 15, 2022 | Alpha Architect ETF Trust and Empowered Funds, LLC (Order) |
| 812-15267 | IC-34531 | Mar. 14, 2022 | Panagram Capital, LLC, et al. (Notice) |
| 812-15277 | IC-34530 | Mar. 9, 2022 | Alpha Alternative Assets Fund and Alpha Growth Management LLC (Notice) |
| 812-15231 | IC-34528 | Mar. 8, 2022 | Advisors Series Trust and Semper Capital Management, L.P. (Order) |
| 812-15273 | IC-34527 | Mar. 8, 2022 | DoubleLine ETF Trust, et al. (Order) |
| 812-15293 | IC-34526 | Mar. 8, 2022 | Brinker Capital Destinations Trust (Order) |
| 812-15295 | IC-34525 | Mar. 8, 2022 | Morgan Stanley Pathway Funds (Order) |
| 812-15276 | IC-34524 | Mar. 3, 2022 | John Hancock Asset-Based Lending Fund and John Hancock Investment Management LLC (Order) |
| 812-15234 | IC-34523 | Mar. 2, 2022 | Onex Falcon Direct Lending BDC Fund, et al (Notice) |
| 812-15136 | IC-34522 | Mar. 2, 2022 | Jefferies Private Credit BDC Inc., et al. (Notice) |
| 812-15274 | IC-34518 | Mar. 1, 2022 | Credit Suisse Asset Management, LLC, Credit Suisse Asset Management Limited (Order) |
| 812-15282 | IC-34516 | Feb. 24, 2022 | Northern Lights Fund Trust IV, et al. (Notice) |
| 812-15215 | IC-34509 | Feb. 16, 2022 | MSD Investment, Corp., et al., (Order) |
| 812-15264 | IC-34508 | Feb. 15, 2022 | Catholic Responsible Investments Funds and Christian Brothers Investment Services, Inc. (Order) |
| 812-15288 | IC-34507 | Feb. 15, 2022 | Thrivent ETF Trust, et al. (Notice) |
| 812-14556 | IC-34506 | Feb. 15, 2022 | Silver Point Specialty Lending Fund, et al. (Order) |
| 812-15243 | IC-34505 | Feb. 15, 2022 | Alpha Architect ETF Trust and Empowered Funds, LLC (Notice) |
| 812-15295 | IC-34502 | Feb. 10, 2022 | Morgan Stanley Pathway Funds (Notice) |
| 812-15293 | IC-34501 | Feb. 10, 2022 | Brinker Capital Destinations Trust (Notice) |
| 812-15231 | IC-34500 | Feb. 9, 2022 | Advisors Series Trust and Semper Capital Management, L.P. (Notice) |
| 812-15273 | IC-34499 | Feb. 9, 2022 | DoubleLine ETF Trust, et al. (Notice) |
| 812-15284 | IC-34498 | Feb. 9, 2022 | Oaktree Fund Advisors, LLC and Oaktree Strategic Credit Fund (Order) |
| 812-15235 | IC-34496 | Feb. 7, 2022 | John Hancock Exchange-Traded Fund Trust, John Hancock Investment Management LLC and Foreside Fund Services, LLC (Order) |
| 812-15217 | IC-34494 | Feb. 2, 2022 | ETF Opportunities Trust and Applied Finance Advisors, LLC (Order) |
| 812-15190 | IC-34493 | Feb. 1, 2022 | HPS Corporate Lending Fund, et al. (Order) |
| 812-15257 | IC-34492 | Feb. 1, 2022 | Fairway Private Equity & Venture Capital Opportunities Fund and Fairway Capital Management, LLC (Order) |
| 812-15276 | IC-34491 | Jan. 31, 2022 | John Hancock Asset-Based Lending Fund and John Hancock Investment Management LLC (Notice) |
| 812-15192 and 812-15192-01 | IC-34489 | Jan. 31, 2022 | Apollo Credit Management, LLC and Apollo Debt Solutions BDC (Order) |
| 812-15223 | IC-34481 | Jan. 25, 2022 | Flat Rock Global, LLC, et al. (Order) |
| 812-15245 | IC-34480 | Jan. 21, 2022 | Redwood Enhanced Income Corp., et al. (Notice) |
| 812-15215 | IC-34477 | Jan. 19, 2022 | MSD Investment, LLC, et al. (Notice) |
| 812-15265 | IC-34476 | Jan. 19, 2022 | Variant Alternative Income Fund, et al., (Order) |
| 812-15228 | IC-34475 | Jan. 19, 2022 | FMI Funds, Inc., et al. (Order) |
| 812-15264 | IC-34474 | Jan. 19, 2022 | Catholic Responsible Investments Funds and Christian Brothers Investment Services, Inc. (Notice) |
| 812-15225 | IC-34473 | Jan. 19, 2022 | Capital Group ETF Trust, et al. (Order) |
| 812-14556 | IC-34472 | Jan. 19, 2022 | Silver Point Specialty Lending Fund, et al. (Notice) |
| 812-15284 | IC-34470 | Jan. 14, 2022 | Oaktree Fund Advisors, LLC and Oaktree Strategic Credit Fund (Notice) |
| 812-15124 | IC-34469 | Jan. 13, 2022 | Neuberger Berman BDC LLC, et al. (Order) |
| 812-15235 | IC-34468 | Jan. 10, 2022 | John Hancock Exchange-Traded Fund Trust, et al. (Notice) |
| 812-15256 | IC-34467 | Jan. 10, 2022 | Fairway Private Equity & Venture Capital Opportunities Fund, et al., (Order) |
| 812-15190 | IC-34465 | Jan. 5, 2022 | HPS Corporate Lending Fund, et al. (Notice) |
| 812-15246 | IC-34464 | Jan. 5, 2022 | Oaktree Diversified Income Fund Inc. and Oaktree Fund Advisors, LLC (Order) |
| 812-15217 | IC-34463 | Jan. 5, 2022 | ETF Opportunities Trust and Applied Finance Advisors, LLC (Notice) |
| 812-15257 | IC-34462 | Jan. 4, 2022 | Fairway Private Equity & Venture Capital Opportunities Fund and Fairway Capital Management, LLC (Notice) |
| 812-15192 and 812-15192-01 | IC-34461 | Jan. 3, 2022 | Apollo Credit Management, LLC and Apollo Debt Solutions BDC (Notice) |
2021 | |||
| File No. | Release No. | Date | Investment Company |
| 812-15233 | IC-34459 | Dec. 30, 2021 | MassMutual Access Pine Point Fund, et al. (Order) |
| 812-15015 | IC-34458 | Dec. 29, 2021 | Apollo Investment Corporation, et al. (Order) |
| 812-15223 | IC-34457 | Dec. 29, 2021 | Flat Rock Global, LLC, et al. (Notice) |
| 812-15278 | IC-34456 | Dec. 29, 2021 | Bridge Builder Trust, et al. (Order) |
| 812-15266 | IC-34455 | Dec. 29, 2021 | PGIM Private Real Estate Fund, et al. (Order) |
| 812-15204 | IC-34454 | Dec. 27, 2021 | Calamos Hunt Alternative Income Fund, et al. (Order) |
| 812-15263 | IC-34453 | Dec. 23, 2021 | Fortune V Separate Account and Universal Financial Services (Order) |
| 812-15265 | IC-34452 | Dec. 23, 2021 | Variant Alternative Income Fund, et al. (Notice) |
| 812-15228 | IC-34451 | Dec. 22, 2021 | FMI Funds, Inc., et al. (Notice) |
| 812-15225 | IC-34446 | Dec. 22, 2021 | Capital Group ETF Trust, et al. (Notice) |
| 812-15222 | IC-34445 | Dec. 20, 2021 | Bain Capital Specialty Finance, Inc., et al. (Order) |
| 812-15124 | IC-34443 | Dec. 16, 2021 | Neuberger Berman BDC LLC, et al. (Notice) |
| 812-15258 | IC-34442 | Dec. 15, 2021 | Bow River Capital Evergreen Fund, and Bow River Asset Management LLC (Order) |
| 812-15249 | IC-34439 | Dec. 14, 2021 | MVP Private Markets Fund, et al., (Order) |
| 812-15256 | IC-34438 | Dec. 13, 2021 | Fairway Private Equity & Venture Capital Opportunities Fund, et al. (Notice) |
| 812-15268 | IC-34437 | Dec. 13, 2021 | SEI Asset Allocation Trust, et al. (Order) |
| 812-15246 | IC-34436 | Dec. 10, 2021 | Oaktree Fund Advisors, LLC and Oaktree Diversified Income Fund Inc. (Notice) |
| 812-15233 | IC-34435 | Dec. 8, 2021 | MassMutual Access Pine Point Fund, et al. (Notice) |
| 812-15266 | IC-34434 | Dec. 3, 2021 | PGIM Private Real Estate Fund, Inc. (Notice) |
| 812-15278 | IC-34433 | Dec. 3, 2021 | Bridge Builder Trust, et al. (Notice) |
| 812-15015 | IC-34432 | Dec. 3, 2021 | Apollo Investment Corporation, et al. (Notice) |
| 812-15200 | IC-34430 | Dec. 1, 2021 | AFA Multi-Manager Credit Fund and Alternative Fund Advisors, LLC (Order) |
| 812-15263 | IC-34429 | Nov. 30, 2021 | Fortune V Separate Account, et al. (Notice) |
| 812-15204 | IC-34428 | Nov. 30, 2021 | Calamos Hunt Alternative Income Fund, et al. (Notice) |
| 812-15135 | IC-34427 | Nov. 29, 2021 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Order) |
| 812-15222 | IC-34422 | Nov. 22, 2021 | Bain Capital Specialty Finance, Inc., et al. (Notice) |
| 812-15258 | IC-34421 | Nov. 19, 2021 | Bow River Capital Evergreen Fund, et al. (Notice) |
| 812-15249 | IC-34420 | Nov. 18, 2021 | MVP Private Markets Fund, et al. (Notice) |
| 812-15268 | IC-34418 | Nov. 15, 2021 | SEI Asset Allocation Trust, Et Al (Notice) |
| 812-15260 | IC-34416 | Nov. 9, 2021 | First Eagle Global Opportunities Fund, and First Eagle Investment Management, LLC (Order) |
| 812-15200 | IC-34414 | Nov. 2, 2021 | AFA Multi-Manager Credit Fund and Alternative Fund Advisors, LLC (Notice) |
| 812-15135 | IC-34412 | Nov. 1, 2021 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Notice) |
| 812-15183 | IC-34410 | Oct. 25, 2021 | Optimum Fund Trust, et al. (Order) |
| 812-15250 | IC-34409 | Oct. 21, 2021 | The Optima Dynamic Alternatives Fund and Optima Asset Management LLC (Order) |
| 812-15274 | IC-34400 | Oct. 19, 2021 | Credit Suisse Asset Management, LLC., et al. (Notice and Temporary Order) |
| 812-15218 | IC-34398 | Oct. 13, 2021 | Pomona Investment Fund, et al. (Order) |
| 812-15260 | IC-34397 | Oct. 12, 2021 | First Eagle Global Opportunities Fund, Et Al (Notice) |
| 812-15230 | IC-34395 | Oct. 5, 2021 | High Income Securities Fund (Order) |
| 812-15242 | IC-34390 | Sep. 29, 2021 | Mainstay Cbre Global Infrastructure Megatrends Fund, Mainstay Mackay Defined Term Municipal Opportunities Fund, New York Life Investment Management LLC (Order) |
| 812-15183 | IC-34386 | Sep. 27, 2021 | Optimum Fund Trust, et al. (Notice) |
| 812-15229 | IC-34385 | Sep. 27, 2021 | Investment Managers Series Trust and Hamilton Lane Advisors, L.L.C. (Order) |
| 812-15250 | IC-34381 | Sep. 24, 2021 | The Optima Dynamic Alternatives Fund, Et Al (Notice) |
| 813-00393 | IC-34365A | Sep. 15, 2021 | Point72 Employee Investment Fund, L.P. and Point72 Asset Management, L.P. (Notice) |
| 812-15218 | IC-34374 | Sep. 14, 2021 | Pomona Investment Fund, et al. (Notice) |
| 812-15230 | IC-34373 | Sep. 9, 2021 | High Income Securities Fund (Notice) |
| 812-15242 | IC-34372 | Sep. 3, 2021 | Mainstay CBRE Global Infrastructure Megatrends Fund, et al. (Notice) |
| 812-15229 | IC-34370 | Sep. 1, 2021 | Investment Managers Series Trust and Hamilton Lane Advisors, L.L.C. (Notice) |
| 813-00393 | IC-34365 | Aug. 26, 2021 | Point72 Employee Investment Fund, L.P. and Point72 Asset Management, L.P. (Notice) |
| 812-15239 | IC-34359 | Aug. 24, 2021 | Columbia ETF Trust I, et al. (Order) |
| 812-15244 | IC-34356 | Aug. 11, 2021 | MVP Private Markets Fund and Portfolio Advisors, LLC (Order) |
| 812-15219 | IC-34355 | Aug. 11, 2021 | Capital Southwest Corporation, et al. (Order) |
| 812-15180 | IC-34354 | Aug. 11, 2021 | Uncommon Investment Funds Trust and Uncommon Investment Advisors LLC (Order) |
| 812-15240 | IC-34353 | Aug. 9, 2021 | Doubleline Opportunistic Credit Fund, et al. (Order) |
| 812-15175 | IC-34350 | Aug. 5, 2021 | Fidelity Beach Street Trust, et al. (Order) |
| 812-15232 | IC-34351 | Aug. 5, 2021 | Hartford Funds Exchange-Traded Trust, et al. (Order) |
| 812-15187 | IC-34348 | Aug. 3, 2021 | New Age Alpha Trust and New Age Alpha Advisors, LLC (Order) |
| 812-15195 | IC-34347 | Aug. 2, 2021 | Commonwealth Credit Partners BDC I, Inc., et al. (Order) |
| 812-15239 | IC-34345 | Jul. 27, 2021 | Columbia ETF Trust I, et al. (Notice) |
| 812-15214 | IC-34344 | Jul. 26, 2021 | BNY Mellon Alcentra Opportunistic Global Credit Income Fund and BNY Mellon Investment Adviser, Inc. (Order) |
| 812-15176 | IC-34338 | Jul. 20, 2021 | Investcorp Credit Management BDC, Inc., et al. (Order) |
| 812-15097 | IC-34336 | Jul. 19, 2021 | Lord Abbett Floating Rate High Income Fund, et al. (Order) |
| 812-15212 | IC-34335 | Jul. 19, 2021 | Capital Southwest Corporation (Order) |
| 812-15244 | IC-34334 | Jul. 16, 2021 | MVP Private Markets Fund, et al; (Notice) |
| 812-15219 | IC-34333 | Jul. 16, 2021 | Capital Southwest Corporation, et al. (Notice) |
| 812-15194 | IC-34332 | Jul. 15, 2021 | iCapital KKR Private Markets Fund, et al. (Order) |
| 812-15180 | IC-34331 | Jul. 15, 2021 | Uncommon Investment Funds Trust and Uncommon Investment Advisors LLC (Notice) |
| 812-15151 | IC-34330 | Jul. 13, 2021 | First Eagle Alternative Capital BDC, Inc., et al. (Order) |
| 812-15210 | IC-34329 | Jul. 13, 2021 | Nationwide Mutual Funds and Nationwide Variable Insurance Trust (Each, a "Trust") and Nationwide Fund Advisors (Order) |
| 812-15240 | IC-34328 | Jul. 13, 2021 | DoubleLine Opportunistic Credit, et al (Notice) |
| 812-15131 | IC-34327 | Jul. 12, 2021 | Calamos-Avenue Opportunities Fund and Calamos Avenue Management, LLC (Order) |
| 812-15175 | IC-34326 | Jul. 9, 2021 | Fidelity Beach Street Trust, et al. (Notice) |
| 812-15195 | IC-34325 | Jul. 7, 2021 | Commonwealth Credit Partners BDC I, Inc., et al. (Notice) |
| 812-15232 | IC-34324 | Jul. 7, 2021 | Hartford Funds Exchange-Traded Trust, et al. (Notice) |
| 812-15216 | IC-34323 | Jul. 7, 2021 | Schwab Strategic Trust, Charles Schwab Investment Management, Inc. and Sei Investments Distribution Co. (Order) |
| 812-15187 | IC-34322 | Jul. 6, 2021 | New Age Alpha Trust and New Age Alpha Advisors, LLC (Notice) |
| 812-15214 | IC-34320 | Jun. 29, 2021 | BNY Mellon Alcentra Opportunistic Global Credit Income Fund and BNY Mellon Investment Adviser, Inc. (Notice) |
| 812-15202-01 | IC-34321 | Jun. 29, 2021 | Listed Funds Trust and Skyrocket Investments, LLC (Order) |
| 812-15176 | IC-34318 | Jun. 24, 2021 | Investcorp Credit Management BDC, Inc., et al. (Notice) |
| 812-15194 | IC-34317 | Jun. 24, 2021 | iCapital KKR Private Markets Fund, et al. (Notice) |
| 812-15212 | IC-34309 | Jun. 22, 2021 | Capital Southwest Corporation (Notice) |
| 812-15097 | IC-34308 | Jun. 22, 2021 | Lord Abbett Floating Rate High Income Fund, et al. (Notice) |
| 812-15170 | IC-34307 | Jun. 22, 2021 | Franklin Templeton Co-Investing Interval Fund, et al., (Order) |
| 812-15154 | IC-34306 | Jun. 21, 2021 | Simplify Exchange Traded Funds and Simplify Asset Management Inc. (Order) |
| 812-15173 | IC-34303 | Jun. 17, 2021 | Calamos Investment Trust and Calamos Advisors LLC (Order) |
| 812-15210 | IC-34302 | Jun. 16, 2021 | Nationwide Mutual Funds, et al. (Notice) |
| 812-15151 | IC-34301 | Jun. 15, 2021 | First Eagle Alternative Capital Bdc, Inc., et al. (Notice) |
| 812-15131 | IC-34300 | Jun. 14, 2021 | Calamos-Avenue Opportunities Fund and Calamos Avenue Management, LLC (Notice) |
| 812-15216 | IC-34298 | Jun. 11, 2021 | Schwab Strategic Trust, et al. (Notice) |
| 812-15119-01 | IC-34296 | Jun. 8, 2021 | Delaware Wilshire Private Markets Master Fund, et al., (Order) |
| 812-15143 | IC-34295 | Jun. 7, 2021 | Teachers Insurance and Annuity Association of America and Tiaa Separate Account Va-3 (Order) |
| 812-15202-01 | IC-34293 | Jun. 2, 2021 | Listed Funds Trust and Skyrocket Investments, LLC (Notice) |
| 812-15111 | IC-34290 | May 27, 2021 | Trinity Capital, Inc. (Order) |
| 812-15170 | IC-34289 | May 27, 2021 | Franklin Templeton Co-Investing Interval Fund, et al. (Notice) |
| 812-15207 | IC-34275 | May 25, 2021 | HPS Corporate Lending Fund and HPS Investment Partners, LLC (Order) |
| 812-15154 | IC-34274 | May 24, 2021 | Simplify Exchange Traded Funds and Simplify Asset Management Inc. (Notice) |
| 812-15173 | IC-34273 | May 19, 2021 | Calamos Investment Trust, et al. (Notice) |
| 812-15197 | IC-34272 | May 18, 2021 | T. Rowe Price Associates, Inc., et al. (Order) |
| 812-15119-01 | IC-34270 | May 12, 2021 | Delaware Wilshire Private Markets Master Fund, et al. (Notice) |
| 812-15191 | IC-34268 | May 11, 2021 | The Advisors' Inner Circle Fund, Cambiar Investors, LLC, and Sei Investments Distribution Co. (Order) |
| 812-15143 | IC-34267 | May 10, 2021 | Teachers Insurance and Annuity Association of America, et al. (Notice) |
| 812-15203 | IC-34266 | May 10, 2021 | Putnam ETF Trust, et al. (Order) |
| 812-15199 | IC-34265 | May 4, 2021 | Nushares ETF Trust, et al. (Order) |
| 812-15101 | IC-34264 | May 4, 2021 | The Ohio National Life Insurance Company, et al. (Order) |
| 812-15111 | IC-34263 | May 3, 2021 | Trinity Capital, Inc. (Notice) |
| 812-15185 | IC-34262 | May 3, 2021 | SharesPost 100 Fund and Liberty Street Advisors, Inc. (Order) |
| 812-15189 | IC-34261 | Apr. 30, 2021 | Azzad Funds and Azzad Asset Management, Inc. (Order) |
| 812-15207 | IC-34259 | Apr. 29, 2021 | HPS Corporate Lending Fund and HPS Investment Partners, LLC (Notice) |
| 812-15197 | IC-34248 | Apr. 22, 2021 | T. Rowe Price Associates, Inc., et al. (Notice) |
| 812-15203 | IC-34245 | Apr. 15, 2021 | Putnam ETF Trust, et al. (Notice) |
| 812-15191 | IC-34244 | Apr. 13, 2021 | The Advisors' Inner Circle Fund, Cambiar Investors, LLC and Sei Investments Distribution Co. (Notice) |
| 812-15199 | IC-34243 | Apr. 8, 2021 | Nuveen Fund Advisors, LLC, et al. (Notice) |
| 812-15101 | IC-34242 | Apr. 7, 2021 | The Ohio National Life Insurance Company, et al. (Notice) |
| 812-15189 | IC-34241 | Apr. 5, 2021 | Azzad Funds and Azzad Asset Management, Inc. (Notice) |
| 812-15185 | IC-34240 | Apr. 5, 2021 | SharesPost 100 Fund and Liberty Street Advisors, Inc. (Notice) |
| 812-15140 | IC-34239 | Mar. 30, 2021 | Brighthouse Life Insurance Company, et al. (Order) |
| 812-15134 | IC-34238 | Mar. 30, 2021 | Russell Investment Company and Russell Investment Funds and Russell Investment Management, LLC (Order) |
| 812-15174 | IC-34237 | Mar. 29, 2021 | Rand Capital Corporation, et al. (Order) |
| 812-15120 | IC-34228 | Mar. 23, 2021 | Star Mountain Credit Opportunities Fund, LP, et al. (Order) |
| 812-15130 | IC-34224 | Mar. 16, 2021 | Columbia Funds Series Trust, et al. (Order) |
| 812-15160 | IC-34223 | Mar. 16, 2021 | Strategas Trust and Strategas Securities, LLC (Order) |
| 812-15162 | IC-34221 | Mar. 9, 2021 | Blue Tractor ETF Trust and Blue Tractor Group, LLC (Order) |
| 812-15140 | IC-34220 | Mar. 4, 2021 | Brighthouse Life Insurance Company, et al. (Notice) |
| 812-15086 | IC-34219 | Mar. 2, 2021 | Muzinich BDC, Inc., et al. (Order) |
| 812-15174 | IC-34218 | Mar. 1, 2021 | Rand Capital Corporation, et al. (Notice) |
| 812-15166 | IC-34216 | Feb. 26, 2021 | The Advisors' Inner Circle Fund and Pathstone Family Office, LLC (Order) |
| 812-15165 | IC-34215 | Feb. 26, 2021 | The RBB Fund, Inc., et al. (Order) |
| 812-15120 | IC-34202 | Feb. 23, 2021 | Star Mountain Credit Opportunities Fund, LP, et al. (Notice) |
| 812-15099 | IC-34201 | Feb. 23, 2021 | Hamilton Lane Private Assets Fund, et al., (Order) |
| 812-15134 | IC-34200 | Feb. 23, 2021 | Russell Investment Company, et al. (Notice) |
| 812-15205 | IC-34198 | Feb. 22, 2021 | Infinity Q Diversified Alpha Fund, a Series of Trust for Advised Portfolios, and Infinity Q Capital Management, LLC (Notice and Temporary Order) |
| 812-15130 | IC-34197 | Feb. 18, 2021 | Columbia Funds Series Trust, et al. (Notice) |
| 812-15160 | IC-34195 | Feb. 16, 2021 | Strategas Trust and Strategas Securities, LLC (Notice) |
| 812-15162 | IC-34194 | Feb. 10, 2021 | Blue Tractor ETF Trust and Blue Tractor Group, LLC (Notice) |
| 812-15182 | IC-34193 | Feb. 9, 2021 | Invesco Capital Management LLC, Invesco Distributors, Inc., and Invesco Actively Managed Exchange-Traded Fund Trust (Order) |
| 812-15157 | IC-34192 | Feb. 9, 2021 | Natixis Advisors, L.P., et al. (Order) |
| 812-15178 | IC-34191 | Feb. 9, 2021 | Activeshares ETF Trust, et al. (Order) |
| 812-15171 | IC-34190 | Feb. 8, 2021 | ETF Series Solutions and Distillate Capital Partners LLC (Order) |
| 812-15165 | IC-34189 | Feb. 5, 2021 | The RBB Fund, Inc., et al. (Notice) |
| 812-15066 | IC-34187 | Feb. 2, 2021 | Symmetry Panoramic Trust and Symmetry Partners, LLC (Order) |
| 812-15086 | IC-34186 | Feb. 2, 2021 | Muzinich BDC, Inc., et al. (Notice) |
| 812-15106 | IC-34185 | Feb. 1, 2021 | Esoterica Thematic Trust and Esoterica Capital LLC (Order) |
| 812-15166 | IC-34184 | Feb. 1, 2021 | The Advisors' Inner Circle Fund and Pathstone Family Office, LLC (Notice) |
| 812-15099 | IC-34182 | Jan. 28, 2021 | Hamilton Lane Private Assets Fund, et al. (Notice) |
| 812-15169 | IC-34181 | Jan. 21, 2021 | Alps ETF Trust, et al. (Order) |
| 812-15158 | IC-34180 | Jan. 21, 2021 | J.P. Morgan Investment Management Inc., et al. (Order) |
| 812-15096-01 | IC-34176 | Jan. 21, 2021 | KKR Registered Advisor LLC and KKR Real Estate Select Trust Inc. (Order) |
| 813-00395 | IC-34175 | Jan. 19, 2021 | Signature PE Fund, LLC and McDermott Will & Emery LLP (Order) |
| 812-15167 | IC-34174 | Jan. 19, 2021 | ETF Series Solutions and Clearshares LLC (Order) |
| 813-00397 | IC-34173 | Jan. 13, 2021 | Citadel Enterprise Americas LLC and CEIF LLC (Order) |
| 812-15178 | IC-34172 | Jan. 12, 2021 | Activeshares ETF Trust, et al. (Notice) |
| 812-15157 | IC-34171 | Jan. 12, 2021 | Natixis ETF Trust II, et al. (Notice) |
| 812-15182 | IC-34170 | Jan. 12, 2021 | Invesco Capital Management LLC, et al. (Notice) |
| 812-15171 | IC-34169 | Jan. 11, 2021 | ETF Series Solutions and Distillate Capital Partners LLC (Notice) |
| 812-15113 | IC-34167 | Jan. 8, 2021 | Palmer Square Capital Bdc Inc., et al. (Order) |
| 812-15066 | IC-34165 | Jan. 6, 2021 | Symmetry Panoramic Trust and Symmetry Partners, LLC (Notice) |
| 812-14951-01 | IC-34164 - correction | Jan. 5, 2021 | KKR Income Opportunities Fund, et al., (Order) |
| 812-15106 | IC-34161 | Jan. 4, 2021 | Esoterica Thematic Trust and Esoterica Capital LLC (Notice) |
2020 | |||
| File No. | Release No. | Date | Investment Company |
| 812-15158 | IC-34150 | Dec. 22, 2020 | J.P. Morgan Investment Management Inc., et al. (Notice) |
| 812-15169 | IC-34149 | Dec. 22, 2020 | Alps ETF Trust, et al. (Notice) |
| 812-15096-01 | IC-34147 | Dec. 22, 2020 | KKR Registered Advisor LLC and KKR Real Estate Select Trust Inc. (Notice) |
| 812-14979 | IC-34146 | Dec. 21, 2020 | Main Street Capital Corporation, et al. (Order) |
| 813-00395 | IC-34145 | Dec. 21, 2020 | Signature PE Fund, LLC and McDermott Will & Emery LLP (Notice) |
| 812-15167 | IC-34144 | Dec. 21, 2020 | ETF Series Solutions and Clearshares LLC (Notice) |
| 813-00397 | IC-34143 | Dec. 18, 2020 | Citadel Enterprise Americas LLC (formerly Citadel LLC) and CEIF LLC (Notice) |
| 812-15156 | IC-34141 | Dec. 15, 2020 | Oaktree Strategic Income II, Inc., et al. (Order) |
| 812-15113 | IC-34139 | Dec. 14, 2020 | Palmer Square Capital BDC Inc., et al. (Notice) |
| 812-14951-01 | IC-34138 - correction | Dec. 11, 2020 | KKR Income Opportunities Fund, et al. (Notice) |
| 812-15155 | IC-34133 | Dec. 9, 2020 | Northern Funds and Northern Trust Investments, Inc. (Order) |
| 812-15150 | IC-34132 | Dec. 8, 2020 | NB Crossroads Private Markets Access Fund LLC and Neuberger Berman Investment Advisers LLC (Order) |
| 812-15146 | IC-34131 | Dec. 8, 2020 | AdvisorShares Trust, et al. (Order) |
| 812-14722 | IC-34129 | Dec. 4, 2020 | Allianz Life Insurance Company of North America and Allianz Life Insurance Company of New York ("Allianz Ny, et al. (Order) |
| 812-15070 | IC-34127 | Dec. 2, 2020 | Invesco Capital Management LLC, Invesco Distributors, Inc. and Invesco Actively Managed Exchange-Traded Fund Trust (Order) |
| 812-15144 | IC-34126 | Dec. 1, 2020 | First Eagle Credit Opportunities Fund, et al. (Order) |
| 812-15083 | IC-34125 | Dec. 1, 2020 | Principal Diversified Select Real Asset Fund, et al. (Order) |
| 812-15177 | IC-34124 | Dec. 1, 2020 | Upstart Holdings, Inc. (Order) |
| 812-15116 | IC-34105 | Nov. 23, 2020 | Managed Portfolio Series and Tortoise Index Solutions, LLC (Order) |
| 812-15100 | IC-34104 | Nov. 23, 2020 | Investment Managers Series Trust II and Axs Investments LLC (Order) |
| 812-14979 | IC-34103 | Nov. 23, 2020 | Main Street Capital Corporation, et al. (Notice) |
| 812-14949 | IC-34102 | Nov. 23, 2020 | First Eagle BDC, LLC, et al. (Order) |
| 812-15121 | IC-34101 | Nov. 20, 2020 | New York Life Insurance and Annuity Corporation, et al. (Order) |
| 812-15156 | IC-34099 | Nov. 18, 2020 | Oaktree Strategic Income II, Inc., et al. (Notice) |
| 812-15139 | IC-34098 | Nov. 17, 2020 | Primark Private Equity Investments Fund and Primark Advisors LLC (Order) |
| 812-15172 | IC-34097 | Nov. 17, 2020 | Goldman Sachs (Malaysia) Sdn. Bhd., et al. (Order) |
| 812-15155 | IC-34095 | Nov. 13, 2020 | Northern Funds and Northern Trust Investments, Inc. (Notice) |
| 812-15150 | IC-34094 | Nov. 13, 2020 | NB Crossroads Private Markets Access Fund LLC and Neuberger Berman Investment Advisers LLC (Notice) |
| 812-15146 | IC-34092 | Nov. 12, 2020 | Advisorshares Trust, et al. (Notice) |
| 812-15104 | IC-34091 | Nov. 10, 2020 | 361 Social Infrastructure Fund and 361 Infrastructure Partners, LLC (Order) |
| 812-15038 | IC-34090 | Nov. 10, 2020 | Yieldstreet Prism Fund Inc., et al. (Order) |
| 812-15177 | IC-34088 | Nov. 9, 2020 | Upstart Holdings, Inc. (Notice) |
| 812-15070 | IC-34087 | Nov. 6, 2020 | Invesco Capital Management LLC, et al. (Notice) |
| 812-15083 | IC-34086 | Nov. 4, 2020 | Principal Diversified Select Real Asset Fund, et al. (Notice) |
| 812-15159 | IC-34085 | Nov. 4, 2020 | Snowflake, Inc. (Order) |
| 812-15164 | IC-34083 | Nov. 2, 2020 | Development Bank of Japan Inc. (Order) |
| 812-15144 | IC-34080 | Oct. 30, 2020 | First Eagle Credit Opportunities Fund, et al. (Notice) |
| 812-15121 | IC-34079 | Oct. 30, 2020 | New York Life Insurance and Annuity Corporation, Et Al (Notice) |
| 812-15089 | IC-34077 | Oct. 27, 2020 | Horizon Funds and Horizon Investments, LLC (Order) |
| 812-15141 | IC-34076 | Oct. 27, 2020 | Invesco Capital Management LLC, et al. (Order) |
| 812-15100 | IC-34075 | Oct. 27, 2020 | Investment Managers Series Trust II and AXS Investments LLC (Notice) |
| 812-15142 | IC-34074 | Oct. 27, 2020 | Frost Family of Funds and Frost Investment Advisors, LLC (Order) |
| 812-15116 | IC-34072 | Oct. 26, 2020 | Managed Portfolio Series and Tortoise Index Solutions, LLC (Notice) |
| 812-15172 | IC-34071 | Oct. 22, 2020 | Goldman Sachs (Malaysia) Sdn. Bhd., et al. (Notice and Temporary Order) |
| 812-15145 | IC-34055 | Oct. 20, 2020 | Arca U.S. Treasury Fund and Arca Capital Management, LLC (Order) |
| 812-15139 | IC-34054 | Oct. 20, 2020 | Primark Private Equity Investments Fund and Primark Advisors LLC (Notice) |
| 812-15163 | IC-34053 | Oct. 20, 2020 | Deutsche Bank AG, et al. (Order) |
| 812-15104 | IC-34051 | Oct. 15, 2020 | 361 Social Infrastructure Fund and 361 Infrastructure Partners, LLC (Notice) |
| 812-15038 | IC-34050 | Oct. 15, 2020 | Yieldstreet Prism Fund Inc., et al. (Notice) |
| 812-15159 | IC-34049 | Oct. 9, 2020 | Snowflake, Inc. (Notice) |
| 812-15108 | IC-34046 | Oct. 7, 2020 | Rand Capital Corporation, et al. (Order-correction) |
| 812-15114 | IC-34044 | Oct. 6, 2020 | GSO Asset Management, LLC and Blackstone Private Credit Fund (Order) |
| 812-15164 | IC-34043 | Oct. 5, 2020 | Development Bank of Japan Inc. (Notice) |
| 812-15141 | IC-34041 | Oct. 1, 2020 | Invesco Capital Management LLC, et al. (Notice) |
| 812-15055 | IC-34040 | Oct. 1, 2020 | Federated Hermes Adviser Series, et al. (Order) |
| 812-15089 | IC-34039 | Oct. 1, 2020 | Horizon Funds and Horizon Investments, LLC (Notice) |
| 812-14997 | IC-34036 | Sep. 30, 2020 | 1WS Credit Income Fund, et al. (Order) |
| 812-15147 | IC-34033 | Sep. 29, 2020 | Resource Credit Income Fund and Sierra Crest Investment Management LLC (Order) |
| 812-15142 | IC-34031 | Sep. 29, 2020 | Frost Family of Funds and Frost Investment Advisors, LLC (Notice) |
| 812-15133 | IC-34030 | Sep. 28, 2020 | Blackrock ETF Trust III, Blackrock Fund Advisors and Blackrock Investments, LLC (Order) |
| 812-15163 | IC-34025 | Sep. 24, 2020 | Deutsche Bank AG, et al. (Notice) |
| 812-15145 | IC-34026 | Sep. 24, 2020 | Arca U.S. Treasury Fund and Arca Capital Management, LLC (Notice) |
| 812-15123 | IC-34018 | Sep. 23, 2020 | Spinnaker ETF Series, Obp Capital LLC and Capital Investment Group, Inc. (Order) |
| 812-15057 | IC-34016 | Sep. 18, 2020 | Morgan Stanley Direct Lending Fund, et al. (Order) |
| 812-15115 | IC-34013 | Sep. 15, 2020 | Principal Funds, Inc., et al. (Order) |
| 812-15095 | IC-34012 | Sep. 15, 2020 | Owl Rock Capital Corporation II, Owl Rock Core Income Corp. and Owl Rock Capital Advisors LLC (Order) |
| 812-15114 | IC-34011 | Sep. 14, 2020 | GSO Asset Management LLC and Blackstone Private Credit Fund (Notice) |
| 812-15108 | IC-34006 | Sep. 11, 2020 | Rand Capital Corporation, et al. (Notice) |
| 812-14997 | IC-33959A | Sep. 4, 2020 | 1WS Credit Income Fund, et al. (Notice) |
| 812-15055 | IC-34002 | Sep. 2, 2020 | Federated Hermes Adviser Series, et al. (Notice) |
| 812-15147 | IC-34001 | Sep. 2, 2020 | Resource Credit Income Fund and Sierra Crest Investment Management LLC (Notice) |
| 812-15133 | IC-34000 | Aug. 31, 2020 | Blackrock ETF Trust III, et al. (Notice) |
| 812-15123 | IC-33998 | Aug. 28, 2020 | Spinnaker ETF Series, et al. (Notice) |
| 812-15057 | IC-33958A | Aug. 28, 2020 | Morgan Stanley Direct Lending Fund, et al. (Notice) |
| 812-15115 | IC-33973 | Aug. 19, 2020 | Principal Funds, Inc., et al. (Notice) |
| 812-15095 | IC-33972 | Aug. 17, 2020 | Owl Rock Capital Corporation II, et al. (Notice) |
| 812-15122 | IC-33969 | Aug. 12, 2020 | Spinnaker ETF Series, Obp Capital LLC and Capital Investment Group, Inc. (Order) |
| 812-14987 | IC-33968 | Aug. 11, 2020 | FS Global Credit Opportunities Fund, et al. (Order) |
| 812-15105 | IC-33967 | Aug. 10, 2020 | Runway Growth Credit Fund Inc., et al. (Order) |
| 812-15093 | IC-33965 | Aug. 5, 2020 | J.P. Morgan Exchange-Traded Fund Trust, J.P. Morgan Investment Management Inc. and J.P. Morgan Distribution Services, Inc. (Order) |
| 812-14909 | IC-33962 | Aug. 4, 2020 | OFS Capital Corp., et al. (Order) |
| 812-15051 | IC-33961 | Jul. 31, 2020 | Aspiriant Defensive Allocation Fund and Aspiriant LLC (Order) |
| 812-14997 | IC-33959 | Jul. 28, 2020 | 1WS Credit Income Fund, et al. (Notice) |
| 812-15057 | IC-33958 | Jul. 28, 2020 | Morgan Stanley Direct Lending Fund, et al. (Notice) |
| 812-15073 | IC-33957 | Jul. 28, 2020 | Keystone Private Income Fund and Keystone National Group, LLC (Order) |
| 812-15072 | IC-33930 | Jul. 21, 2020 | Conversus Stepstone Private Markets, et al. (Order) |
| 812-15122 | IC-33929 | Jul. 17, 2020 | Spinnaker ETF Series, et al. (Notice) |
| 812-14987 | IC-33927 | Jul. 15, 2020 | FS Global Credit Opportunities Fund, et al. (Notice) |
| 812-15098 | IC-33926 | Jul. 14, 2020 | Hamilton Lane Private Assets Fund and Hamilton Lane Advisors, L.L.C . (Order) |
| 812-15105 | IC-33925 | Jul. 13, 2020 | Runway Growth Credit Fund, Inc., et al. (Notice) |
| 812-15051 | IC-33924 | Jul. 10, 2020 | Aspiriant Defensive Allocation Fund and Aspiriant LLC (Notice) |
| 812-15093 | IC-33923 | Jul. 10, 2020 | J.P. Morgan Exchange-Traded Fund Trust, et al. (Notice) |
| 812-14909 | IC-33922 | Jul. 8, 2020 | OFS Capital Corp., et al. (Notice) |
| 812-15073 | IC-33917 | Jul. 1, 2020 | Keystone Private Income Fund and Keystone National Group, LLC (Notice) |
| 812-14722 | IC-33916 | Jul. 1, 2020 | Allianz Life Insurance Company of North America, et al (Order) |
| 812-15072 | IC-33913 | Jun. 25, 2020 | Conversus Stepstone Private Markets, et al. (Notice) |
| 812-15098 | IC-33896 | Jun. 17, 2020 | Hamilton Lane Private Assets Fund and Hamilton Lane Advisors, L.L.C. (Notice) |
| 812-15076 | IC-33894 | Jun. 16, 2020 | Sutter Rock Capital Corp. (Order) |
| 812-15051 | IC-33893 | Jun. 15, 2020 | Aspiriant Defensive Allocation Fund and Aspiriant LLC (Notice) |
| 812-15059 | IC-33892 | Jun. 15, 2020 | Varagon Capital Corporation, et al. (Order) |
| 812-15075 | IC-33888 | May 27, 2020 | First Trust Series Fund, et al. (Order) |
| 812-14774-02 | IC-33887 | May 27, 2020 | USCF Advisers LLC, USCF ETF Trust, and USCF Cayman Commodity 2 (Order) |
| 812-14866 | IC-33886 | May 20, 2020 | Principal Funds, Inc., et al. (Order) |
| 812-15008 | IC-33873 | May 20, 2020 | Legg Mason Partners Equity Trust, et al. (Order) |
| 812-14905 | IC-33871 | May 19, 2020 | FS Credit Income Fund, et al. (Order) |
| 812-15061 | IC-33870 | May 19, 2020 | Invesco Advisers, Inc., et al. (Order) |
| 812-15117 | IC-33869 | May 19, 2020 | The Alger ETF Trust, et al. (Order) |
| 812-15076 | IC-33868 | May 19, 2020 | Sutter Rock Capital Corp. (Notice) |
| 812-15059 | IC-33867 | May 18, 2020 | Varagon Capital Corporation, et al. (Notice) |
| 812-15049 | IC-33865 | May 13, 2020 | Capitol Series Trust and Cornerstone Capital Inc. (Order) |
| 812-15019 | IC-33864 | May 12, 2020 | Great Elm Capital Corp., et al. (Order) |
| 812-15067 | IC-33863 | May 12, 2020 | KKR Credit Opportunities Portfolio and Kkr Credit Advisors (Us) LLC (Order) |
| 812-15082 | IC-33862 | May 12, 2020 | American Century ETF Trust and American Century Investment Management, Inc. (Order) |
| 812-14774-02 | IC-33859 | Apr. 30, 2020 | USCF Advisers LLC, et al. (Notice) |
| 812-15075 | IC-33857 | Apr. 28, 2020 | First Trust Series Fund, et. al. (Notice) |
| 812-15043 | IC-33854 | Apr. 24, 2020 | Daxor Corporation (Order) |
| 812-15008 | IC-33853 | Apr. 24, 2020 | Legg Mason Partners Equity Trust, et al. (Notice) |
| 812-15117 | IC-33852 | Apr. 23, 2020 | The Alger ETF Trust, et al. (Notice) |
| 812-15074 | IC-33851 | Apr. 23, 2020 | Conversus Stepstone Private Markets and Stepstone Conversus LLC (Order) |
| 812-15047 | IC-33850 | Apr. 22, 2020 | AIP Private Equity Opportunities Fund I A LP; Morgan Stanley AIP GP LP; WBPE Fund I, et al. (Order) |
| 812-15062 | IC-33849 | Apr. 22, 2020 | Guinness Atkinson Funds and Guinness Atkinson Asset Management, Inc. (Order) |
| 812-14905 | IC-33848 | Apr. 22, 2020 | FS Credit Income Fund, et al. (Notice) |
| 813-00389 | IC-33846 | Apr. 22, 2020 | Two Sigma Investments, LP and Two Sigma Luna, LLC (Order) |
| 812-15061 | IC-33844 | Apr. 21, 2020 | Invesco Advisers, Inc., et al. (Notice) |
| 812-14866 | IC-33843 | Apr. 21, 2020 | Principal Funds, Inc. et al. (Notice) |
| 812-15049 | IC-33842 | Apr. 17, 2020 | Capitol Series Trust and Cornerstone Capital Inc. (Notice) |
| 812-15082 | IC-33841 | Apr. 16, 2020 | American Century ETF Trust, et al. (Notice) |
| 812-15067 | IC-33840 | Apr. 16, 2020 | KKR Credit Opportunities Portfolio and KKR Credit Advisors (US) LLC (Notice) |
| 812-15019 | IC-33839 | Apr. 15, 2020 | Great Elm Capital Corp., et al. (Notice) |
| 812-15034 | IC-33834 | Apr. 3, 2020 | Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC. (Order Permitting Withdrawal of Application) |
| 812-15088 | IC-33823 | Mar. 24, 2020 | ETF Managers Trust and ETF Managers Group LLC (Order) |
| 812-15037 | IC-33822 | Mar. 24, 2020 | Prospect Capital Management L.P., et al. (Order) |
| 812-15047 | IC-33818 | Mar. 16, 2020 | AIP Private Equity Opportunities Fund I A LP, et al. (Notice) |
| 812-15043 | IC-33816 | Mar. 13, 2020 | Daxor Corporation (Notice) |
| 812-15074 | IC-33815 | Mar. 12, 2020 | Conversus StepStone Private Markets and StepStone Conversus LLC (Notice) |
| 812-15062 | IC-33813 | Mar. 10, 2020 | Guinness Atkinson Funds and Guinness Atkinson Asset Management, Inc. (Notice) |
| 813-00389 | IC-33811 | Mar. 5, 2020 | Two Sigma Investments, LP and Two Sigma Luna, LLC (Notice) |
| 812-14383 | IC-33803 | Feb. 25, 2020 | FS Energy and Power Fund and FS/EIG Advisor, LLC (Order) |
| 812-15088 | IC-33799 | Feb. 19, 2020 | ETF Managers Trust and ETF Managers Group LLC (Notice) |
| 812-15037 | IC-33800 | Feb. 19, 2020 | Prospect Capital Management L.P., et al. (Notice) |
| 812-15007 | IC-33801 | Feb. 19, 2020 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (“Adviser”) (Order) |
| 812-14940 | IC-33798 | Feb. 4, 2020 | Kayne Anderson MLP/Midstream Investment Company, et al. (Order) |
| 812-15081 | IC-33797 | Feb. 4, 2020 | Goldman Sachs Real Estate Diversified Income Fund, et al. (Order) |
| 812-14383-09 | IC-33794 | Jan. 29, 2020 | FS Energy and Power Fund and FS/EIG Advisor, LLC (Notice) |
| 812-15040 | IC-33793 | Jan. 28, 2020 | Fundrise Real Estate Interval Fund, LLC, et al. (Order) |
| 812-15007 | IC-33748 | Jan. 21, 2020 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Notice) |
| 812-14949 | IC-33746 | Jan. 14, 2020 | First Eagle BDC, LLC, et al. (Notice) |
| 812-14977 | IC-33745 | Jan. 13, 2020 | Prospect Capital Corporation, et al. (Order) |
| 812-15081 | IC-33743 | Jan. 9, 2020 | Goldman Sachs Real Estate Diversified Income Fund, et al. (Notice) |
| 812-14940 | IC-33742 | Jan. 8, 2020 | Kayne Anderson MLP/Midstream Investment Company, et al. (Notice) |
| 813-00394 | IC-33741 | Jan. 8, 2020 | Lazard Asset Management LLC and Lazard ESC Funds LLC (Order) |
2019 | |||
| File No. | Release No. | Date | Investment Company |
| 812-15040 | IC-33739 | Dec. 31, 2019 | Fundrise Real Estate Interval Fund, LLC, et al. (Notice) |
| 812-14967 | IC-33738 | Dec. 30, 2019 | Blackstone Alternative Alpha Fund, et al., (Order) |
| 812-14722 | IC-33721 | Dec. 20, 2019 | Allianz Life Insurance Company of North America, et al (Notice) See also: requests and additional information |
| 812-15021 | IC-33720 | Dec. 18, 2019 | Blackstone Alternative Investment Funds, et al. (Order) |
| 812-14957 | IC-33719 | Dec. 17, 2019 | North Square Investments Trust and North Square Investments, LLC (Order) |
| 812-14977 | IC-33716 | Dec. 16, 2019 | Prospect Capital Corporation, et al. (Notice) |
| 812-14626-01 | IC-33714 | Dec. 13, 2019 | AMG Pantheon Master Fund, LLC, et al. (Order) |
| 812-14214 | IC-33713 | Dec. 10, 2019 | T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc. (Order) |
| 812-14364 | IC-33712 | Dec. 10, 2019 | Fidelity Beach Street Trust, et al. (Order) |
| 812-14870 | IC-33711 | Dec. 10, 2019 | Natixis ETF Trust II, et al. (Order) |
| 812-14625 | IC-33710 | Dec. 10, 2019 | Blue Tractor ETF Trust and Blue Tractor Group, LLC (Order) |
| 813-00394 | IC-33709 | Dec. 3, 2019 | Lazard Asset Management LLC and Lazard ESC Funds LLC (Notice) |
| 812-15036 | IC-33708 | Dec. 3, 2019 | Gabelli ETFs Trust, et al. (Order) |
| 812-14967 | IC-33707 | Dec. 2, 2019 | Blackstone Alternative Alpha Fund, et al. (Notice) |
| 812-15060 | IC-33705 | Nov. 26, 2019 | OSI ETF Trust and O’Shares Investment Advisers, LLC (Order) |
| 812-15021 | IC-33703 | Nov. 22, 2019 | Blackstone Alternative Alpha Fund, et al. (Notice) |
| 812-14957 | IC-33702 | Nov. 21, 2019 | North Square Investments Trust, et al. (Notice) |
| 812-14626-01 | IC-33687 | Nov. 18, 2019 | AMG Pantheon Master Fund, LLC, et al. (Notice) |
| 812-15052 | IC-33686 | Nov. 18, 2019 | MassMutual Select Funds, et al. (Order) |
| 812-14214 | IC-33685 | Nov. 14, 2019 | T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc. (Notice) |
| 812-14870 | IC-33684 | Nov. 14, 2019 | Natixis ETF Trust II, et al. (Notice) |
| 812-14364 | IC-33683 | Nov. 14, 2019 | Fidelity Beach Street Trust, et al. (Notice) |
| 812-14625 | IC-33682 | Nov. 14, 2019 | Blue Tractor ETF Trust and Blue Tractor Group, LLC (Notice) |
| 812-15036 | IC-33681 | Nov. 5, 2019 | Gabelli ETFs Trust, et al. (Notice) |
| 812-14993 | IC-33680 | Oct. 29, 2019 | Calvert Fund, et al. (Order) |
| 812-15033 | IC-33679 | Oct. 29, 2019 | Mutual of America Life Insurance Company, et al. (Order) |
| 812-15060 | IC-33678 | Oct. 29, 2019 | OSI ETF Trust, et al. (Notice) |
| 812-15052 | IC-33675 | Oct. 23, 2019 | MassMutual Select Funds, et al. (Notice) |
| 812-15001 | IC-33659 | Oct. 22, 2019 | CIM Real Assets & Credit Fund and CIM Capital IC Management, LLC (Order) |
| 812-15030 | IC-33656 | Oct. 8, 2019 | New Mountain Finance Corporation, et al. (Order) |
| 812-15031 | IC-33655 | Oct. 8, 2019 | ETFis Series Trust I, et al. (Order) |
| 812-15033 | IC-33654 | Oct. 2, 2019 | Mutual of America Life Insurance Company, et al. (Notice) |
| 812-14993 | IC-33653 | Oct. 2, 2019 | Calvert Fund, et al. (Notice) |
| 812-14988 | IC-33652 | Oct. 2, 2019 | Diamond Hill Funds and Diamond Hill Capital Management, Inc. (Order) |
| 812-15004 | IC-33632 | Sep. 24, 2019 | Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC (Order) |
| 812-15034 | IC-33631 | Sep. 24, 2019 | Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC. (Notice) |
| 812-15001 | IC-33630 | Sep. 23, 2019 | CIM Real Assets & Credit Fund, et al. (Notice) |
| 812-14998 | IC-33628 | Sep. 17, 2019 | New Age Alpha Advisors, LLC and New Age Alpha Trust (Order) |
| 812-15030 | IC-33624 | Sep. 12, 2019 | New Mountain Finance Corporation, et al. (Notice) |
| 812-15031 | IC-33622 | Sep. 11, 2019 | ETFis Series Trust I, et al. (Notice) |
| 812-15022 | IC-33621 | Sep. 10, 2019 | Alaia Capital, LLC and m+ ETF Trust (Order) |
| 812-15035 | IC-33620 | Sep. 10, 2019 | American Century ETF Trust, et al. (Order) |
| 812-15012 | IC-33619 | Sep. 9, 2019 | Collaborative Investment Series Trust and Tactical Fund Advisors, LLC (Order) |
| 812-15041 | IC-33618 | Sep. 9, 2019 | Forum Funds; Absolute Investment Advisers LLC; and Foreside Fund Services, LLC (Order) |
| 812-14988 | IC-33616 | Sep. 4, 2019 | Diamond Hill Funds and Diamond Hill Capital Management, Inc. (Notice) |
| 812-15004 | IC-33610 | Aug. 27, 2019 | Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC (Notice) |
| 812-15014 | IC-33609 | Aug. 26, 2019 | ETF Opportunities Trust, et al. (Order) |
| 812-14998 | IC-33606 | Aug. 21, 2019 | New Age Alpha Advisors, LLC and New Age Alpha Trust (Notice) |
| 812-15026 | IC-33596 | Aug. 20, 2019 | Liquid Strategies, LLC and Listed Funds Trust (Order) |
| 812-15010 | IC-33595 | Aug. 20, 2019 | PFS Funds and Castle Investment Management, LLC (Order) |
| 812-14911 | IC-33594 | Aug. 20, 2019 | The Guardian Insurance & Annuity Company, Inc., et al. (Order) |
| 812-14984 | IC-33593 | Aug. 20, 2019 | Zacks Investment Management, Inc. and Zacks Trust (Order) |
| 812-14983 | IC-33592 | Aug. 20, 2019 | Zacks Investment Management, Inc. and Zacks Trust (Order) |
| 812-15035 | IC-33590 | Aug. 14, 2019 | American Century ETF Trust, et al. (Notice) |
| 812-14964 | IC-33589 | Aug. 14, 2019 | 1WS Credit Income Fund and 1WS Capital Advisors, LLC (Order) |
| 812-15012 | IC-33588 | Aug. 12, 2019 | Collaborative Investment Series Trust and Tactical Fund Advisors, LLC (Notice) |
| 812-15041 | IC-33587 | Aug. 12, 2019 | Forum Funds, et al. (Notice) |
| 812-14856 | IC-33586 | Aug. 9, 2019 | ReliaStar Life Insurance Company of New York, et al. (Order) |
| 812-15032 | IC-33585 | Aug. 9, 2019 | Howard Capital Management, Inc. and Northern Lights Fund Trust III (Order) |
| 812-15039 | IC-33584 | Aug. 8, 2019 | WicShares Trust and Water Island Capital, LLC (Order) |
| 812-15022 | IC-33580 | Jul. 30, 2019 | Alaia Capital, LLC and m+ ETF Trust (Notice) |
| 812-15014 | IC-33579 | Jul. 29, 2019 | ETF Opportunities Trust, et al. (Notice) |
| 812-15026 | IC-33576 | Jul. 24, 2019 | Liquid Strategies, LLC and Listed Funds Trust (Notice) |
| 812-14911 | IC-33566 | Jul. 23, 2019 | The Guardian Insurance & Annuity Company, Inc., et al. (Notice) |
| 812-14984 | IC-33565 | Jul. 23, 2019 | Zacks Investment Management, Inc. and Zacks Trust (Notice) |
| 812-14983 | IC-33564 | Jul. 23, 2019 | Zacks Investment Management, Inc. and Zacks Trust (Notice) |
| 812-15010 | IC-33563 | Jul. 23, 2019 | PFS Funds and Castle Investment Management, LLC. (Notice) |
| 812-14962 | IC-33558 | Jul. 16, 2019 | Lord Abbett Credit Opportunities Fund, Lord, Abbett & Co. LLC and Lord Abbett Distributor LLC (Order) |
| 812-14964 | IC-33556 | Jul. 16, 2019 | 1WS Credit Income Fund and 1WS Capital Advisers, LLC (Notice) |
| 812-14991 | IC-33555 | Jul. 16, 2019 | Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds (Order) |
| 812-14856 | IC-33554 | Jul. 15, 2019 | Voya Retirement Insurance and Annuity Company et al. (Notice) |
| 812-14968 | IC-33553 | Jul. 15, 2019 | Axonic Alternative Income Fund and Axonic Capital LLC (Order) |
| 812-15032 | IC-33551 | Jul. 11, 2019 | Northern Lights Fund Trust III, et al. (Notice) |
| 812-14994 | IC-33549 | Jul. 9, 2019 | Wahed Invest LLC, et al. (Order) |
| 812-15000 | IC-33548 | Jul. 9, 2019 | Vertical Capital Income Fund and Oakline Advisors, LLC (Order) |
| 812-14854 | IC-33547 | Jul. 9, 2019 | Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC (Order) |
| 812-15018 | IC-33546 | Jul. 8, 2019 | Pioneer ETF Series Trust I, et al. (Order) |
| 812-14915 | IC-33536 | Jun. 27, 2019 | Cresset Private Markets Opportunity Fund and Cresset SPG, LLC (Order) |
| 812-15039 | IC-33535 | Jun. 27, 2019 | WicShares Trust and Water Island Capital, LLC (Notice) |
| 812-14791 | IC-33519 | Jun. 26, 2019 | Columbia Funds Series Trust, et al. (Order) |
| 812-14917 | IC-33518 | Jun. 25, 2019 | John Hancock GA Mortgage Trust, et al. (Order) |
| 812-14991 | IC-33516 | Jun. 20, 2019 | Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds (Notice) |
| 812-14955 | IC-33515 | Jun. 20, 2019 | BlackRock Capital Investment Corporation, et al. (Order) |
| 812-14962 | IC-33513 | Jun. 19, 2019 | Lord Abbett Credit Opportunities Fund, et al. (Notice) |
| 813-00391 | IC-33510 | Jun. 17, 2019 | Tudor Investment Corporation and Tudor Employee Investment Fund LLC (Order) |
| 812-14854 | IC-33509 | Jun. 13, 2019 | Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC (Notice) |
| 812-14968 | IC-33508 | Jun. 13, 2019 | Axonic Alternative Income Fund and Axonic Capital LLC (Notice) |
| 812-14994 | IC-33507 | Jun. 12, 2019 | Wahed Invest LLC, et al. (Notice) |
| 812-15018 | IC-33506 | Jun. 12, 2019 | Pioneer ETF Series Trust I, et al. (Notice) |
| 812-15000 | IC-33505 | Jun. 12, 2019 | Vertical Capital Income Fund and Oakline Advisors, LLC (Notice) |
| 812-14898 | IC-33503 | Jun. 7, 2019 | Nuveen Churchill BDC LLC, et al. (Order) |
| 812-14953 | IC-33502 | Jun. 5, 2019 | Collaborative Investment Series Trust and Belpointe Asset Management, LLC, (Order) |
| 812-14975 | IC-33501 | Jun. 4, 2019 | Ellington Income Opportunities Fund, et al. (Order) |
| 812-14894 | IC-33500 | Jun. 3, 2019 | ALPS Variable Investment Trust, et al. (Order) |
| 812-14996 | IC-33499 | Jun. 3, 2019 | Toroso Investments, LLC and Tidal ETF Trust (Order) |
| 812-14915 | IC-33497 | May 31, 2019 | Cresset Private Markets Opportunity Fund and Cresset SPG, LLC (Notice) |
| 812-14791 | IC-33495 | May 30, 2019 | Columbia Funds Series Trust, et al. (Notice) |
| 812-14194-03 | IC-33494 | May 29, 2019 | Carillon Series Trust and Carillon Tower Advisers, Inc. (Order) |
| 812-14917 | IC-33493 | May 28, 2019 | John Hancock GA Mortgage Trust, et al. (Notice) |
| 813-00391 | IC-33492 | May 23, 2019 | Tudor Investment Corporation and Tudor Employee Investment Fund LLC (Notice) |
| 812-14955 | IC-33480 | May 21, 2019 | BlackRock Capital Investment Corporation, et al. (Notice) |
| 812-14943 | IC-33478 | May 21, 2019 | Symmetry Panoramic Trust and Symmetry Partners, LLC (Order) |
| 812-14995 | IC-33479 | May 21, 2019 | M-CAM International LLC, et al. (Order) |
| 812-14405 | IC-33477 | May 20, 2019 | Precidian ETFs Trust, et al. (Order) |
| 812-14898 | IC-33475 | May 15, 2019 | Nuveen Churchill BDC LLC, et al. (Notice) |
| 812-14970 | IC-33474 | May 14, 2019 | Putnam Managed Municipal Income Trust, et al. (Order) |
| 812-14868 | IC-33473 | May 13, 2019 | Eaton Vance Growth Trust, et al. (Order) |
| 812-14953 | IC-33472 | May 10, 2019 | Collaborative Investment Series Trust and Belpointe Asset Management, LLC (Notice) |
| 812-14981 | IC-33471 | May 8, 2019 | Roundhill Financial LLC and Listed Funds Trust (Order) |
| 812-14975 | IC-33470 | May 8, 2019 | Ellington Income Opportunities Fund, et al. (Notice) |
| 812-14996 | IC-33469 | May 8, 2019 | Toroso Investments, LLC and Tidal ETF Trust (Notice) |
| 812-14894 | IC-33468 | May 7, 2019 | ALPS Variable Investment Trust, et al. (Notice) |
| 812-14932 | IC-33466 | May 6, 2019 | Principal Diversified Select Income Fund, et al. (Order) |
| 812-14194-03 | IC-33464 | May 2, 2019 | Carillon Series Trust, et al. (Notice) |
| 812-14881 | IC-33463 | Apr. 30, 2019 | Monteagle Funds and Nashville Capital Corporation (Order) |
| 812-14943 | IC-33452 | Apr. 23, 2019 | Symmetry Panoramic Trust and Symmetry Partners, LLC (Notice) |
| 812-14944 | IC-33451 | Apr. 23, 2019 | iM Global Partner US LLC and Manager Directed Portfolios (Order) |
| 812-14995 | IC-33450 | Apr. 23, 2019 | M-CAM International LLC, et al. (Notice) |
| 812-14970 | IC-33449 | Apr. 17, 2019 | Putnam Managed Municipal Income Trust, et al. (Notice) |
| 812-15011 | IC-33448 | Apr. 16, 2019 | Wells Fargo Securities, LLC, et al. (Order) |
| 812-14868 | IC-33447 | Apr. 15, 2019 | Eaton Vance Growth Trust, et al. (Notice) |
| 812-14981 | IC-33446 | Apr. 12, 2019 | Roundhill Financial LLC and Listed Funds Trust (Notice) |
| 812-14929 | IC-33443 | Apr. 9, 2019 | O'Shaughnessy Asset Management, LLC, et al. (Order) |
| 812-15009 | IC-33442 | Apr. 8, 2019 | Lyft, Inc. (Order) |
| 812-14932 | IC-33441 | Apr. 8, 2019 | Principal Diversified Select Income Fund, et al. (Notice) |
| 812-14405 | IC-33440 | Apr. 8, 2019 | Precidian ETFs Trust, et al. (Notice) See also: Additional information |
| 812-14959 | IC-33439 | Apr. 3, 2019 | American Beacon Sound Point Enhanced Income Fund, et al. (Order) |
| 812-14980 | IC-33438 | Apr. 2, 2019 | TigerShares Trust, Wealthn LLC and Quasar Distributor, LLC (Order) |
| 812-14956 | IC-33437 | Apr. 2, 2019 | BlackRock Credit Strategies Fund, et al. (Order) |
| 812-14990 | IC-33436 | Apr. 2, 2019 | Macquarie Global Infrastructure Total Return Fund Inc., et al. (Order) |
| 812-14939 | IC-33433 | Mar. 29, 2019 | Tidal ETF Trust and Toroso Investments, LLC (Order) |
| 812-14944 | IC-33431 | Mar. 28, 2019 | iM Global Partner US LLC and Manager Directed Portfolios (Notice) |
| 812-14938 | IC-33430 | Mar. 27, 2019 | Infusive US Trust and Infusive Asset Management, Inc. (Order) |
| 812-15011 | IC-33404 | Mar. 20, 2019 | Wells Fargo Securities, LLC, et al. (Notice and Temporary Order) |
| 812-14954 | IC-33403 | Mar. 19, 2019 | Acquirers Funds, LLC, et al. (Order) |
| 812-14887 | IC-33402 | Mar. 19, 2019 | OBP Capital LLC and Spinnaker ETF Series (Order) |
| 812-14850 | IC-33401 | Mar. 19, 2019 | CM Finance Inc, et al. (Order) |
| 812-15009 | IC-33399 | Mar. 14, 2019 | Lyft, Inc. (Notice) |
| 812-14974 | IC-33397 | Mar. 12, 2019 | Pacer Funds Trust, et al. (Order) |
| 812-14929 | IC-33395 | Mar. 11, 2019 | O'Shaughnessy Asset Management, LLC, et al. (Notice) |
| 812-14891 | IC-33394 | Mar. 11, 2019 | Pharos Capital BDC, Inc., et al. (Order) |
| 812-14959 | IC-33393 | Mar. 8, 2019 | American Beacon Sound Point Enhanced Income Fund, et al. (Notice) |
| 812-14980 | IC-33392 | Mar. 7, 2019 | TigerShares Trust, et al. (Notice) |
| 812-14985 | IC-33390 | Mar. 6, 2019 | Victory Capital Management Inc., Victory Portfolios II and Foreside Fund Services, LLC (Order) |
| 812-14990 | IC-33389 | Mar. 5, 2019 | Macquarie Global Infrastructure Total Return Fund Inc., et al. (Notice) |
| 812-14956 | IC-33388 | Mar. 5, 2019 | BlackRock Credit Strategies Fund, et al. (Notice) |
| 812-14986 | IC-33387 | Mar. 5, 2019 | Victory Capital Management Inc., et al. (Order) |
| 812-14937 | IC-33386 | Mar. 4, 2019 | The Special Opportunities Fund, Inc. and Bulldog Investors, LLC (Order) |
| 812-14938 | IC-33385 | Mar. 1, 2019 | Infusive US Trust, et al. (Notice) |
| 812-14887 | IC-33381 | Feb. 21, 2019 | OBP Capital LLC, et al. (Notice) |
| 812-14954 | IC-33380 | Feb. 21, 2019 | Acquirers Funds, LLC, et al. (Notice) |
| 812-14881 | IC-33379 | Feb. 21, 2019 | Monteagle Funds and Nashville Capital Corporation (Notice) |
| 812-14939 | IC-33378 | Feb. 21, 2019 | Toroso Investments, LLC and Tidal ETF Trust (Notice) |
| 812-14850 | IC-33377 | Feb. 19, 2019 | CM Finance Inc, et al. (Notice) |
| 812-14974 | IC-33374 | Feb. 13, 2019 | Pacer Funds Trust, et al. (Notice) |
| 812-14891 | IC-33372 | Feb. 8, 2019 | Pharos Capital BDC, Inc., et al. (Notice) |
| 812-14985 | IC-33371 | Feb. 8, 2019 | Victory Capital Management Inc., et al. (Notice) |
| 812-14966 | IC-33370 | Feb. 6, 2019 | Yleana Advisors, LLC and Yleana Trust (Notice) |
| 812-14986 | IC-33369 | Feb. 6, 2019 | Victory Capital Management Inc. et al. (Notice) |
| 812-14965 | IC-33368 | Feb. 6, 2019 | Yleana Advisors, LLC and Yleana Trust (Notice) |
| 812-14937 | IC-33367 | Feb. 4, 2019 | Special Opportunities Fund, Inc. and Bulldog Investors, LLC (Notice) |
| 812-14960 | IC-33366 | Feb. 1, 2019 | OSI ETF Trust, et al. (Order) |
| 812-14902 | IC-33365 | Feb. 1, 2019 | Cliffwater Corporate Lending Fund and Cliffwater LLC (Order) |
| 812-14942 | IC-33364 | Feb. 1, 2019 | Symmetry Panoramic Trust and Symmetry Partners, LLC (Order) |
| 812-14900 | IC-33363 | Feb. 1, 2019 | Stone Ridge Trust II, et al. (Order) |
| 812-14961 | IC-33362 | Jan. 31, 2019 | RYZZ Capital Management, LLC, et al. (Order) |
| 812-14910 | IC-33360 | Jan. 30, 2019 | Hercules Capital, Inc. (Order) |
| 812-14969 | IC-33359 | Jan. 29, 2019 | Hoya Capital Real Estate, LLC, et al. (Order) |
| 812-14933 | IC-33353 | Jan. 29, 2019 | Pacific Global ETF Trust and Cadence Capital Management LLC (Order) |
| 812-14958 | IC-33352 | Jan. 29, 2019 | Timothy Plan and Timothy Partners, Ltd. (Order) |
| 812-14947 | IC-33350 | Jan. 29, 2019 | TigerShares Trust and Wealthn LLC (Order) |
| 812-14893 | IC-33349 | Jan. 29, 2019 | Investment Managers Series Trust and 361 Capital, LLC (Order) |
| 812-14912 | IC-33348 | Jan. 29, 2019 | Ai Funds, Inc. (formerly Embrace Capital LLC) and Deep A.I. ETF Trust (formerly Embrace ETF Trust) (Order) |
| 812-14811 | IC-33347 | Jan. 28, 2019 | AQR Trust and AQR Capital Management, LLC (Order) |
| 812-14812 | IC-33346 | Jan. 28, 2019 | AQR Trust and AQR Capital Management, LLC (Order) |
| 812-14822 | IC-33345 | Jan. 28, 2019 | American Fidelity Assurance Company, et al. (Order) |
2018 | |||
| File No. | Release No. | Date | Investment Company |
| 812-14812 | IC-33343 | Dec. 21, 2018 | AQR Trust and AQR Capital Management, LLC (Notice) |
| 812-14811 | IC-33342 | Dec. 21, 2018 | AQR Trust and AQR Capital Management, LLC (Notice) |
| 812-14910 | IC-33341 | Dec. 21, 2018 | Hercules Capital, Inc. (Notice) |
| 812-14947 | IC-33334 | Dec. 20, 2018 | TigerShares Trust, et al. (Notice) |
| 812-14961 | IC-33332 | Dec. 19, 2018 | RYZZ Capital Management, LLC, et al. (Notice) |
| 812-14958 | IC-33331 | Dec. 19, 2018 | Timothy Plan and Timothy Partners, Ltd. (Notice) |
| 812-14960 | IC-33330 | Dec. 19, 2018 | OSI ETF Trust, et al. (Notice) |
| 812-14912 | IC-33327 | Dec. 18, 2018 | Ai Funds, Inc. and Deep A.I. ETF Trust (Notice) |
| 812-14934 | IC-33326 | Dec. 17, 2018 | Pacific Global ETF Trust and Cadence Capital Management LLC (Order) |
| 812-14969 | IC-33325 | Dec. 17, 2018 | Hoya Capital Real Estate, LLC, et al. (Notice) |
| 812-14893 | IC-33323 | Dec. 14, 2018 | Investment Managers Series Trust and 361 Capital, LLC (Notice) |
| 812-14920 | IC-33321 | Dec. 11, 2018 | ABR Dynamic Funds, LLC, et al. (Order) |
| 812-14933 | IC-33320 | Dec. 11, 2018 | Pacific Global ETF Trust and Cadence Capital Management LLC (Notice) |
| 812-14902 | IC-33318 | Dec. 6, 2018 | Cliffwater Corporate Lending Fund and Cliffwater LLC (Notice) |
| 812-14942 | IC-33317 | Dec. 6, 2018 | Symmetry Panoramic Trust and Symmetry Partners, LLC (Notice) |
| 812-14855 | IC-33316 | Dec. 4, 2018 | Stellus Capital Investment Corporation, et al. (Order) |
| 812-14900 | IC-33315 | Dec. 4, 2018 | Stone Ridge Trust II, et al. (Notice) |
| 812-14924 | IC-33313 | Dec. 3, 2018 | Toroso Investments, LLC and Tidal ETF Trust (Order) |
| 812-14822 | IC-33309 | Nov. 29, 2018 | American Fidelity Assurance Company, et al. (Notice) |
| 812-14945 | IC-33307 | Nov. 27, 2018 | Cushing Asset Management, LP and Cushing ETF Trust (Order) |
| 812-14936 | IC-33297 | Nov. 19, 2018 | Beyond Advisers IC, et al. (Order) |
| 812-14934 | IC-33296 | Nov. 19, 2018 | Pacific Global ETF Trust and Cadence Capital Management LLC (Notice) |
| 812-14920 | IC-33295 | Nov. 14, 2018 | ABR Dynamic Funds, LLC, et al. (Notice) |
| 812-14931 | IC-33294 | Nov. 13, 2018 | Blackstone Real Estate Income Fund, et al., (Order) |
| 812-14903 | IC-33293 | Nov. 9, 2018 | Destra International & Event-Driven Credit Fund and Destra Capital Advisors, LLC (Order) |
| 812-14772 | IC-33292 | Nov. 7, 2018 | Procure Active ETF Trust, ProcureAM, LLC, and Quasar Distributors LLC (Order) |
| 812-14771 | IC-33291 | Nov. 7, 2018 | Procure ETF Trust I, ProcureAM, LLC, and Quasar Distributors LLC (Order) |
| 812-14862 | IC-33290 | Nov. 7, 2018 | Audax Credit BDC Inc., et al. (Order) |
| 812-14855 | IC-33289 | Nov. 6, 2018 | Stellus Capital Investment Corporation, et al. (Notice) |
| 812-14924 | IC-33288 | Nov. 5, 2018 | Toroso Investments, LLC and Tidal ETF Trust (Notice) |
| 812-14883 | IC-33287 | Oct. 31, 2018 | Natixis Funds Trust I, et al. (Order) |
| 812-14945 | IC-33285 | Oct. 30, 2018 | Cushing Asset Management, LP and Cushing ETF Trust (Notice) |
| 812-14923 | IC-33284 | Oct. 30, 2018 | Vident Advisory, LLC et al. (Order) |
| 812-14860 | IC-33279 | Oct. 23, 2018 | BC Partners Lending Corporation, et al. (Order) |
| 812-14899 | IC-33278 | Oct. 23, 2018 | Hedge Fund Guided Portfolio Solution, et al. (Order) |
| 812-14936 | IC-33277 | Oct. 22, 2018 | Beyond Advisors IC, et al. (Notice) |
| 812-14906 | IC-33276 | Oct. 22, 2018 | Distillate Capital Partners LLC, et al. (Order) |
| 812-14892 | IC-33275 | Oct. 17, 2018 | Ares Credit and Income Trust and Ares Capital Management III LLC (Order) |
| 812-14771 | IC-33274 | Oct. 17, 2018 | Procure ETF Trust I, et al. (Notice) |
| 812-14772 | IC-33273 | Oct. 17, 2018 | Procure Active ETF Trust, et al. (Notice) |
| 812-14931 | IC-33271 | Oct. 16, 2018 | Blackstone Real Estate Income Fund, et al. (Notice) |
| 812-14862 | IC-33270 | Oct. 12, 2018 | Audax Credit BDC Inc., et al. (Notice) |
| 812-14895 | IC-33269 | Oct. 12, 2018 | Variant Alternative Income Fund and Variant Investments, LLC (Order) |
| 812-14903 | IC-33268 | Oct. 11, 2018 | Destra International & Event-Driven Credit Fund and Destra Capital Advisors LLC (Notice) |
| 812-14875 | IC-33267 | Oct. 11, 2018 | Exact Sciences Corporation (Order) |
| 812-14919 | IC-33266 | Oct. 10, 2018 | Wealthn LLC and TigerShares Trust (Order) |
| 812-14883 | IC-33265 | Oct. 5, 2018 | Natixis Funds Trust I, et al. (Notice) |
| 812-14918 | IC-33264 | Oct. 5, 2018 | Cushing Asset Management, LP, et al. (Order) |
| 812-14923 | IC-33263 | Oct. 3, 2018 | Vident Advisory, LLC et al. (Notice) |
| 812-14767 | IC-33262 | Oct. 2, 2018 | PIMCO Flexible Credit Income Fund, et al. (Order) |
| 812-14928 | IC-33258 | Sep. 28, 2018 | Broadstone Real Estate Access Fund, et al. (Order) |
| 812-14860 | IC-33256 | Sep. 26, 2018 | BC Partners Lending Corporation, et al. (Notice) |
| 812-14899 | IC-33255 | Sep. 26, 2018 | Hedge Fund Guided Portfolio Solution, et al. (Notice) |
| 812-14906 | IC-33244 | Sep. 24, 2018 | Distillate Capital Partners LLC, et al. (Notice) |
| 812-14892 | IC-33243 | Sep. 21, 2018 | Ares Credit and Income Trust and Ares Capital Management III LLC (Notice) |
| 812-14895 | IC-33242 | Sep. 20, 2018 | Variant Alternative Income Fund and Variant Investments, LLC (Notice) |
| 812-14807 | IC-33239 | Sep. 19, 2018 | THL Credit, Inc., et al. (Order) |
| 812-14837 | IC-33238 | Sep. 19, 2018 | Innovator ETFs Trust, et al. (Order) |
| 812-14839 | IC-33237 | Sep. 18, 2018 | Tortoise Capital Advisors, L.L.C., et al. (Order) |
| 812-14875 | IC-33228 | Sep. 14, 2018 | Exact Sciences Corporation (Notice) |
| 812-14831 | IC-33224 | Sep. 11, 2018 | AXA Equitable Life Insurance Company, et al. (Order) |
| 812-14919 | IC-33223 | Sep. 11, 2018 | Wealthn LLC and TigerShares Trust (Notice) |
| 812-14928 | IC-33220 | Sep. 7, 2018 | Broadstone Real Estate Access Fund, et al. (Notice) |
| 812-14767 | IC-33219 | Sep. 6, 2018 | PIMCO Flexible Credit Income Fund, et al. (Notice) |
| 812-14838 | IC-33217 | Sep. 5, 2018 | Thrivent Financial for Lutherans, et al. (Order) |
| 812-14837 | IC-33214 | Aug. 24, 2018 | Innovator ETFs Trust, et al. (Notice) |
| 812-14807 | IC-33213 | Aug. 24, 2018 | THL Credit, Inc., et al. (Notice) |
| 812-14833 | IC-33207 | Aug. 21, 2018 | Advisors Asset Management, Inc. and ETF Series Solutions (Order) |
| 812-14918 | IC-33206 | Aug. 21, 2018 | Cushing Asset Management, LP et al. (Notice) |
| 812-14839 | IC-33205 | Aug. 21, 2018 | Tortoise Capital Advisors, L.L.C., et al. (Notice) |
| 812-14853 | IC-33204 | Aug. 20, 2018 | OFI Carlyle Private Credit Fund (formerly, OFI Carlyle Global Private Credit Fund) and OC Private Capital, LLC (Order) |
| 812-14831 | IC-33201 | Aug. 15, 2018 | AXA Equitable Life Insurance Company, et al. (Notice) |
| 812-14889 | IC-33200 | Aug. 14, 2018 | IndexIQ ETF Trust, et al. (Order) |
| 812-14838 | IC-33197 | Aug. 9, 2018 | Thrivent Financial for Lutherans, et al. (Notice) |
| 812-14884 | IC-33196 | Aug. 7, 2018 | DMS ETF Trust I, et al. (Order) |
| 812-14926 | IC-33195 | Aug. 7, 2018 | Charles Schwab & Co., Inc. and Charles Schwab Investment Management, Inc. (Order) |
| 812-14828 | IC-33193 | Aug. 6, 2018 | SL Advisors, LLC and ETF Series Solutions (Order) |
| 812-14829 | IC-33192 | Aug. 6, 2018 | TriLine Index Solutions, LLC and ETF Series Solutions (Order) |
| 812-14925 | IC-33191 | Aug. 6, 2018 | AB Private Credit Investors Corp., et al. (Order) |
| 812-14886 | IC-33189 | Aug. 1, 2018 | DMS ETF Trust I, et al. (Order) |
| 812-14921 | IC-33187 | Jul. 31, 2018 | Altaba Inc. (Order) |
| 812-14835 | IC-33186 | Jul. 31, 2018 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al., (Order) |
| 812-14896 | IC-33185 | Jul. 31, 2018 | The Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC (Order) |
| 812-14833 | IC-33169 | Jul. 24, 2018 | Advisors Asset Management, Inc. and ETF Series Solutions (Notice) |
| 812-14853 | IC-33168 | Jul. 24, 2018 | OFI Carlyle Private Credit Fund and OC Private Capital, LLC (Notice) |
| 812-14888 | IC-33167 | Jul. 24, 2018 | Motley Fool Asset Management, LLC and The RBB Fund, Inc. (Order) |
| 812-14764 | IC-33166 | Jul. 24, 2018 | Goldman Sachs Trust, et al. (Order) |
| 812-14879 | IC-33165 | Jul. 23, 2018 | Defiance ETFs, LLC, et al. (Order) |
| 812-14889 | IC-33163 | Jul. 19, 2018 | IndexIQ ETF Trust, et al. (Notice) |
| 812-14734 | IC-33161 | Jul. 17, 2018 | AXA Equitable Life Insurance Company, et al. (Order) |
| 812-14846 | IC-33160 | Jul. 17, 2018 | Impact Shares, et al. (Order) |
| 812-14829 | IC-33159 | Jul. 11, 2018 | TriLine Index Solutions, LLC and ETF Series Solutions (Notice) |
| 812-14828 | IC-33158 | Jul. 11, 2018 | SL Advisors, LLC and ETF Series Solutions (Notice) |
| 812-14926 | IC-33157 | Jul. 10, 2018 | Charles Schwab & Co., Inc. and Charles Schwab Investment Management, Inc. (Notice) |
| 812-14872 | IC-33155 | Jul. 10, 2018 | Sprott ETF Trust and Sprott Asset Management USA Inc. (Order) |
| 812-14884 | IC-33156 | Jul. 10, 2018 | DMS ETF Trust I, et al. (Notice) |
| 812-14880 | IC-33154 | Jul. 10, 2018 | Aptus Capital Advisors, LLC and ETF Series Solutions (Order) |
| 812-14925 | IC-33152 | Jul. 9, 2018 | AB Private Credit Investors Corp., et al. (Notice) |
| 812-14835 | IC-33149 | Jul. 6, 2018 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Notice) |
| 812-14886 | IC-33148 | Jul. 6, 2018 | DMS ETF Trust I, et al. (Notice) |
| 812-14896 | IC-33147 | Jul. 3, 2018 | Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC (Notice) |
| 812-14921 | IC-33146 | Jul. 3, 2018 | Altaba Inc. (Notice) |
| 812-14901 | IC-33145 | Jul. 3, 2018 | BlackRock Variable Series Funds, Inc., et al. (Order) |
| 812-14888 | IC-33141 | Jun. 28, 2018 | Motley Fool Asset Management, LLC and The RBB Fund, Inc. (Notice) |
| 812-14871 | IC-33138 | Jun. 28, 2018 | Sprott ETF Trust and Sprott Asset Management USA Inc. (Order) |
| 812-14764 | IC-33137 | Jun. 27, 2018 | Goldman Sachs Trust, et al. (Notice) |
| 812-14879 | IC-33136 | Jun. 27, 2018 | Defiance ETFs, LLC, et al. (Notice) |
| 812-14846 | IC-33134 | Jun. 21, 2018 | Impact Shares Trust I, et al. (Notice) |
| 812-14662 | IC-33127 | Jun. 19, 2018 | Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc. (Order) |
| 812-14734 | IC-33126 | Jun. 19, 2018 | AXA Equitable Life Insurance Company, et al. (Notice) |
| 812-14885 | IC-33125 | Jun. 19, 2018 | DMS ETF Trust I, et al. (Order) |
| 812-14832 | IC-33124 | Jun. 18, 2018 | Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC (Order) |
| 812-14872 | IC-33123 | Jun. 15, 2018 | Sprott ETF Trust and Sprott Asset Management USA Inc. (Notice) |
| 812-14815 | IC-33121 | Jun. 13, 2018 | PFM Multi-Manager Series Trust and PFM Asset Management LLC (Order) |
| 812-14880 | IC-33120 | Jun. 12, 2018 | Aptus Capital Advisors, LLC and ETF Series Solutions (Notice) |
| 812-14901 | IC-33119 | Jun. 6, 2018 | BlackRock Variable Series Funds, Inc., et al. (Notice) |
| 812-14869 | IC-33118 | Jun. 5, 2018 | U.S. Global Investors, Inc. et al. (Order) |
| 812-14819 | IC-33117 | Jun. 5, 2018 | Franklin Alternative Strategies Funds, et al. (Order) |
| 812-14871 | IC-33112 | Jun. 1, 2018 | Sprott ETF Trust and Sprott Asset Management USA Inc. (Notice) |
| 812-14765 | IC-33110 | May 30, 2018 | TCW Direct Lending LLC, et al. (Order) |
| 812-14662 | IC-33108 | May 24, 2018 | Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc. (Notice) |
| 812-14885 | IC-33103 | May 22, 2018 | DMS ETF Trust I, et al. (Notice) |
| 812-14521 | IC-33102 | May 21, 2018 | BMO Exchange Traded Funds, et al. (Order) |
| 812-14832 | IC-33101 | May 21, 2018 | Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC (Notice) |
| 812-14873 | IC-33100 | May 21, 2018 | Redwood Investment Manangement, LLC and Two Roads Shared Trust (Order) |
| 812-14857 | IC-33099 | May 21, 2018 | The Swiss Helvetia Fund, Inc., et al. (Order) |
| 812-14815 | IC-33098 | May 15, 2018 | PFM Multi-Manager Series Trust and PFM Asset Management LLC (Notice) |
| 812-14819 | IC-33095 | May 10, 2018 | Franklin Alternative Strategies Funds, et al. (Notice) |
| 812-14765 | IC-33094 | May 9, 2018 | TCW Direct Lending LLC, et al. (Notice) |
| 812-14869 | IC-33092 | May 9, 2018 | U.S. Global Investors, Inc. et al. (Notice) |
| 812-14601 | IC-33090 | May 1, 2018 | Benefit Street Partners BDC, Inc., et al. (Order) |
| 812-14851 | IC-33089 | May 1, 2018 | Angel Oak Strategic Credit Fund and Angel Oak Capital Advisors, LLC (Order) |
| 812-14873 | IC-33076A | Apr. 26, 2018 | Redwood Investment Management, LLC and Two Roads Shared Trust (Notice) |
| 812-14670 | IC-33080 | Apr. 24, 2018 | Aberdeen Asset Management Inc., et al. (Order) |
| 812-14521 | IC-33079 | Apr. 24, 2018 | BMO Exchange Traded Funds, et al. (Notice) |
| 812-14321 | IC-33078 | Apr. 24, 2018 | Aquila Funds Trust, et al. (Order) |
| 812-14857 | IC-33075 | Apr. 23, 2018 | The Swiss Helvetia Fund, Inc., et al. (Notice) |
| 812-14848 | IC-33070 | Apr. 10, 2018 | Triloma EIG Energy Income Fund, et al. (Order) |
| 812-14788 | IC-33071 | Apr. 10, 2018 | Destra Exchange-Traded Fund Trust, et al. (Order) |
| 812-14789 | IC-33069 | Apr. 10, 2018 | Destra Exchange-Traded Fund Trust, et al. (Order) |
| 812-14601 | IC-33068 | Apr. 6, 2018 | Benefit Street Partners BDC, Inc., et al. (Notice) |
| 812-14851 | IC-33066 | Apr. 5, 2018 | Angel Oak Strategic Credit Fund and Angel Oak Capital Advisors, LLC (Notice) |
| 812-14882 | IC-33064 | Apr. 3, 2018 | Corporate Capital Trust, Inc., et al. (Order) |
| 812-14849 | IC-33065 | Apr. 3, 2018 | Nationwide Fund Advisors and ETF Series Solutions (Order) |
| 812-14321 | IC-33061 | Mar. 28, 2018 | Aquila Funds Trust, et al. (Notice) |
| 812-14773 | IC-33060 | Mar. 28, 2018 | TriplePoint Venture Growth BDC Corp., et al. (Order) |
| 812-14760 | IC-33059 | Mar. 27, 2018 | Alcentra Capital Corporation, et al. (Order) |
| 812-14670 | IC-33058 | Mar. 27, 2018 | Aberdeen Asset Management Inc., et al. (Notice) |
| 812-14845 | IC-33057 | Mar. 26, 2018 | Little Harbor Advisors, LLC and ETF Series Solutions (Order) |
| 812-14766 | IC-33051 | Mar. 22, 2018 | Bain Capital Specialty Finance, Inc., et al. (Order) |
| 812-14789 | IC-33049 | Mar. 14, 2018 | Destra Exchange-Traded Fund Trust, et al. (Notice) |
| 812-14848 | IC-33047 | Mar. 14, 2018 | Triloma EIG Energy Income Fund, et al. (Notice) |
| 812-14788 | IC-33048 | Mar. 14, 2018 | Destra Exchange-Traded Fund Trust, et al. (Notice) |
| 812-14808 | IC-33044 | Mar. 13, 2018 | Morningstar Funds Trust, et al. (Order) |
| 812-14882 | IC-33043 | Mar. 8, 2018 | Corporate Capital Trust, Inc., et al. (Notice) |
| 812-14849 | IC-33042 | Mar. 8, 2018 | Nationwide Fund Advisors and ETF Series Solutions (Notice) |
| 812-14859 | IC-33040 | Mar. 7, 2018 | Gadsden ETF Trust and Gadsden, LLC (Order) |
| 812-14760 | IC-33038 | Feb. 28, 2018 | Alcentra Capital Corporation, et al. (Notice) |
| 812-14773 | IC-33037 | Feb. 28, 2018 | TriplePoint Venture Growth BDC Corp., et al. (Notice) |
| 812-14842 | IC-33036 | Feb. 27, 2018 | Columbia Funds Series Trust, et al. (Order) |
| 812-14845 | IC-33035 | Feb. 26, 2018 | Little Harbor Advisors, LLC and ETF Series Solutions (Notice) |
| 812-14874 | IC-33033 | Feb. 23, 2018 | BNP Paribas USA Inc., et al. (Order) |
| 812-14766 | IC-33031 | Feb. 23, 2018 | Bain Capital Specialty Finance, Inc., et al. (Notice) |
| 812-14858 | IC-33009 | Feb. 21, 2018 | EquBot LLC and ETF Series Solutions (Order) |
| 812-14810 | IC-33008 | Feb. 21, 2018 | Northern Lights Fund Trust, Pacific Financial Group, LLC, and Gemini Fund Services (Order) |
| 812-14847 | IC-33007 | Feb. 21, 2018 | Salt Financial, LLC, et al. (Order) |
| 812-14762 | IC-33006 | Feb. 20, 2018 | FS Series Trust and FS Fund Advisor, LLC (Order) |
| 812-14808 | IC-33005A | Feb. 15, 2018 | Morningstar Funds Trust, et al. (Notice) |
| 812-14808 | IC-33005 | Feb. 14, 2018 | Morningstar Funds Trust, et al. (Notice) |
| 812-14714 | IC-33003 | Feb. 7, 2018 | The Guardian Insurance & Annuity Company, Inc., et al. (Order) |
| 812-14805 | IC-33002 | Feb. 6, 2018 | Validea Capital Management, ETF Series Solutions, and Quasar Distributors LLC (Order) |
| 812-14784 | IC-33000 | Feb. 5, 2018 | Harbor Funds and Harbor Capital Advisors, Inc. (Order) |
| 812-14859 | IC-32999 | Jan. 30, 2018 | Gadsden ETF Trust and Gadsden, LLC (Notice) |
| 812-14842 | IC-32998 | Jan. 30, 2018 | Columbia Funds Series Trust, et al. (Notice) |
| 812-14806 | IC-32997 | Jan. 30, 2018 | Northern Lights Fund Trust and AlphaCore Capital, LLC (Order) |
| 812-14821 | IC-32996 | Jan. 30, 2018 | Guggenheim Credit Income Fund, et al. (Order) |
| 812-14874 | IC-32995 | Jan. 26, 2018 | BNP Paribas USA, Inc., et al. (Notice and Temporary Order) |
| 812-14858 | IC-32993 | Jan. 26, 2018 | EquBot LLC and ETF Series Solutions (Notice) |
| 812-14762 | IC-32992 | Jan. 25, 2018 | FS Series Trust and FS Fund Advisor, LLC (Notice) |
| 812-14800 | IC-32991 | Jan. 25, 2018 | CBOE Vest Financial, LLC, et al. (Order) |
| 812-14847 | IC-32974 | Jan. 23, 2018 | Salt Financial, LLC, et al. (Notice) |
| 812-14810 | IC-32973 | Jan. 23, 2018 | Northern Lights Fund Trust and Pacific Financial Group, LLC (Notice) |
| 812-14798 | IC-32969 | Jan. 17, 2018 | TCG BDC, Inc., et al. (Order) |
| 812-14742 | IC-32970 | Jan. 17, 2018 | FQF Trust, et al. (Order) |
| 812-14564 | IC-32971 | Jan. 17, 2018 | The Hartford Mutual Funds, et al. (Order) |
| 812-14582 | IC-32968 | Jan. 16, 2018 | BlackRock Capital Investment Corporation, et al. (Order) |
| 812-14714 | IC-32967 | Jan. 10, 2018 | The Guardian Insurance & Annuity Company, Inc., et al. (Notice) |
| 812-14779 | IC-32966 | Jan. 9, 2018 | Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC (Order) |
| 812-14785 | IC-32964 | Jan. 9, 2018 | Ausdal Financial Partners, Inc. and Ausdal Unit Investment Trust (Order) |
| 812-14784 | IC-32965 | Jan. 9, 2018 | Harbor Funds and Harbor Capital Advisors, Inc. (Notice) |
| 812-14804 | IC-32962 | Jan. 3, 2018 | Motley Fool Asset Management LLC, et al. (Order) |
| 812-14820 | IC-32959 | Jan. 3, 2018 | Calvert Research and Management and Calvert ETF Trust (Order) |
| 812-14821 | IC-32960 | Jan. 3, 2018 | Guggenheim Credit Income Fund, et al. (Notice) |
| 812-14806 | IC-32961 | Jan. 3, 2018 | Northern Lights Fund Trust and AlphaCore Capital, LLC (Notice) |
| 812-14794 | IC-32955A | Jan. 2, 2018 | American Century ETF Trust and American Century Investment Management, Inc. (Order) |
2017 | |||
| File No. | Release No. | Date | Investment Company |
| 812-14794 | IC-32955 | Dec. 27, 2017 | American Century ETF Trust and American Century Investment Management, Inc. (Order) |
| 812-14749 | IC-32972 | Jan. 23, 2018 | Oppenheimer Capital Appreciation Fund, et al. (Order) |
| 812-14749 | IC-32956 | Dec. 27, 2017 | Oppenheimer Capital Appreciation Fund et al. (Notice) |
| 812-14834 | IC-32954 | Dec. 27, 2017 | Regents Park Funds, LLC and Two Roads Shared Trust (Order) |
| 812-14786 | IC-32953 | Dec. 26, 2017 | Ausdal Unit Investment Trust and Ausdal Financial Partners, Inc. (Order) |
| 812-14805 | IC-32952 | Dec. 26, 2017 | Validea Capital Management, LLC, et al. (Notice) |
| 812-14798 | IC-32945 | Dec. 20, 2017 | TCG BDC, Inc., et al. (Notice) |
| 812-14564 | IC-32944 | Dec. 20, 2017 | The Hartford Mutual Funds, Inc., et al. (Notice) |
| 812-14582 | IC-32943 | Dec. 19, 2017 | BlackRock Capital Investment Corporation, et al. (Notice) |
| 812-14742 | IC-32942 | Dec. 19, 2017 | FQF Trust, et al. (Notice) |
| 812-14799 | IC-32941 | Dec. 18, 2017 | New Mountain Finance Corporation, et al. (Order) |
| 812-14779 | IC-32940 | Dec. 15, 2017 | Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC (Notice) |
| 812-14785 | IC-32939 | Dec. 14, 2017 | Ausdal Financial Partners, Inc. and Ausdal Unit Investment Trust (Notice) |
| 812-14820 | IC-32935 | Dec. 6, 2017 | Calvert Research and Management and Calvert ETF Trust (Notice) |
| 812-14775 | IC-32934 | Dec. 5, 2017 | Meeder Funds Trust, et al. (Order) |
| 812-14800 | IC-32933 | Dec. 4, 2017 | CBOE Vest Financial, LLC, et al. (Notice) |
| 812-14801 | IC-32932 | Dec. 4, 2017 | CBOE Vest Financial, LLC, et al. (Order) |
| 812-14834 | IC-32931 | Dec. 1, 2017 | Regents Park Funds, LLC and Two Roads Shared Trust (Notice) |
| 812-14776 | IC-32930 | Nov. 30, 2017 | Princeton Fund Advisors, LLC, et al. (Order) |
| 812-14794 | IC-32928 | Nov. 29, 2017 | American Century ETF Trust and American Century Investment Management, Inc. (Notice) |
| 812-14809 | IC-32925 | Nov. 28, 2017 | Brandes Investment Trust, et al. (Order) |
| 812-14830 | IC-32924 | Nov. 28, 2017 | Reinhart Partners, Inc., et al. (Order) |
| 812-14738 | IC-32923 | Nov. 27, 2017 | Horizon Technology Finance Corporation, et al. (Order) |
| 812-14786 | IC-32922 | Nov. 27, 2017 | Ausdal Unit Investment Trust and Ausdal Financial Partners, Inc. (Notice) |
| 812-14683 | IC-32904 | Nov. 21, 2017 | The Relative Value Fund et al. (Order) |
| 812-14756 | IC-32903 | Nov. 20, 2017 | PIMCO Funds, et al. (Order) |
| 812-14796 | IC-32902 | Nov. 20, 2017 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Order) |
| 812-14795 | IC-32901 | Nov. 20, 2017 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Order) |
| 812-14799 | IC-32900 | Nov. 20, 2017 | New Mountain Finance Corporation, et al. (Notice) |
| 812-14804 | IC-32899 | Nov. 17, 2017 | Motley Fool Asset Management, LLC, et al. (Notice) |
| 812-14775 | IC-32898 | Nov. 8, 2017 | Meeder Funds Trust, et al. (Notice) |
| 812-14725 | IC-32897 | Nov. 7, 2017 | Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC (Order) |
| 812-14801 | IC-32896 | Nov. 7, 2017 | CBOE Vest Financial, LLC, et al. (Notice) |
| 812-14776 | IC-32894 | Nov. 2, 2017 | Princeton Fund Advisors, LLC. et al. (Notice) |
| 812-14809 | IC-32893 | Nov. 2, 2017 | Brandes Investment Trust, et al. (Notice) |
| 812-14830 | IC-32892 | Nov. 1, 2017 | Reinhart Partners, Inc., et al. (Notice) |
| 812-14248 | IC-32891 | Oct. 31, 2017 | OppenheimerFunds, Inc., et al. (Order) |
| 812-14817 | IC-32890 | Oct. 31, 2017 | Whitford Asset Management LLC, et al. (Order) |
| 812-14340 | IC-32889 | Oct. 31, 2017 | USCF Fund Advisors, LLC, et al. (Order) |
| 812-14738 | IC-32888 | Oct. 30, 2017 | Horizon Technology Finance Corporation, et al. (Notice) |
| 812-14803 | IC-32887 | Oct. 30, 2017 | EntrepreneurShares Series Trust, et al. (Order) |
| 812-14683 | IC-32884 | Oct. 26, 2017 | The Relative Value Fund et al. (Notice) |
| 812-14726 | IC-32872 | Oct. 25, 2017 | Olden Lane Securities, LLC and Olden Lane Trust (Order) |
| 812-14793 | IC-32871 | Oct. 25, 2017 | American Century ETF Trust and American Century Investment Management, Inc. (Order) |
| 812-14770 | IC-32870 | Oct. 24, 2017 | PREDEX and PREDEX Capital Management, LLC (Order) |
| 812-14681 | IC-32869 | Oct. 24, 2017 | Wells Fargo Exchange-Traded Funds Trust, et al. (Order) |
| 812-14818 | IC-32868 | Oct. 24, 2017 | The National Securities Clearing Corporation (Order) |
| 812-14756 | IC-32867 | Oct. 23, 2017 | PIMCO Funds, et al. (Notice) |
| 812-14796 | IC-32866 | Oct. 23, 2017 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Notice) |
| 812-14795 | IC-32865 | Oct. 23, 2017 | Blackstone / GSO Floating Rate Enhanced Income Fund, et al. (Notice) |
| 812-14689 | IC-32864 | Oct. 19, 2017 | Barings Corporate Investors, et al., (Order) |
| 812-14741 | IC-32863 | Oct. 19, 2017 | AQR Funds and AQR Capital Management, LLC (Order) |
| 812-14758 | IC-32862 | Oct. 18, 2017 | Oaktree Strategic Income, LLC, et al. (Order) |
| 812-14777-01 | IC-32861 | Oct. 16, 2017 | Eagle Series Trust, et al. (Order) |
| 812-14725 | IC-32860 | Oct. 12, 2017 | Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC (Notice) |
| 812-14696 | IC-32859 | Oct. 11, 2017 | Active Weighting Funds ETF Trust and Active Weighting Advisors LLC (Order) |
| 812-14782 | IC-32856 | Oct. 6, 2017 | Innovator ETFs Trust, et al. (Order) |
| 812-14780 | IC-32855 | Oct. 6, 2017 | Innovator ETFs Trust and Innovator Capital Management, LLC (Order) |
| 812-14781 | IC-32854 | Oct. 6, 2017 | Innovator Capital Management, LLC, et al. (Order) |
| 812-14817 | IC-32853 | Oct. 4, 2017 | Whitford Asset Management, LLC, et al. (Notice) |
| 812-14691 | IC-32852 | Oct. 4, 2017 | The Vanguard Group, Inc., et al. (Order) |
| 812-14778 | IC-32850 | Oct. 4, 2017 | Medley Capital Corporation, et al. (Order) |
| 812-14340 | IC-32851 | Oct. 4, 2017 | USCF Fund Advisors, LLC, et al. (Notice) |
| 812-14248 | IC-32849 | Oct. 4, 2017 | OppenheimerFunds, Inc., et al. (Notice) |
| 812-14697 | IC-32848 | Oct. 3, 2017 | Active Weighting Funds ETF Trust and Active Weighting Advisors LLC (Order) |
| 812-14803 | IC-32847 | Oct. 3, 2017 | EntrepreneurShares Series Trust, et al. (Notice) |
| 812-14726 | IC-32845 | Sep. 29, 2017 | Olden Lane Securities LLC and Olden Lane Trust (Notice) |
| 812-14818 | IC-32839 | Sep. 28, 2017 | National Securities Clearing Corporation (Notice) |
| 812-14793 | IC-32838 | Sep. 28, 2017 | American Century ETF Trust and American Century Investment Management, Inc. (Notice) |
| 812-14770 | IC-32837 | Sep. 27, 2017 | PREDEX and PREDEX Capital Management, LLC (Notice) |
| 812-14681 | IC-32836 | Sep. 27, 2017 | Wells Fargo Exchange-Traded Funds Trust, et al. (Notice) |
| 812-14797 | IC-32835 | Sep. 26, 2017 | Northern Lights Fund Trust IV and Measured Risk Portfolios, Inc. (Order) |
| 812-14754 | IC-32833 | Sep. 26, 2017 | American Century International Bond Funds, et al. (Order) |
| 813-00387 | IC-32834 | Sep. 26, 2017 | Hudson Advisors L.P., et al. (Order) |
| 812-14802 | IC-32832 | Sep. 26, 2017 | SL Advisors, LLC, et al. (Order) |
| 812-14758 | IC-32831 | Sep. 22, 2017 | Oaktree Strategic Income, LLC, et al. (Notice) |
| 812-14689 | IC-32822 | Sep. 20, 2017 | Barings Corporate Investors, et al. (Notice) |
| 812-14777-01 | IC-32802A | Sep. 18, 2017 | Eagle Series Trust, et al. (Notice) |
| 812-14741 | IC-32821 | Sep. 18, 2017 | AQR Funds, et al. (Notice) |
| 812-14696 | IC-32820 | Sep. 18, 2017 | Active Weighting Funds ETF Trust and Active Weighting Advisors LLC (Notice) |
| 812-14748 | IC-32817 | Sep. 12, 2017 | Advanced Series Trust, et al. (Order) |
| 812-14723 | IC-32814 | Sep. 12, 2017 | TIAA-CREF Funds, et al. (Order) |
| 812-14780 | IC-32813 | Sep. 11, 2017 | Innovator ETFS Trust and Innovator Capital Management, LLC (Notice) |
| 812-14781 | IC-32812 | Sep. 11, 2017 | Innovator ETFs Trust, et al. (Notice) |
| 812-14782 | IC-32811 | Sep. 11, 2017 | Innovator ETFs Trust, et al. (Notice) |
| 812-14691 | IC-32810 | Sep. 8, 2017 | The Vanguard Group, Inc., et al. (Notice) |
| 812-14778 | IC-32809 | Sep. 8, 2017 | Medley Capital Corporation, et al. (Notice) |
| 812-14697 | IC-32808 | Sep. 6, 2017 | Active Weighting Funds ETF Trust and Active Weighting Advisors LLC (Notice) |
| 812-14792 | IC-32806 | Aug. 31, 2017 | Sage Advisory Services LTD Co. and Northern Lights Fund Trust IV (Order) |
| 812-14754 | IC-32805 | Aug. 31, 2017 | American Century International Bond Funds, et al. (Notice) |
| 813-00387 | IC-32804 | Aug. 31, 2017 | Hudson Advisors L.P., et al. (Notice) |
| 812-14797 | IC-32803 | Aug. 31, 2017 | Northern Lights Fund Trust IV and Measured Risk Portfolios, Inc. (Notice) |
| 812-14777 | IC-32802 | Aug. 31, 2017 | Eagle Series Trust, et al. (Notice) |
| 812-14802 | IC-32801 | Aug. 30, 2017 | SL Advisors, LLC, et al. (Notice) |
| 812-14761 | IC-32800 | Aug. 29, 2017 | Northern Lights Fund Trust and Toews Corporation (Order) |
| 812-14720 | IC-32797 | Aug. 28, 2017 | MVC Capital, Inc., et al. (Order) |
| 812-14759 | IC-32799 | Aug. 28, 2017 | Sharespost 100 Fund and SP Investments Management, LLC (Order) |
| 812-14733 | IC-32798 | Aug. 28, 2017 | USQ Core Real Estate Fund and Union Square Capital Partners, LLC (Order) |
| 812-14746 | IC-32793 | Aug. 23, 2017 | Change Finance, PBC, et al. (Order) |
| 812-14740 | IC-32787 | Aug. 22, 2017 | Capital Southwest Corporation (Order) |
| 812-14607 | IC-32786 | Aug. 21, 2017 | Barings LLC, et al. (Order) |
| 812-14763 | IC-32781 | Aug. 15, 2017 | Point Bridge Capital, LLC and ETF Series Solutions (Order) |
| 812-14753 | IC-32780 | Aug. 15, 2017 | Morningstar Funds Trust and Morningstar Investment Management LLC (Order) |
| 812-14723 | IC-32779 | Aug. 15, 2017 | TIAA-CREF Funds, et al. (Notice) |
| 812-14748 | IC-32778 | Aug. 15, 2017 | Advanced Series Trust, et al. (Notice) |
| 812-14787 | IC-32777 | Aug. 8, 2017 | Northern Lights Fund Trust and Toews Corporation (Order) |
| 812-14792 | IC-32774 | Aug. 4, 2017 | Sage Advisory Services LTD Co. and Northern Lights Fund Trust IV (Notice) |
| 812-14751 | IC-32771 | Aug. 1, 2017 | Nationwide Fund Advisors, et al. (Order) |
| 812-14761 | IC-32770 | Aug. 1, 2017 | Northern Lights Fund Trust and Toews Corporation (Notice) |
| 812-14720 | IC-32769 | Aug. 1, 2017 | MVC Capital, Inc., et al. (Notice) |
| 812-14759 | IC-32768 | Jul. 31, 2017 | Sharespost 100 Fund and SP Investments Management, LLC (Notice) |
| 812-14733 | IC-32767 | Jul. 31, 2017 | USQ Core Real Estate Fund and Union Square Capital Partners, LLC (Notice) |
| 812-14716 | IC-32766 | Jul. 31, 2017 | Vertical Capital Income Fund and Oakline Advisors, LLC, (Order) |
| 812-14746 | IC-32763 | Jul. 27, 2017 | Change Finance, PBC, et al. (Notice) |
| 812-14649 | IC-32743 | Jul. 26, 2017 | Transamerica ETF Trust, et al. (Order) |
| 812-14740 | IC-32742 | Jul. 25, 2017 | Capital Southwest Corporation (Notice) |
| 812-14783 | IC-32740 | Jul. 25, 2017 | Nationwide Fund Advisors, et al. (Order) |
| 813-00386 | IC-32739 | Jul. 25, 2017 | The Boston Consulting Group, Inc. and Green Falcon Investors L.P. (Order) |
| 812-14763 | IC-32738 | Jul. 21, 2017 | Point Bridge Capital, LLC, et al. (Notice) |
| 812-14753 | IC-32736 | Jul. 18, 2017 | Morningstar Funds Trust and Morningstar Investment Management LLC (Notice) |
| 812-14682 | IC-32735 | Jul. 18, 2017 | 1889 BDC, Inc., et al. (Order) |
| 812-14607 | IC-32734 | Jul. 18, 2017 | Barings LLC, et al. (Notice) |
| 812-14787 | IC-32733 | Jul. 14, 2017 | Northern Lights Fund Trust and Toews Corporation (Notice) |
| 812-14728 | IC-32732 | Jul. 12, 2017 | Westcore Trust and Denver Investment Advisors LLC (Order) |
| 812-14711 | IC-32731 | Jul. 11, 2017 | CION Ares Diversified Credit Fund and CION Ares Management, LLC (Order) |
| 812-14435 | IC-32730 | Jul. 11, 2017 | Triloma EIG Energy Income Fund, et al. (Order) |
| 812-14686 | IC-32729 | Jul. 10, 2017 | Advent/Claymore Enhanced Growth & Income Fund (Order) |
| 812-14751 | IC-32727 | Jul. 6, 2017 | Nationwide Fund Advisors, et al. (Notice) |
| 812-14193-01 | IC-32726 | Jul. 6, 2017 | Partners Group Private Equity (Master Fund), LLC, et al. (Order) |
| 812-14716 | IC-32723 | Jul. 3, 2017 | Vertical Capital Income Fund and Oakline Advisors, LLC (Notice) |
| 812-14611 | IC-32722 | Jul. 3, 2017 | Franklin Fund Allocator Series, et al. (Order) |
| 812-14649 | IC-32718 | Jun. 30, 2017 | Transamerica ETF Trust, et al. (Notice) |
| 813-00386 | IC-32713 | Jun. 27, 2017 | The Boston Consulting Group, Inc. and Green Falcon Investors I, L.P. (Notice) |
| 812-14783 | IC-32712 | Jun. 27, 2017 | Nationwide Fund Advisors, et al. (Notice) |
| 812-14703 | IC-32711 | Jun. 26, 2017 | Dreyfus ETF Trust, The Dreyfus Corporation and Mellon Capital Management Corporation, (Order) |
| 812-14682 | IC-32687 | Jun. 21, 2017 | 1889 BDC, Inc., et al. (Notice) |
| 812-14747 | IC-32686 | Jun. 20, 2017 | Northern Lights Fund Trust IV and Main Management ETF Advisors, LLC (Order) |
| 812-14715 | IC-32685 | Jun. 20, 2017 | PIMCO Equity Series, Pacific Investment Management Company LLC, and PIMCO Investments LLC (Order) |
| 812-14717 | IC-32684 | Jun. 20, 2017 | Series Portfolios Trust and Highmore Group Advisors, LLC (Order) |
| 812-14408 | IC-32683 | Jun. 19, 2017 | Corporate Capital Trust, Inc., et al., (Order) |
| 812-14728 | IC-32682 | Jun. 16, 2017 | Westcore Trust and Denver Investment Advisors LLC (Notice) |
| 812-14707 | IC-32680 | Jun. 14, 2017 | TICC Capital Corp., et al. (Order) |
| 812-14435 | IC-32679 | Jun. 13, 2017 | Triloma EIG Energy Income Fund, et al. (Notice) |
| 812-14711 | IC-32678 | Jun. 13, 2017 | CION Ares Diversified Credit Fund, et al. (Notice) |
| 812-14735 | IC-32677 | Jun. 13, 2017 | Solar Capital Ltd., et al. (Order) |
| 812-14213 | IC-32676 | Jun. 13, 2017 | The Mexico Equity & Income Fund, Inc. and Pichardo Asset Management, S.A. de C.V. (Order) |
| 812-14698 | IC-32673 | Jun. 7, 2017 | RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC (Order) |
| 812-14467 | IC-32672 | Jun. 6, 2017 | Aspiriant Trust, et al. (Order) |
| 812-14455 | IC-32671 | Jun. 6, 2017 | Allianz Funds, et al. (Order) |
| 812-14713 | IC-32670 | Jun. 6, 2017 | Sierra Total Return Fund, et al. (Order) |
| 812-14611 | IC-32669 | Jun. 5, 2017 | Franklin Fund Allocator Series, et al. (Notice) |
| 812-14699 | IC-32668 | Jun. 5, 2017 | New Mountain Finance Corporation, et al. (Order) |
| 812-14193-01 | IC-32667 | Jun. 1, 2017 | Partners Group (USA) Inc., et al. (Notice) |
| 812-14703 | IC-32666 | May 30, 2017 | Dreyfus ETF Trust (Notice) |
| 812-14739 | IC-32665 | May 30, 2017 | ClearShares, LLC et al. (Order) |
| 812-14747 | IC-32662 | May 25, 2017 | Northern Lights Fund Trust IV and Main Management ETF Advisors, LLC (Notice) |
| 812-14715 | IC-32661 | May 25, 2017 | PIMCO Equity Series, et al. (Notice) |
| 812-14717 | IC-32660 | May 24, 2017 | Series Portfolios Trust and Highmore Group Advisors, LLC (Notice) |
| 812-14646 | IC-32644 | May 23, 2017 | Commonwealth Annuity and Life Insurance Company et al. (Order) |
| 812-14408 | IC-32642 | May 22, 2017 | Corporate Capital Trust, Inc., et al. (Notice) |
| 812-14707 | IC-32641 | May 19, 2017 | TICC Capital Corp., et al. (Notice) |
| 812-14213 | IC-32640 | May 18, 2017 | The Mexico Equity & Income Fund, Inc. and Pichardo Asset Management, S.A. de C.V. (Notice) |
| 812-14750 | IC-32639 | May 17, 2017 | TriLine Index Solutions, et al. (Order) |
| 812-14735 | IC-32638 | May 17, 2017 | Solar Capital Ltd., et al. (Notice) |
| 812-14695 | IC-32637 | May 16, 2017 | Formula Folio Investments, LLC et al. (Order) |
| 812-14664 | IC-32636 | May 16, 2017 | Homestead Funds, Inc. and RE Advisers Corporation (Order) |
| 812-14698 | IC-32635 | May 12, 2017 | RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC (Notice) |
| 812-14467 | IC-32634 | May 11, 2017 | Aspiriant Trust, et al. (Notice) |
| 812-14713 | IC-32632 | May 10, 2017 | Sierra Total Return Fund, et al. (Notice) |
| 812-14455 | IC-32631 | May 10, 2017 | Allianz Funds, et al. (Notice) |
| 812-14699 | IC-32630 | May 8, 2017 | New Mountain Finance Corporation, et al. (Notice) |
| 812-14548-05 | IC-32628 | May 8, 2017 | Excelsior Private Markets Fund II (Master), et al. (Order) |
| 812-14584 | IC-32622 | May 2, 2017 | Precidian ETFs Trust, et al. (Order) |
| 812-14739 | IC-32620 | May 1, 2017 | ClearShares, LLC et al. (Notice) |
| 812-14436-01 | IC-32619 | May 1, 2017 | Olden Lane Securities LLC and Olden Lane Trust (Order) |
| 812-14646 | IC-32615 | Apr. 27, 2017 | Commonwealth Annuity and Life Insurance Company, et al. (Notice) |
| 812-14694 | IC-32614 | Apr. 26, 2017 | Winton Diversified Opportunities Fund and Winton Capital US LLC (Order) |
| 812-14636 | IC-32611 | Apr. 25, 2017 | Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC (Order) |
| 812-14750 | IC-32608 | Apr. 21, 2017 | TriLine Index Solutions, LLC, et al. (Notice) |
| 812-14695 | IC-32607 | Apr. 20, 2017 | Formula Folio Investments, LLC and Northern Lights Fund Trust IV (Notice) |
| 812-14487 | IC-32606 | Apr. 19, 2017 | Transamerica Financial Life Insurance Company, et al. (Order) |
| 812-14488 | IC-32605 | Apr. 19, 2017 | Transamerica Life Insurance Company, et al. (Order) |
| 812-14489 | IC-32604 | Apr. 19, 2017 | Transamerica Advisors Life Insurance Company, et al. (Order) |
| 812-14490 | IC-32603 | Apr. 19, 2017 | Transamerica Life Insurance Company, et al. (Order) |
| 812-14664 | IC-32602 | Apr. 19, 2017 | Homestead Funds, Inc. and RE Advisers Corporation (Notice) |
| 812-14397 | IC-32601 | Apr. 18, 2017 | Spinnaker ETF Trust, et al. (Order) |
| 812-14677 | IC-32600 | Apr. 18, 2017 | AB Bond Fund, Inc., et al. (Order) |
| 812-14710 | IC-32599 | Apr. 17, 2017 | Investment Managers Series Trust II and Vivaldi Asset Management, LLC (Order) |
| 812-14255 | IC-32598 | Apr. 11, 2017 | Allianz Funds Multi-Strategy Trust and Allianz Global Investors U.S. LLC (Order) |
| 812-14548-05 | IC-32597 | Apr. 10, 2017 | Excelsior Private Markets Fund II (Master), LLC, et al. (Notice) |
| 812-14584 | IC-32596 | Apr. 5, 2017 | Precidian ETFs Trust, et al. (Notice) |
| 812-14709 | IC-32595 | Apr. 5, 2017 | Parker Global Strategies, LLC, et al. (Order) |
| 812-14727 | IC-32594 | Apr. 5, 2017 | UBS ETMF Trust, et al. (Order) |
| 812-14608 | IC-32593 | Apr. 5, 2017 | Advanced Series Trust, et al. (Order) |
| 812-14624 | IC-32590 | Apr. 4, 2017 | Jeffrey LLC (Order) |
| 812-14436-01 | IC-32589 | Apr. 3, 2017 | Olden Lane Securities LLC and Olden Lane Trust (Notice) |
| 812-14694 | IC-32585 | Mar. 30, 2017 | Winton Diversified Opportunities Fund and Winton Capital US LLC (Notice) |
| 812-14636 | IC-32584 | Mar. 30, 2017 | Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC (Notice) |
| 812-14679 | IC-32581 | Mar. 29, 2017 | Medley Capital Corporation, et al. (Order) |
| 812-14612 | IC-32580 | Mar. 28, 2017 | Touchstone Investment Trust, et al. (Order) |
| 812-14706 | IC-32579 | Mar. 28, 2017 | Tortoise Index Solutions, LLC, et al. (Order) |
| 812-14563-11 | IC-32578 | Mar. 28, 2017 | Neuberger Berman Investment Advisers LLC, et al. (Order) |
| 812-14719 | IC-32577 | Mar. 28, 2017 | Victory Portfolios, et al. (Order) |
| 812-14692 | IC-32576 | Mar. 27, 2017 | USAA ETF Trust, et al. (Order) |
| 812-14490 | IC-32574 | Mar. 24, 2017 | Transamerica Life Insurance Company, et al. (Notice) |
| 812-14489 | IC-32573 | Mar. 24, 2017 | Transamerica Advisors Life Insurance Company, et al. (Notice) |
| 812-14488 | IC-32572 | Mar. 24, 2017 | Transamerica Life Insurance Company, et al. (Notice) |
| 812-14487 | IC-32571 | Mar. 24, 2017 | Transamerica Advisors Life Insurance Company, et al. (Notice) |
| 812-14447 | IC-32570 | Mar. 23, 2017 | Hartford Life Insurance Company, et al. (Order) |
| 812-14446 | IC-32569 | Mar. 23, 2017 | Hartford Life Insurance Company, et al. (Order) |
| 812-14397 | IC-32568 | Mar. 22, 2017 | Spinnaker ETF Trust, et al. (Notice) |
| 812-14677 | IC-32540 | Mar. 22, 2017 | AB Bond Fund Inc., et al. (Notice) |
| 812-14656 | IC-32539 | Mar. 21, 2017 | Morgan Stanley ETF Trust, et al. (Order) |
| 812-14386 | IC-32538 | Mar. 21, 2017 | The RBB Fund, Inc. and Altair Advisers LLC (Order) |
| 812-14686 | IC-32537 | Mar. 20, 2017 | Advent/Claymore Enhanced Growth & Income Fund (Notice) See also: requests and additional information |
| 812-14710 | IC-32536 | Mar. 20, 2017 | Investment Managers Series Trust II and Vivaldi Asset Management, LLC (Notice) |
| 812-14718 | IC-32535 | Mar. 16, 2017 | Brinker Capital Destinations Trust and Brinker Capital, Inc. (Order) |
| 812-14724 | IC-32534 | Mar. 16, 2017 | Brinker Capital Destinations Trust and Brinker Capital, Inc. (Order) |
| 812-14255 | IC-32533 | Mar. 15, 2017 | Allianz Funds Multi-Strategy Trust and Allianz Global Investors U.S. LLC (Notice) |
| 812-14590 | IC-32530 | Mar. 13, 2017 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order) |
| 812-14743 | IC-32532 | Mar. 13, 2017 | General Electric Company and GE Capital International Holdings Limited (Order) |
| 812-14727 | IC-32529 | Mar. 10, 2017 | UBS ETMF Trust, et al. (Notice) |
| 812-14709 | IC-32528 | Mar. 10, 2017 | Parker Global Strategies, LLC (Notice) |
| 812-14624 | IC-32526 | Mar. 7, 2017 | Jeffrey LLC (Notice) |
| 812-14693 | IC-32525 | Mar. 7, 2017 | USAA Asset Management Company, et al. (Order) |
| 812-14708 | IC-32524 | Mar. 7, 2017 | NorthStar/Townsend Institutional Real Estate Fund Inc., et al. (Order) |
| 812-14608 | IC-32523 | Mar. 7, 2017 | Advanced Series Trust, et al. (Notice) |
| 812-14701 | IC-32522 | Mar. 7, 2017 | StrongVest ETF Trust, et al. (Order) |
| 812-14679 | IC-32520 | Mar. 3, 2017 | Medley Capital Corporation, et al. (Notice) |
| 812-14719 | IC-32519 | Mar. 2, 2017 | Victory Portfolios, et al. (Notice) |
| 812-14612 | IC-32515 | Feb. 28, 2017 | Touchstone Investment Trust, et al. (Notice) |
| 812-14702 | IC-32514 | Feb. 28, 2017 | Goldman, Sachs & Co. (Order) |
| 812-14563-11 | IC-32513 | Feb. 27, 2017 | Neuberger Berman Investment Advisers LLC, et al. (Notice) |
| 812-14706 | IC-32512 | Feb. 27, 2017 | Tortoise Index Solutions, LLC, et al. (Notice) |
| 812-14692 | IC-32511 | Feb. 27, 2017 | USAA ETF Trust, et al. (Notice) |
| 812-14629 | IC-32510 | Feb. 27, 2017 | Destra Capital Advisors LLC, et al. (Order) |
| 812-13764 | IC-32509 | Feb. 27, 2017 | Golub Capital BDC, Inc., et al. (Order) |
| 812-14700 | IC-32507 | Feb. 22, 2017 | StrongVest ETF Trust, et al. (Order) |
| 812-14149 | IC-32506 | Feb. 22, 2017 | Allstate Assurance Company, et al. (Order) |
| 812-14389 | IC-32504 | Feb. 22, 2017 | Aspiration Funds and Aspiration Fund Adviser, LLC (Order) |
| 812-14729 | IC-32485 | Feb. 22, 2017 | Causeway ETMF Trust, Causeway Capital Management LLC and SEI Investments Distribution Co. (Order) |
| 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 | Dec. 30, 2013 | American Beacon Funds, et al. (Order) |
| 812-14157 | IC-30846 | Dec. 24, 2013 | Arrow Investment Advisors, LLC and Arrow Investments Trust (Order) |
| 812-14153 | IC-30844 | Dec. 23, 2013 | IndexIQ ETF Trust, et al. (Notice) |
| 812-14053 | IC-30843 | Dec. 23, 2013 | IndexIQ ETF Trust, et al. (Notice) |
| 812-14232 | IC-30842 | Dec. 23, 2013 | RBS Securities Inc. and Citizens Investment Advisors (Order) |
| 812-14198 | IC-30840 | Dec. 19, 2013 | Forethought Variable Insurance Trust, et al. (Notice) |
| 812-14179 | IC-30833 | Dec. 17, 2013 | Horizons ETFs Management (USA) LLC and Horizons ETF Trust (Order) |
| 812-14101 | IC-30832 | Dec. 16, 2013 | Catalyst Capital Advisors LLC and Mutual Fund Series Trust (Notice) |
| 812-14090 | IC-30830 | Dec. 13, 2013 | Wells Fargo Funds Trust, et al. (Notice) |
| 812-14204 | IC-30827 | Dec. 11, 2013 | AIM Growth Series (Invesco Growth Series), et al. (Order) |
| 812-14238 | IC-30826 | Dec. 11, 2013 | WisdomTree Trust, et al. (Order) |
| 812-14212 | IC-30825 | Dec. 11, 2013 | ETFis Series Trust I, et al. (Order) |
| 812-14131 | IC-30824 | Dec. 11, 2013 | Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Order) |
| 812-14130 | IC-30823 | Dec. 9, 2013 | Altegris Advisors, L.L.C., et al. (Order) |
| 812-14151-04 | IC-30822 | Dec. 9, 2013 | Guggenheim Equal Weight Enhanced Equity Income Fund and Guggenheim Funds Investment Advisers, LLC (Order) |
| 812-14158 | IC-30821 | Dec. 6, 2013 | Minnesota Life Insurance Company, et al. (Notice) |
| 812-13825 | IC-30819 | Dec. 5, 2013 | American Beacon Funds, et al. (Notice) |
| 812-14154 | IC-30817 | Dec. 4, 2013 | Compass Efficient Model Portfolios, LLC (Notice) |
| 812-14133 | IC-30816 | Dec. 3, 2013 | Transamerica Life Insurance Company, et al. (Order) |
| 812-14201 | IC-30815 | Dec. 2, 2013 | VTL Associates, LLC, et al. (Notice) |
| 812-14157 | IC-30813 | Nov. 26, 2013 | Arrow Investment Advisors, LLC and Arrow Investments Trust (Notice) |
| 812-14185 | IC-30812 | Nov. 26, 2013 | OFS Capital Corporation, et al. (Order) |
| 812-14004 | IC-30811 | Nov. 26, 2013 | DBX ETF Trust, et al. (Order) |
| 812-14232 | IC-30808 | Nov. 25, 2013 | RBS Securities Inc. and Citizens Investment Advisors (Temporary Order and Notice) |
| 812-14020 | IC-30807 | Nov. 25, 2013 | Medley Capital Corporation, et al. (Order) |
| 812-14202 | IC-30806 | Nov. 25, 2013 | Cambria ETF Trust, et al. (Order) |
| 812-14179 | IC-30803 | Nov. 21, 2013 | Horizons ETFs Management (USA) LLC and Horizons ETF Trust (Notice) |
| 812-14238 | IC-30790 | Nov. 20, 2013 | WisdomTree Trust, et al. (Notice) |
| 812-14200 | IC-30789 | Nov. 19, 2013 | VTL Associates, LLC, et al. (Order) |
| 812-14189 | IC-30787 | Nov. 15, 2013 | Ameritas Life Insurance Corp., et al. (Order) |
| 812-14212 | IC-30786 | Nov. 15, 2013 | ETFis Series Trust I, et al. (Notice) |
| 812-14204 | IC-30785 | Nov. 15, 2013 | AIM Growth Series (Invesco Growth Series), et al. (Notice) |
| 812-14175 | IC-30782 | Nov. 13, 2013 | Syntax Analytics, LLC and Syntax ETF Trust (Order) |
| 812-14152 | IC-30781 | Nov. 12, 2013 | Arden Investment Series 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) |
| 812-14130 | IC-30779 | Nov. 12, 2013 | Altegris Advisors, L.L.C., et al. (Notice) |
| 812-14131 | IC-30778 | Nov. 12, 2013 | Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Notice) |
| 812-14141 | IC-30777 | Nov. 8, 2013 | Pacific Life Insurance Company, et al. (Order) |
| 812-14133 | IC-30776 | Nov. 6, 2013 | Transamerica Life Insurance Company, et al. (Notice) |
| 812-14185 | IC-30771 | Oct. 30, 2013 | OFS Capital Corporation, et al. (Notice) |
| 812-14004 | IC-30770 | Oct. 29, 2013 | DBX ETF Trust, et al. (Notice) |
| 812-14202 | IC-30768 | Oct. 28, 2013 | Cambria ETF Trust, et al. (Notice) |
| 812-14020 | IC-30769 | Oct. 28, 2013 | Medley Capital Corporation, et al. (Notice) |
| 812-14189 | IC-30764 | Oct. 25, 2013 | Ameritas Life Insurance Corp., et al. (Notice) |
| 812-14200 | IC-30763 | Oct. 24, 2013 | VTL Associates, LLC, et al. (Notice) |
| 812-14188 | IC-30755 | Oct. 23, 2013 | U.S. Global Investors ETF Trust, et al. (Order) |
| 812-14061 | IC-30754 | Oct. 23, 2013 | Stellus Capital Investment Corporation, et al. (Order) |
| 812-14137 | IC-30751 | Oct. 22, 2013 | Guinness Atkinson Asset Management, Inc., et al. (Order) |
| 812-14183 | IC-30750 | Oct. 22, 2013 | Forethought Variable Insurance Trust, et al. (Order) |
| 812-14108 | IC-30749 | Oct. 22, 2013 | Variable Insurance Trust, et al. (Order) |
| 812-14143 | IC-30748 | Oct. 21, 2013 | The KP Funds and Callan Associates Inc. (Order) |
| 812-14175 | IC-30747 | Oct. 18, 2013 | Syntax Analytics, LLC and Syntax ETF Trust (Notice) |
| 812-14152 | IC-30745 | Oct. 17, 2013 | Arden Investment Series Trust, et al. (Notice) |
| 812-14141 | IC-30744 | Oct. 17, 2013 | Pacific Life Insurance Company, et al (Notice) |
| 812-14136 | IC-30742 | Oct. 16, 2013 | Principal Management Corporation, et al. (Order) |
| 812-14061 | IC-30739 | Sep. 30, 2013 | Stellus Capital Investment Corporation, et al. (Notice) |
| 812-14137 | IC-30735 | Sep. 26, 2013 | Guinness Atkinson Asset Management, Inc., et al. (Notice) |
| 812-14188 | IC-30723 | Sep. 25, 2013 | U.S. Global Investors, Inc., et al. (Notice) |
| 812-14183 | IC-30716 | Sep. 25, 2013 | Forethought Variable Insurance Trust, et al. (Notice) |
| 812-14108 | IC-30700 | Sep. 24, 2013 | Variable Insurance Trust, et al. (Notice) |
| 812-13973 | IC-30699 | Sep. 24, 2013 | American General Life Insurance Company, et al. (Order) |
| 812-14167 | IC-30698 | Sep. 24, 2013 | Franklin Templeton International Trust, et al. (Order) |
| 812-14178 | IC-30695 | Sep. 24, 2013 | Horizons ETFs Management (USA) LLC and Horizons ETF Trust (Order) |
| 812-14143 | IC-30693 | Sep. 23, 2013 | The KP Funds and Callan Associates Inc. (Notice) |
| 812-14136 | IC-30692 | Sep. 20, 2013 | Principal Management Corporation, et al. (Notice) |
| 812-14129 | IC-30691 | Sep. 19, 2013 | Equinox Funds Trust, et al. (Order) |
| 812-14128 | IC-30690 | Sep. 18, 2013 | The Northwestern Mutual Life Insurance Company, et al. (Order) |
| 812-14176 | IC-30685 | Sep. 4, 2013 | Wells Fargo Bank, N.A., et al. (Permanent Order) |
| 812-14155 | IC-30684 | Sep. 3, 2013 | Aspiriant Global Equity Trust and Aspiriant, LLC (Order) |
| 812-13973 | IC-30681 | Aug. 29, 2013 | American General Life Insurance Company, et al. (Notice) |
| 812-14178 | IC-30680 | Aug. 27, 2013 | Horizons ETFs Management (USA) LLC and Horizons ETF Trust (Notice) |
| 812-14167 | IC-30679 | Aug. 27, 2013 | Franklin Templeton International Trust, et al. (Notice) |
| 812-14145 | IC-30678 | Aug. 27, 2013 | ERNY Financial ETF Trust, et al. (Order) |
| 812-14071 | IC-30677 | Aug. 27, 2013 | Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Order) |
| 812-14048 | IC-30676 | Aug. 27, 2013 | GENCAP Strategies LLC, et al. (Order) |
| 812-13963 | IC-30674 | Aug. 26, 2013 | Exchange Traded Concepts, LLC, et al. (Order) |
| 812-14129 | IC-30673 | Aug. 23, 2013 | Equinox Funds Trust, et al. (Notice) |
| 812-14128 | IC-30671 | Aug. 22, 2013 | The Northwestern Mutual Life Insurance Company, et al. (Notice) |
| 812-13942 | IC-30654 | Aug. 20, 2013 | NGAM Advisors, L.P., et al. (Order) |
| 812-14169 | IC-30653 | Aug. 20, 2013 | Calamos Advisors LLC, et al. (Order) |
| 812-14110 | IC-30648 | Aug. 12, 2013 | Grosvenor Alternative Funds Master Trust, et al. (Order) |
| 811-07528 | IC-30647 | Aug. 8, 2013 | Special Opportunities Fund, Inc. (Notice) See also Application |
| 812-14150 | IC-30645 | Aug. 6, 2013 | FlexShares Trust, et al. (Order) |
| 812-13941 | IC-30643 | Aug. 6, 2013 | NGAM Advisors, L.P., et al. (Order) |
| 812-14176 | IC-30644 | Aug. 6, 2013 | Wells Fargo Bank, N.A., et al. (Notice and Temporary Order) |
| 812-14118 | IC-30641 | Aug. 6, 2013 | Bridge Builder Trust, et al. (Order) |
| 812-14155 | IC-30640 | Aug. 5, 2013 | Aspiriant Global Equity Trust and Aspiriant, LLC (Notice) |
| 812-14071 | IC-30639 | Aug. 1, 2013 | Ranger Alternative Management, L.P. and Ranger Funds Investment Trust (Notice) |
| 812-14096 | IC-30638 | Jul. 30, 2013 | BofA Funds Series Trust, et al. (Order) |
| 813-383 | IC-30637 | Jul. 30, 2013 | Citadel LLC, et al. (Order) |
| 812-14145 | IC-30636 | Jul. 30, 2013 | ERNY Financial ETF Trust, et al. (Notice) |
| 812-14048 | IC-30635 | Jul. 30, 2013 | GENCAP Strategies LLC, et al. (Notice) |
| 812-13963 | IC-30634 | Jul. 29, 2013 | Exchange Traded Concepts, LLC, et al. (Notice) |
| 812-13942 | IC-30630 | Jul. 25, 2013 | NGAM Advisors, L.P., et al. (Notice) |
| 812-14169 | IC-30628 | Jul. 24, 2013 | Calamos Advisors LLC, et al. (Notice) |
| 812-14088 | IC-30610 | Jul. 23, 2013 | First Trust Exchange-Traded Fund, et al. (Order) |
| 813-180-09 | IC-30609 | Jul. 23, 2013 | Invesco Advisers, Inc., et al. (Order) |
| 812-13637 | IC-30608 | Jul. 23, 2013 | The Dreyfus Corporation, et al. (Order) |
| 812-14080 | IC-30607 | Jul. 23, 2013 | ETF Issuer Solutions Inc., et al. (Order) |
| 812-14009 | IC-30606 | Jul. 23, 2013 | Charles Schwab Investment Management, Inc., et al. (Order) |
| 812-14087 | IC-30605 | Jul. 23, 2013 | ProShare Advisors LLC, et al. (Order) |
| 812-14164 | IC-30604 | Jul. 22, 2013 | Harris & Harris Group, Inc. (Certification) |
| 812-14111 | IC-30603 | Jul. 22, 2013 | ING Investments, LLC, et al. (Order) |
| 812-14066 | IC-30602 | Jul. 19, 2013 | ACS Wireless, Inc. (Order) |
| 812-14109 | IC-30601 | Jul. 16, 2013 | American Family Life Insurance Company, et al. (Order) |
| 812-14176 | IC-30600 | Jul. 15, 2013 | Wells Fargo Bank, N.A., et al. (Temporary Order) |
| 812-14110 | IC-30599 | Jul. 15, 2013 | Grosvenor Alternative Funds Master Trust, et al. (Notice) |
| 812-13991 | IC-30598 | Jul. 10, 2013 | Guggenheim Funds Investment Advisors, LLC, et al. (Order) |
| 812-14046 | IC-30597 | Jul. 10, 2013 | Sigma Investment Advisors, LLC, et al. (Order) |
| 812-14121 | IC-30596 | Jul. 10, 2013 | Transparent Value Trust, et al. (Order) |
| 812-13941 | IC-30594 | Jul. 9, 2013 | NGAM Advisors, L.P., et al. (Notice) |
| 812-14150 | IC-30593 | Jul. 9, 2013 | FlexShares Trust, et al. (Notice) |
| 812-14118 | IC-30592 | Jul. 9, 2013 | Bridge Builder Trust, et al. (Notice) |
| 812-14096 | IC-30590 | Jul. 3, 2013 | BofA Funds Series Trust, et al. (Notice) |
| 813-383 | IC-30589 | Jul. 3, 2013 | Citadel LLC, et al. (Notice) |
| 812-13881 | IC-30588 | Jul. 2, 2013 | Compass Efficient Model Portfolios, LLC and Compass EMP Funds Trust (Order) |
| 812-14070 | IC-30587 | Jul. 1, 2013 | First Trust Exchange-Traded Fund, et al. (Order) |
| 812-14142 | IC-30586 | Jul. 1, 2013 | KP Funds, et al. (Order) |
| 812-14009 | IC-30584 | Jun. 27, 2013 | Charles Schwab Investment Management, Inc., et al. (Notice) |
| 812-14087 | IC-30583 | Jun. 27, 2013 | ProShare Advisors LLC, et al. (Notice) |
| 812-14088 | IC-30582 | Jun. 26, 2013 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 813-180-09 | IC-30581 | Jun. 26, 2013 | Invesco Advisers, Inc., et al. (Notice) |
| 812-13637 | IC-30580 | Jun. 26, 2013 | The Dreyfus Corporation, et al. (Notice) |
| 812-14080 | IC-30568 | Jun. 26, 2013 | ETF Issuer Solutions Inc., et al. (Notice) |
| 812-14066 | IC-30567 | Jun. 25, 2013 | ACS Wireless, Inc (Notice) |
| 812-14111 | IC-30566 | Jun. 24, 2013 | ING Investments, LLC, et al. (Notice) |
| 812-14109 | IC-30564 | Jun. 20, 2013 | American Family Life Insurance Company, et al. (Notice) |
| 812-14041 | IC-30562 | Jun. 18, 2013 | ProShares Advisors LLC, et al. (Order) |
| 812-13877 | IC-30561 | Jun. 18, 2013 | ASA Gold and Precious Metals Limited (Order) |
| 812-13991 | IC-30560 | Jun. 14, 2013 | Guggenheim Funds Investment Advisors, LLC, et al. (Notice) |
| 812-14046 | IC-30559 | Jun. 14, 2013 | Sigma Investment Advisors, LLC, et al. (Notice) |
| 812-14121 | IC-30558 | Jun. 14, 2013 | Transparent Value Trust, et al. (Notice) |
| 812-13783 | IC-30556 | Jun. 12, 2013 | Frank Russell Company, et al. (Order) |
| 812-14098 | IC-30554 | Jun. 11, 2013 | Financial Investors Trust and Hanson McClain Strategic Advisors, Inc. (Order) |
| 812-13884 | IC-30553 | Jun. 11, 2013 | ALPS ETF Trust, et al. (Order) |
| 812-14085 | IC-30555 | Jun. 11, 2013 | LocalShares Investment Trust, et. al. (Order) |
| 812-14146 | IC-30552 | Jun. 10, 2013 | ERNY Financial ETF Trust and ERNY Financial Advisors, LLC (Order) |
| 812-13881 | IC-30550 | Jun. 4, 2013 | Compass Efficient Model Portfolios, LLC and Compass EMP Funds Trust (Notice) |
| 812-13915 | IC-30549 | Jun. 4, 2013 | Forum Investment Advisors, LLC, et al. (Order) |
| 812-13665 | IC-30548 | Jun. 4, 2013 | FS Investment Corporation, et al. (Order) |
| 812-14089 | IC-30547 | Jun. 4, 2013 | CPG Carlyle Private Equity Fund, LLC, et al. (Order) |
| 812-14070 | IC-30546 | Jun. 3, 2013 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 812-14142 | IC-30545 | Jun. 3, 2013 | KP Funds, et al. (Notice) |
| 812-13886 | IC-30543 | May 29, 2013 | Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc. (Order) |
| 812-14078 | IC-30542 | May 29, 2013 | Goldman Sachs Trust II, et al. (Order) |
| 812-14135 | IC-30541 | May 24, 2013 | Beverly Hills Bancorp Inc. (Order) |
| 812-13877 | IC-30539 | May 22, 2013 | ASA Gold and Precious Metals Limited (Notice) |
| 812-14041 | IC-30527 | May 21, 2013 | ProShares Advisors LLC, et al. (Notice) |
| 812-13844 | IC-30526 | May 21, 2013 | Corporate Capital Trust, Inc., et al. (Order) |
| 812-13783 | IC-30524 | May 17, 2013 | Frank Russell Company, et al. (Notice) |
| 812-14085 | IC-30523 | May 15, 2013 | LocalShares Investment Trust, et al. (Notice) |
| 812-14075 | IC-30522 | May 15, 2013 | Goldman Sachs Trust, et al. (Order) |
| 812-14098 | IC-30521 | May 15, 2013 | Financial Investors Trust and Hanson McClain Strategic Advisors, Inc. (Notice) |
| 813-370 | IC-30520 | May 14, 2013 | JPMorgan Chase & Co., et al. (Order) |
| 812-13884 | IC-30519 | May 14, 2013 | ALPS ETF Trust, et al. (Notice) |
| 812-13734 | IC-30518 | May 14, 2013 | John Hancock Exchange-Traded Fund Trust, et al. (Order) |
| 812-14081 | IC-30516 | May 14, 2013 | Symetra Mutual Funds Trust, et al. (Order) |
| 812-14063 | IC-30517 | May 14, 2013 | Lincoln National Life Insurance Company, et al. (Order) |
| 812-14146 | IC-30514 | May 13, 2013 | ERNY Financial ETF Trust and ERNY Financial Advisors, LLC (Notice) |
| 812-14104 | IC-30513 | May 10, 2013 | Fidelity Merrimack Street Trust, et al. (Order) |
| 812-14089 | IC-30512 | May 9, 2013 | CPG Carlyle Private Equity Fund, LLC, et al. (Notice) |
| 812-13665 | IC-30511 | May 9, 2013 | FS Investment Corporation, et al. (Notice) |
| 812-14113 | IC-30510 | May 8, 2013 | Trust for Professional Managers and Aurora Investment Management L.L.C. (Order) |
| 812-14148 | IC-30509 | May 8, 2013 | The Royal Bank of Scotland plc, et al. (Order) |
| 812-13915 | IC-30507 | May 6, 2013 | Forum Investment Advisors, LLC, et al. (Notice) |
| 812-13887 | IC-30506 | May 6, 2013 | Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC (Order) |
| 812-13886 | IC-30503 | May 2, 2013 | Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc. (Notice) |
| 812-14054 | IC-30501 | Apr. 30, 2013 | TSC Distributors LLC and TSC UITS (Order) |
| 812-13880 | IC-30500 | Apr. 30, 2013 | Royce Value Trust, Inc., et al. (Order) |
| 812-14034 | IC-30499 | Apr. 30, 2013 | Royce Focus Trust, Inc., et al. (Order) |
| 812-14135 | IC-30497 | Apr. 30, 2013 | Beverly Hills Bancorp Inc. (Notice) |
| 812-14078 | IC-30496 | Apr. 29, 2013 | Goldman Sachs Trust II, et al. (Notice) |
| 812-13844 | IC-30494 | Apr. 25, 2013 | Corporate Capital Trust, Inc., et al. (Notice) |
| 812-14099 | IC-30493 | Apr. 24, 2013 | Munder Series Trust, et al. (Order) |
| 813-310 | IC-30475 | Apr. 23, 2013 | Stetson Capital Fund LP and Davis Polk & Wardwell LLP (Order) |
| 812-13848 | IC-30473 | Apr. 22, 2013 | Neuberger Berman ETF Trust and Neuberger Berman Management LLC (Order) |
| 812-14035 | IC-30476 | Apr. 23, 2013 | Sage Quant Management LLC, et al. (Order) |
| 812-14081 | IC-30472 | Apr. 19, 2013 | Symetra Mutual Funds Trust, et al. (Notice) |
| 812-14075 | IC-30471 | Apr. 19, 2013 | Goldman Sachs Trust, et al. (Notice) |
| 812-13734 | IC-30469 | Apr. 18, 2013 | John Hancock Exchange-Traded Fund Trust, et al. (Notice) |
| 812-14063 | IC-30468 | Apr. 18, 2013 | Lincoln National Life Insurance Company, et al (Notice) |
| 813-370 | IC-30465 | Apr. 16, 2013 | JPMorgan Chase & Co., et al. (Notice) |
| 812-14104 | IC-30464 | Apr. 16, 2013 | Fidelity Merrimack Street Trust, et al. (Notice) |
| 812-14148 | IC-30462 | Apr. 12, 2013 | The Royal Bank of Scotland plc, et al. (Notice) |
| 812-14033 | IC-30461 | Apr. 12, 2013 | ING Life Insurance and Annuity Company, et al. (Order) |
| 812-14113 | IC-30460 | Apr. 12, 2013 | Trust for Professional Managers and Aurora Investment Management L.L.C. (Notice) |
| 812-13887 | IC-30459 | Apr. 10, 2013 | Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC (Notice) |
| 812-14114 | IC-30458 | Apr. 10, 2013 | Ivy Funds Variable Insurance Portfolios, et al. (Order) |
| 812-14079 | IC-30454 | Apr. 9, 2013 | Global X Funds, et al. (Order) |
| 812-13989 | IC-30452 | Apr. 8, 2013 | Krane Fund Advisors LLC, et al. (Order) |
| 812-13976 | IC-30451 | Apr. 8, 2013 | Renaissance Capital Greenwich Funds, et al. (Order) |
| 812-14092 | IC-30450 | Apr. 8, 2013 | AIP Series Trust and Morgan Stanley AIP GP LP (Order) |
| 812-14054 | IC-30449 | Apr. 4, 2013 | TSC Distributors LLC and TSC UITS (Notice) |
| 812-13880 | IC-30448 | Apr. 4, 2013 | Royce Value Trust, Inc., et al. (Notice) |
| 812-14034 | IC-30447 | Apr. 4, 2013 | Royce Focus Trust, Inc., et al. (Notice) |
| 812-13969 | IC-30445 | Apr. 2, 2013 | Exchange Traded Concepts Trust, et al. (Order) |
| 812-14076 | IC-30444 | Apr. 2, 2013 | Blackstone Alternative Investment Funds, et al. (Order) |
| 812-14065 | IC-30443 | Apr. 1, 2013 | The Advisors' Inner Circle Fund, et al. (Order) |
| 812-14003 | IC-30442 | Mar. 29, 2013 | Cohen & Steers Real Assets Fund, Inc., et al. (Order) |
| 812-14099 | IC-30441 | Mar. 29, 2013 | Munder Series Trust, et al. (Notice) |
| 812-14035 | IC-30439 | Mar. 28, 2013 | Sage Quant Management LLC, et al. (Notice) |
| 813-310 | IC-30438 | Mar. 27, 2013 | Stetson Capital Fund LP and Davis Polk & Wardwell LLP (Notice) |
| 812-14043 | IC-30437 | Mar. 26, 2013 | Forward Funds, et al. (Order) |
| 812-13848 | IC-30436 | Mar. 25, 2013 | Neuberger Berman ETF Trust and Neuberger Berman Management LLC (Notice) |
| 812-14125 | IC-30433 | Mar. 21, 2013 | Market Vectors ETF Trust, et al. (Order) |
| 812-14077 | IC-30432 | Mar. 21, 2013 | Triangle Capital Corporation (Order) |
| 812-14033 | IC-30431 | Mar. 21, 2013 | ING Life Insurance and Annuity Company, et al. (Notice) |
| 812-14114 | IC-30427 | Mar. 15, 2013 | Ivy Funds Variable Insurance Portfolios, et al. (Notice) |
| 812-14079 | IC-30426 | Mar. 14, 2013 | Global X Funds, et al. (Notice) |
| 812-13989 | IC-30425 | Mar. 14, 2013 | Krane Funds Advisors LLC., et al. (Notice) |
| 812-14105 | IC-30424 | Mar. 13, 2013 | UBS AG, et al. (Order) |
| 812-14117 | IC-30423 | Mar. 12, 2013 | Emerging Global Advisors, LLC, et al. (Order) |
| 812-13976 | IC-30422 | Mar. 11, 2013 | Renaissance Capital Greenwich Funds, et al. (Notice) |
| 812-14027 | IC-30421 | Mar. 11, 2013 | AdvisorShares Investments, LLC and AdvisorShares Trust (Order) |
| 812-14092 | IC-30420 | Mar. 11, 2013 | AIP Series Trust and Morgan Stanley AIP GP LP (Notice) |
| 812-14076 | IC-30416 | Mar. 7, 2013 | Blackstone Alternative Investment Funds, et al. (Notice) |
| 812-13969 | IC-30415 | Mar. 7, 2013 | Exchange Traded Concepts Trust, et al. (Notice) |
| 812-14003 | IC-30413 | Mar. 4, 2013 | Cohen & Steers Real Assets Fund, Inc., et al. (Notice) |
| 812-14065 | IC-30412 | Mar. 4, 2013 | The Advisors' Inner Circle Fund, et al. (Notice) |
| 812-14043 | IC-30411 | Feb. 28, 2013 | Forward Funds, et al. (Notice) |
| 812-14077 | IC-30410 | Feb. 28, 2013 | Triangle Capital Corporation (Notice) |
| 812-14125 | IC-30409 | Feb. 27, 2013 | Market Vectors ETF Trust, et al. (Notice) |
| 813-374 | IC-30407 | Feb. 26, 2013 | WINCO Investment Partnership 2008 L.P. and Winstead PC (Order) |
| 812-14084 | IC-30406 | Feb. 26, 2013 | Allianz Variable Insurance Products Fund of Funds Trust, et al. (Order) |
| 812-14036 | IC-30405 | Feb. 26, 2013 | AXA Equitable Life Insurance Company, et al. (Order) |
| 812-14091 | IC-30387 | Feb. 19, 2013 | Securian Funds Trust, et al. (Order) |
| 812-14082 | IC-30386 | Feb. 19, 2013 | Symetra Life Insurance Company, et al. (Order) |
| 812-14105 | IC-30383 | Feb. 15, 2013 | UBS AG, et al. (Notice and Temporary Order) |
| 812-14117 | IC-30382 | Feb. 13, 2013 | Emerging Global Advisors, LLC, et al. (Notice) |
| 812-14027 | IC-30381 | Feb. 12, 2013 | AdvisorShares Investments, LLC and AdvisorShares Trust (Notice) |
| 812-14094 | IC-30380 | Feb. 6, 2013 | J.P. Morgan Securities LLC, et al. (Order) |
| 812-13486 | IC-30378 | Feb. 5, 2013 | Exchange Traded Spreads Trust, et al. (Order) |
| 812-13895 | IC-30377 | Feb. 5, 2013 | First Trust Exchange-Traded Fund, et al. (Order) |
| 812-14015 | IC-30376 | Feb. 4, 2013 | Credit Suisse Opportunity Funds, et al. (Order) |
| 812-13984 | IC-30375 | Feb. 1, 2013 | Fidelity Commonwealth Trust, et al. (Order) |
| 813-374 | IC-30374 | Jan. 31, 2013 | WINCO Investment Partnership 2008 L.P. and Winstead PC (Notice) |
| 812-14036 | IC-30373 | Jan. 31, 2013 | AXA Equitable Life Insurance Company, et al. (Notice) |
| 812-14084 | IC-30371 | Jan. 29, 2013 | Allianz Variable Insurance Products Fund of Funds Trust, et al. (Notice) |
| 812-14091 | IC-30354 | Jan. 22, 2013 | Securian Funds Trust, et al. (Notice) |
| 812-14082 | IC-30353 | Jan. 22, 2013 | Symetra Life Insurance Company, et al. (Notice) |
| 812-13489-01 | IC-30352 | Jan. 16, 2013 | Pyxis Capital, L.P., et al. (Order) |
| 812-14042 | IC-30350 | Jan. 15, 2013 | Franklin Advisers, Inc., et al. (Order) |
| 812-13874 | IC-30349 | Jan. 14, 2013 | Yorkville ETF Trust and Yorkville ETF Advisers, LLC (Order) |
| 812-14094 | IC-30347 | Jan. 9, 2013 | J.P. Morgan Securities LLC, et al. (Notice and Temporary Order) |
| 812-13486 | IC-30346 | Jan. 9, 2013 | Exchange Traded Spreads Trust, et al. (Notice) |
| 812-13895 | IC-30345 | Jan. 8, 2013 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 812-14064 | IC-30344 | Jan. 8, 2013 | The Adams Express Company and Petroleum & Resources Corporation (Order) |
| 812-13797 | IC-30343 | Jan. 8, 2013 | AllianceBernstein Active ETFs, Inc., et al. (Order) |
| 812-14015 | IC-30342 | Jan. 7, 2013 | Credit Suisse Opportunity Funds, et al. (Notice) |
| 812-13984 | IC-30341 | Jan. 7, 2013 | Fidelity Commonwealth Trust, et al. (Notice) |
| 812-13959 | IC-30340 | Jan. 4, 2013 | Cambria Investment Management, L.P. and Cambria ETF Trust (Order) |
| 812-14040 | IC-30338 | Jan. 2, 2013 | Hatteras Variable Trust, et al. (Order) |
| 812-14013 | IC-30337 | Jan. 2, 2013 | ING Investments, LLC, et al. (Order) |
| 812-13726 | IC-30336 | Jan. 2, 2013 | T. Rowe Price Associates, Inc., T. Rowe Price Institutional Income Funds, Inc. and T. Rowe Price Investment Services, Inc. (Order) |
2012 | |||
| File No. | Release No. | Date | Investment Company |
| 812-14059 | IC-30335 | Dec. 31, 2012 | Mutual of America Life Insurance Company, et al. (Order) |
| 812-14047 | IC-30334 | Dec. 28, 2012 | Lord, Abbett & Co. LLC, et al. (Order) |
| 812-14055 | IC-30333 | Dec. 28, 2012 | PNC Capital Advisors, LLC, et al. (Order) |
| 812-14023 | IC-30318 | Dec. 27, 2012 | Foreside Advisor Services, LLC, et al. (Order) |
| 812-14026 | IC-30317 | Dec. 26, 2012 | Blackstone Alternative Alpha Fund, et al. (Order) |
| 812-13489-01 | IC-30316 | Dec. 21, 2012 | Pyxis Capital, L.P., et al. (Notice) |
| 812-13871 | IC-30314 | Dec. 21, 2012 | William Blair & Company, L.L.C. and William Blair Funds (Order) |
| 812-14042 | IC-30312 | Dec. 19, 2012 | Franklin Advisers, Inc., et al. (Notice) |
| 812-14105 | IC-30311 | Dec. 19, 2012 | UBS AG, et al. (Temporary Order) |
| 812-13874 | IC-30306 | Dec. 17, 2012 | Yorkville ETF Trust and Yorkville ETF Advisors, LLC (Notice) |
| 812-13797 | IC-30305 | Dec. 13, 2012 | AllianceBernstein Active ETFs, Inc., et al. (Notice) |
| 812-14064 | IC-30304 | Dec. 13, 2012 | The Adams Express Company and Petroleum & Resources Corporation (Notice) |
| 812-14074 | IC-30303 | Dec. 12, 2012 | Wells Fargo Bank, N.A., et al. (Order) |
| 812-13959 | IC-30302 | Dec. 12, 2012 | Cambria Investment Management, L.P. and Cambria ETF Trust (Notice)
See also IC-30286 |
| 812-14037 | IC-30301 | Dec. 11, 2012 | Columbia ETF Trust, et al. (Order) |
| 812-13726 | IC-30299 | Dec. 7, 2012 | T. Rowe Price Associates, Inc., et al. (Notice) |
| 812-14055 | IC-30298 | Dec. 6, 2012 | PNC Capital Advisors, LLC, et al. (Notice) |
| 812-14047 | IC-30297 | Dec. 6, 2012 | Lord, Abbett & Co. LLC, et al. (Notice) |
| 812-14040 | IC-30296 | Dec. 6, 2012 | Hatteras Variable Trust, et al. (Notice) |
| 812-14013 | IC-30295 | Dec. 6, 2012 | ING Investments, LLC, et al. (Notice) |
| 812-14059 | IC-30292 | Dec. 5, 2012 | Mutual of America Life Insurance Company, et al. (Notice) |
| 812-14006 | IC-30291 | Dec. 5, 2012 | Highland Associates, Inc. and Financial Investors Trust (Order) |
| 812-13731 | IC-30288 | Dec. 3, 2012 | Fidelity Aberdeen Street Trust, et al. (Order) |
| 812-13959 | IC-30286 | Nov. 30, 2012 | Cambria Investment Management, L.P. and Cambria ETF Trust (Notice)
See also IC-30302 |
| 812-13871 | IC-30285 | Nov. 29, 2012 | William Blair & Company, L.L.C. and William Blair Funds (Notice) |
| 812-14023 | IC-30284 | Nov. 29, 2012 | Foreside Advisor Services, LLC, et al. (Notice) |
| 812-14062 | IC-30283 | Nov. 28, 2012 | Arden Investment Series Trust and Arden Asset Management LLC (Order) |
| 812-13974 | IC-30281 | Nov. 27, 2012 | Salient Advisors, L.P. and MarketShares ETF Trust (Order) |
| 812-14026 | IC-30280 | Nov. 26, 2012 | Blackstone Alternative Alpha Fund, et al. (Notice) |
| 812-13740 | IC-30279 | Nov. 23, 2012 | Van Eck Funds, et al. (Order) |
| 812-14056 | IC-30271 | Nov. 20, 2012 | PNC Capital Advisors, LLC, et al. (Order) |
| 812-14050 | IC-30267 | Nov. 19, 2012 | Neuberger Berman Alternative Funds, et al. (Order) |
| 812-13757 | IC-30265 | Nov. 16, 2012 | Legg Mason ETF Trust, et al. (Order) |
| 812-14074 | IC-30266 | Nov. 16, 2012 | Wells Fargo Bank, N.A., et al. (Notice and Temporary Order) |
| 812-14012 | IC-30263 | Nov. 14, 2012 | Trust for Professional Managers , et al. (Order) |
| 812-14019 | IC-30262 | Nov. 14, 2012 | Medley Capital Corporation, et al. (Order) |
| 812-14037 | IC-30260 | Nov. 13, 2012 | Columbia ETF Trust, et al. (Notice) |
| 812-14006 | IC-30259 | Nov. 9, 2012 | Highland Associates, Inc. and Financial Investors Trust (Notice) |
| 812-13731 | IC-30258 | Nov. 6, 2012 | Fidelity Aberdeen Street Trust, et al. (Notice) |
| 812-14011 | IC-30257 | Nov. 5, 2012 | Permal Hedge Strategies Fund, et al. (Order) |
| 812-14062 | IC-30255 | Nov. 2, 2012 | Arden Investment Series Trust and Arden Asset Management LLC (Notice) |
| 812-13974 | IC-30254 | Oct. 31, 2012 | Salient Advisors, L.P. and MarketShares ETF Trust (Notice) |
| 812-13740 | IC-30252 | Oct. 25, 2012 | Van Eck Funds, et al. (Notice) |
| 812-14000 | IC-30241 | Oct. 23, 2012 | PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. (Order) |
| 812-13968 | IC-30240 | Oct. 23, 2012 | Northern Trust Investments, Inc., et al. (Order) |
| 812-14056 | IC-30239 | Oct. 23, 2012 | PNC Capital Advisors, LLC, et al. (Notice) |
| 812-13820 | IC-30238 | Oct. 23, 2012 | PowerShares Exchange-Traded Fund Trust, PowerShares Exchange-Traded Fund Trust II, PowerShares Actively Managed Exchange-Traded Fund Trust, and Invesco PowerShares Capital Management LLC (Order) |
| 812-13757 | IC-30237 | Oct. 22, 2012 | Legg Mason Partners Equity Trust, et al. (Notice) |
| 812-14050 | IC-30236 | Oct. 22, 2012 | Neuberger Berman Alternative Funds, et al. (Notice) |
| 812-14012 | IC-30235 | Oct. 18, 2012 | Trust for Professional Managers, et al. (Notice) |
| 812-14019 | IC-30234 | Oct. 16, 2012 | Medley Capital Corporation, et al. (Notice) |
| 812-13985 | IC-30233 | Oct. 16, 2012 | Financial Investors Trust, et al. (Order) |
| 812-13988-01 | IC-30232 | Oct. 15, 2012 | Neuberger Berman Alternative Funds, et al. (Order) |
| 812-13967 | IC-30231 | Oct. 10, 2012 | Wells Fargo Funds Trust, et al. (Order) |
| 812-13934 | IC-30230 | Oct. 10, 2012 | Factor Advisors, LLC, et al. (Order) |
| 812-13993 | IC-30229 | Oct. 9, 2012 | Prudential Investment Portfolios 3, et al. (Order) | 812-14011 | IC-30228 | Oct. 9, 2012 | Permal Hedge Strategies Fund, et al.. (Notice) |
| 812-13998 | IC-30226 | Oct. 2, 2012 | Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC (Order) |
| 812-14000 | IC-30224 | Sep. 27, 2012 | PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. (Notice) |
| 812-13820 | IC-30222 | Sep. 26, 2012 | PowerShares Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13933 | IC-30215 | Sep. 25, 2012 | Cash Account Trust, et al. (Order) |
| 813-379 | IC-30214 | Sep. 25, 2012 | Alvarez & Marsal, Inc., et al. (Order) |
| 812-13954 | IC-30212 | Sep. 25, 2010 | Emerging Global Advisors, LLC, et al. (Order) |
| 812-13968 | IC-30211 | Sep. 24, 2012 | Northern Trust Investments, Inc., et al. (Notice) |
| 812-14074 | IC-30210 | Sep. 21, 2012 | Wells Fargo Bank, N.A., et al. (Temporary Order) |
| 812-13990 | IC-30209 | Sep. 20, 2012 | Pruco Life Insurance Company, et.al (Order) |
| 812-13988-01 | IC-30206 | Sep. 18, 2012 | Neuberger Berman Alternative Funds, et al. (Notice) |
| 812-14068 | IC-30203 | Sep. 17, 2012 | ReconTrust Company, N.A., et al. (Order) |
| 812-13985 | IC-30205 | Sep. 18, 2012 | Financial Investors Trust, et al. (Notice) |
| 812-13934 | IC-30204 | Sep. 17, 2012 | Factor Advisors, LLC, et al. (Notice) |
| 812-13967 | IC-30201 | Sep. 12, 2012 | Wells Fargo Funds Trust, et al. (Notice) |
| 812-13993 | IC-30200 | Sep. 11, 2012 | Prudential Investment Portfolios 3, et al. (Notice) |
| 812-13913 | IC-30199 | Sep. 11, 2012 | LoCorr Fund Management, LLC and LoCorr Investment Trust (Order) |
| 812-13956 | IC-30198 | Sep. 10, 2012 | IndexIQ Advisors LLC, et al. (Order) |
| 812-13998 | IC-30195 | Sep. 5, 2012 | Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC (Notice) |
| 812-14024 | IC-30194 | Sep. 5, 2012 | The Hartford Mutual Funds, Inc., et al. (Order) |
| 812-13933 | IC-30188 | Aug. 31, 2012 | Cash Account Trust, et al. (Notice) |
| 812-13990 | IC-30186 | Aug. 29, 2012 | Pruco Life Insurance Company, et al. (Notice) |
| 812-13954 | IC-30184 | Aug. 28, 2010 | Emerging Global Advisors, LLC, et al. (Notice) |
| 813-379 | IC-30183 | Aug. 28, 2012 | Alvarez & Marsal, Inc., et al. (Notice) |
| 812-13964 | IC-30182 | Aug. 28, 2012 | BlackRock Preferred Partners LLC, et al. (Order) |
| 812-14068 | IC-30174 | Aug. 20, 2012 | ReconTrust Company, N.A., et al. (Notice) |
| 812-13616-09 | IC-30173 | Aug. 20, 2012 | Capital Research and Management Company, et al. (Order) |
| 812-13512 | IC-30172 | Aug. 20, 2012 | Cash Account Trust, et al. (Order) |
| 812-14022 | IC-30171 | Aug. 20, 2012 | Saratoga Investment Corp., et al. (Order) |
| 813-248 | IC-30170 | Aug. 16, 2012 | P.E. Partners III, LLC, et al. (Order) |
| 812-13966 | IC-30169 | Aug. 15, 2012 | Credit Suisse Asset Management, LLC et al. (Order) |
| 812-13913 | IC-30168 | Aug. 14, 2012 | LoCorr Fund Management, LLC and LoCorr Investment Trust (Notice) |
| 812-13956 | IC-30166 | Aug. 13, 2012 | IndexIQ Advisors LLC, et al. (Notice) |
| 812-14024 | IC-30164 | Aug. 8, 2012 | The Hartford Mutual Funds, Inc., et al. (Notice) |
| 812-13906 | IC-30163 | Aug. 7, 2012 | The Dreyfus Corporation, et al. (Order) |
| 812-14005 | IC-30162 | Aug. 6, 2012 | AmericaFirst Quantitative Trust, and AmericaFirst Securities, Inc. (Order) |
| 812-13957 | IC-30161 | Aug. 3, 2012 | IndexIQ Advisors LLC, et al. (Order) |
| 812-13964 | IC-30160 | Aug. 2, 2012 | BlackRock Preferred Partners LLC, et al. (Notice) |
| 812-13878 | IC-30154 | Jul. 26, 2012 | Gladstone Capital Corporation, et al. (Order) |
| 812-13833 | IC-30153 | Jul. 26, 2012 | AQR Capital Management, LLC (Order) |
| 812-13512 | IC-30151 | Jul. 25, 2012 | Cash Account Trust, et al. (Notice) |
| 812-13616-09 | IC-30150 | Jul. 25, 2012 | Capital Research and Management Company, et al. (Notice) |
| 812-14022 | IC-30145 | Jul. 23, 2012 | Saratoga Investment Corp., et al. (Notice) |
| 812-13966 | IC-30144 | Jul. 20, 2012 | Credit Suisse Asset Management, LLC, et al. (Notice) |
| 813-248 | IC-30143 | Jul. 20, 2012 | P.E. Partners III, LLC, et al. (Notice) |
| 812-13666 | IC-30139 | Jul. 17, 2012 | Medallion Financial Corp. (Order) |
| 812-13900 | IC-30138 | Jul. 17, 2012 | Franklin Advisers, Inc., and Franklin Templeton International Trust (Order) |
| 812-13906 | IC-30137 | Jul. 12, 2012 | The Dreyfus Corporation, et al. (Notice) |
| 812-14005 | IC-30134 | Jul. 10, 2012 | AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. (Notice) |
| 812-14008 | IC-30133 | Jul. 10, 2012 | Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC (Order) |
| 812-13859-01 | IC-30132 | Jul. 10, 2012 | Hirtle Callaghan & Co., LLC and HC Capital Trust (Order) |
| 812-13957 | IC-30130 | Jul. 9, 2012 | IndexIQ Advisors LLC, et al. (Notice) |
| 812-13981 | IC-30129 | Jul. 5, 2012 | Precidian ETFs Trust, et al. (Order) |
| 812-13937 | IC-30127 | Jul. 3, 2012 | Arrow Investment Advisers, LLC, et al. (Order) |
| 812-13833 | IC-30128 | Jul. 3, 2012 | AQR Capital Management, LLC, et al. (Notice) |
| 812-13878 | IC-30125 | Jun. 29, 2012 | Gladstone Capital Corporation, et al. (Notice) |
| 812-13946 | IC-30123 | Jun. 26, 2012 | Federated Investment Management Company and Federated ETF Trust (Order) |
| 812-14001 | IC-30122 | Jun. 26, 2012 | Hennion & Walsh, Inc. and Smart Trust (Order) |
| 812-13666 | IC-30121 | Jun. 21, 2012 | Medallion Financial Corp. (Notice) |
| 812-13900 | IC-30105 | Jun. 18, 2012 | Franklin Advisers, Inc. and Franklin Templeton International Trust (Notice) |
| 812-14029 | IC-30104 | Jun. 15, 2012 | Harris & Harris Group, Inc. (Certification) |
| 812-14008 | IC-30103 | Jun. 14, 2012 | Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC (Notice) |
| 812-13859-01 | IC-30102 | Jun. 11, 2012 | Hirtle Callaghan & Co., LLC and HC Capital Trust (Notice) |
| 812-13981 | IC-30101 | Jun. 8, 2012 | Precidian ETFs Trust, et al. (Notice) |
| 812-13937 | IC-30100 | Jun. 6, 2012 | Arrow Investment Advisers, LLC, et al. (Notice) |
| 812-13846 | IC-30096 | Jun. 5, 2012 | Van Eck VIP Trust, et al. (Order) |
| 812-13946 | IC-30093 | Jun. 1, 2012 | Federated Investment Management Company and Federated ETF Trust (Notice) |
| 812-14001 | IC-30092 | May 31, 2012 | Hennion & Walsh, Inc. and Smart Trust (Notice) |
| 813-194 | IC-30091 | May 31, 2012 | SK Private Investment Fund 1998 LLC et al. (Order) |
| 812-13574-01 | IC-30087 | May 30, 2012 | Destra Capital Investments LLC and Destra Unit Investment Trust (Order) |
| 812-13793 | IC-30070 | May 23, 2012 | Steel Partners Holdings L.P. (Order) |
| 812-13927 | IC-30069 | May 22, 2012 | Invesco Total Property Market Income Fund, et al. (Order) |
| 812-13868 | IC-30068 | May 22, 2012 | Northern Trust Investments, Inc., et al. (Order) |
| 812-13986 | IC-30067 | May 22, 2012 | GPS Funds I, et al. (Order) |
| 812-13627 | IC-30066 | May 21, 2012 | Praxis Mutual Funds, et al. (Order) |
| 812-13889 | IC-30065 | May 21, 2012 | Advisors Series Trust and Orinda Asset Management, LLC (Order) See also: Notice, Rel. No. IC-32302 |
| 812-13767 | IC-30064 | May 15, 2012 | Beverly Hills Bancorp Inc. (Order) |
| 812-13846 | IC-30063 | May 10, 2012 | Van Eck VIP Trust, et al. (Notice) |
| 812-13785 | IC-30061 | May 8, 2012 | Huntington Asset Advisors, Inc., et al. (Order) |
| 813-194 | IC-30060 | May 4, 2012 | SK Private Investment Fund 1998 LLC, et al. (Notice) |
| 812-13574-01 | IC-30059 | May 3, 2012 | Destra Capital Investments LLC and Destra Unit Investment Trust (Notice) |
| 812-13793 | IC-30056 | Apr. 27, 2012 | Steel Partners Holdings L.P. (Notice) |
| 812-13927 | IC-30055 | Apr. 26, 2012 | Invesco Total Property Market Income Fund, et al. (Notice) |
| 812-13778 | IC-30046 | Apr. 24, 2012 | Sunwest Rollover Member LLC (Order) |
| 812-13868 | IC-30045 | Apr. 24, 2012 | Northern Trust Investments, Inc., et al. (Notice) |
| 812-13986 | IC-30044 | Apr. 24, 2012 | GPS Funds I, et al. (Notice) |
| 812-13889 | IC-30043 | Apr. 23, 2012 | Advisors Series Trust and Orinda Asset Management, LLC (Notice) |
| 812-13627 | IC-30042 | Apr. 23, 2012 | Praxis Mutual Funds, et al. (Notice) |
| 813-228 | IC-30037 | Apr. 18, 2012 | Jefferies Employees Special Opportunities Partners, LLC, et al. (Order) |
| 812-13767 | IC-30036 | Apr. 18, 2012 | Beverly Hills Bancorp Inc. (Notice) |
| 812-13971 | IC-30035 | Apr. 17, 2012 | Domini Social Investment Trust and Domini Social Investments LLC (Order) |
| 812-14007 | IC-30033 | Apr. 10, 2012 | Capital Research and Management Company, et al. (Order) |
| 812-13785 | IC-30032 | Apr. 10, 2012 | Huntington Asset Advisors, Inc., et al. (Notice) |
| 812-13996 | IC-30031 | Apr. 10, 2012 | Forward Funds, et al. (Order) |
| 812-13955 | IC-30030 | Apr. 10, 2012 | Columbia Funds Master Investment Trust, LLC, et al. (Order) |
| 812-13795 | IC-30029 | Apr. 10, 2012 | First Trust Exchange-Traded Fund, et al. (Order) |
| 812-13313 | IC-30027 | Apr. 3, 2012 | Harris & Harris Group, Inc. (Order) |
| 812-13847 | IC-30024 | Mar. 30, 2012 | Ares Capital Corporation, Ares Capital Management LLC, and Ivy Hill Asset Management, L.P. (Order) |
| 812-13778 | IC-30014 | Mar. 29, 2012 | Sunwest Rollover Member LLC (Notice) |
| 812-13879 | IC-30012 | Mar. 27, 2012 | Fidus Investment Corporation, et al. (Order) |
| 812-13882 | IC-30011 | Mar. 27, 2012 | Kohlberg Capital Corporation (Order) |
| 812-13493 | IC-30010 | Mar. 27, 2012 | American Capital, Ltd., et al. (Order) |
| 812-13787 | IC-30009 | Mar. 26, 2012 | Medley Capital Corporation, et al. (Order) |
| 813-228 | IC-30007 | Mar. 23, 2012 | Jefferies Employees Special Opportunities Partners, LLC, et al. (Notice) |
| 812-13971 | IC-29984 | Mar. 21, 2012 | Domini Social Investment Trust and Domini Social Investments LLC (Notice) |
| 812-13795 | IC-29983 | Mar. 15, 2012 | First Trust Exchange-Traded Fund, et al. (Notice) |
| 812-13996 | IC-29982 | Mar. 15, 2012 | Forward Funds, et al. (Notice) |
| 812-14007 | IC-29981 | Mar. 14, 2012 | Capital Research and Management Company, et al. (Notice) |
| 812-13955 | IC-29980 | Mar. 13, 2012 | Columbia Funds Master Investment Trust, LLC, et al. (Notice) |
| 812-13962 | IC-29979 | Mar. 12, 2012 | Pacific Life Insurance Company, et al. (Order) |
| 812-13847 | IC-29977 | Mar. 9, 2012 | Ares Capital Corporation et al. (Notice) |
| 812-13313 | IC-29976 | Mar. 7, 2012 | Harris & Harris Group, Inc. (Notice) |
| 812-13882 | IC-29975 | Mar. 5, 2012 | Kohlberg Capital Corporation (Notice) |
| 812-13879 | IC-29974 | Mar. 1, 2012 | Fidus Investment Corporation, et al. (Notice) |
| 812-13493 | IC-29973 | Mar. 1, 2012 | American Capital, Ltd., et al. (Notice) |
| 812-13634 | IC-29972 | Feb. 28, 2012 | Rand Capital Corporation, et al. (Order) |
| 812-13983 | IC-29971 | Feb. 28, 2012 | DoubleLine Funds Trust, et al. (Order) |
| 812-13950 | IC-29970 | Feb. 28, 2012 | Henderson Global Funds et al. (Order) |
| 812-13787 | IC-29968 | Feb. 27, 2012 | Medley Capital Corporation, et al. (Notice) |
| 812-13982 | IC-29967 | Feb. 27, 2012 | Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Order) |
| 812-13965 | IC-29951 | Feb. 22, 2012 | Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Order) |
| 812-13994 | IC-29952 | Feb. 22, 2012 | GE Asset Management Incorporated, et al.(Order) |
| 812-13921 | IC-29949 | Feb. 21, 2012 | Incapital LLC and Incapital Unit Trust (Order) |
| 812-13903 | IC-29947 | Feb. 14, 2012 | New York Life Insurance and Annuity Corporation, et al. (Corrected Order) |
| 812-13804 | IC-29946 | Feb. 14, 2012 | Main Street Capital Corporation, et al. (Order) |
| 812-13962 | IC-29944 | Feb. 13, 2012 | Pacific Life Insurance Company, et al. (Notice) |
| 812-13983 | IC-29943 | Feb. 2, 2012 | DoubleLine Capital LP and DoubleLine Funds Trust (Notice) |
| 812-13950 | IC-29942 | Feb. 1, 2012 | Henderson Global Funds, et al. (Notice) |
| 812-13634 | IC-29941 | Feb. 1, 2012 | Rand Capital Corporation, et al. (Notice) |
| 812-13857 | IC-29940 | Feb. 1, 2012 | Central Securities Corporation (Order) |
| 812-13982 | IC-29939 | Jan. 30, 2012 | Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Notice) |
| 812-13965 | IC-29937 | Jan. 26, 2012 | Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Notice) |
| 812-13994 | IC-29926 | Jan. 24, 2012 | GE Asset Management Incorporated, et al. (Notice) |
| 812-13781 | IC-29925 | Jan. 24, 2012 | Cantilever Capital, LLC and Cantilever Group, LLC (Order) |
| 812-13921 | IC-29924 | Jan. 24, 2012 | Incapital LLC and Incapital Unit Trust (Notice) |
| 812-13903 | IC-29923 | Jan. 19, 2012 | New York Life Insurance and Annuity Corporation, et al. (Corrected Notice) |
| 812-13804 | IC-29922 | Jan. 17, 2012 | Main Street Capital Corporation, et al. (Notice) |
| 812-13777 | IC-29921 | Jan. 17, 2012 | Rio Tinto plc et al. (Order) |
| 812-13478 | IC-29918 | Jan. 17, 2012 | Highland Capital Management, L.P. et al. (Order) |
| 812-13930 | IC-29916 | Jan. 10, 2012 | American Century Strategic Asset Allocations, Inc. (Order) |
| 812-13857 | IC-29915 | Jan. 6, 2012 | Central Securities Corporation (Notice) |
| 812-13952 | IC-29914 | Jan. 4, 2012 | Seasons Series Trust, et al. (Order) |
2011 | |||
| File No. | Release No. | Date | Investment Company |
| 812-13781 | IC-29896 | Dec. 29, 2011 | Cantilever Capital, LLC and Cantilever Group, LLC (Notice) |
| 812-13939 | IC-29892 | Dec. 21, 2011 | AllianceBernstein Cap Fund, Inc., et al. (Order) |
| 812-13478 | IC-29890 | Dec. 19, 2011 | Highland Capital Management, L.P., et al. (Notice) |
| 812-13777 | IC-29889 | Dec. 19, 2011 | Rio Tinto plc and Rio Tinto Limited (Notice) |
| 812-13935 | IC-29888 | Dec. 19, 2011 | Genesis Capital, LLC and Northern Lights Fund Trust (Order) |
| 812-13621 | IC-29885 | Dec. 14, 2011 | John Hancock Variable Insurance Trust, et al. (Order) |
| 812-13929 | IC-29884 | Dec. 14, 2011 | SEI Investments Management Corporation et al. (Order) |
| 812-13930 | IC-29883 | Dec. 13, 2011 | American Century Strategic Asset Allocations, Inc., et al. (Notice) |
| 812-13936 | IC-29882 | Dec. 13, 2011 | Bandon Capital Management, LLC and Northern Lights Fund Trust (Order) |
| 812-13987 | IC-29881 | Dec. 9, 2011 | Wells Fargo Bank, N.A. (Notice and Temporary Order) |
| 812-13944 | IC-29880 | Dec. 8, 2011 | The Singapore Fund, Inc. (Order) |
| 812-13952 | IC-29879 | Dec. 8, 2011 | Seasons Series Trust, et al. (Notice) |
| 812-13939 | IC-29876 | Nov. 29, 2011 | AllianceBernstein Cap Fund, Inc., et al. (Notice) |
| 813-377 | IC-29869 | Nov. 22, 2011 | Citadel LLC, et al. (Order) |
| 812-13935 | IC-29867 | Nov. 21, 2011 | Genesis Capital, LLC and Northern Lights Fund Trust (Notice) |
| 812-13929 | IC-29866 | Nov. 18, 2011 | SEI Investments Management Corporation, et al. (Notice) |
| 812-13621 | IC-29865 | Nov. 18, 2011 | John Hancock Variable Insurance Trust, et al. (Notice) |
| 812-13936 | IC-29864 | Nov. 17, 2011 | Bandon Capital Management, LLC and Northern Lights Fund Trust (Notice) |
| 812-13755 | IC-29863 | Nov. 17, 2011 | RiverPark Advisors, LLC, et al. (Order) |
| 812-13695 | IC-29860 | Nov. 10, 2011 | NGP Capital Resources Company, et al. (Order) |
| 812-13830 | IC-29852 | Oct. 28, 2011 | Global X Funds, et al. (Order) |
| 813-377 | IC-29851 | Oct. 27, 2011 | Citadel LLC, et al. (Notice) |
| 812-13922 | IC-29850 | Oct. 26, 2011 | Incapital LLC, et al. (Order) |
| 812-13606 | IC-29849 | Oct. 26, 2011 | MFS Series Trust I, et al. (Order) |
| 812-13869 | IC-29843 | Oct. 25, 2011 | Principal Funds, Inc., et al. (Order) |
| 812-13575 | IC-29842 | Oct. 25, 2011 | Destra Capital Investments LLC and Destra Unit Investment Trust (Order) |
| 812-13755 | IC-29840 | Oct. 19, 2011 | RiverPark Advisors, LLC, et al. (Notice) |
| 812-13893 | IC-29839 | Oct. 18, 2011 | Fifth Third Funds and Fifth Third Asset Management, Inc. (Order) |
| 812-13943 | IC-29838 | Oct. 18, 2011 | DFA Investment Dimensions Group Inc., et al. (Order) |
| 812-13866 | IC-29837 | Oct. 17, 2011 | ASGI Agility Income Fund, et al. (Order) |
| 812-13855 | IC-29836 | Oct. 17, 2011 | Curian Series Trust and Curian Capital, LLC (Order) |
| 812-13892 | IC-29835 | Oct. 12, 2011 | Legg Mason Partners Equity Trust, et al. (Order) |
| 812-13867 | IC-29834 | Oct. 12, 2011 | Stone Harbor Emerging Markets Income Fund, et al. (Order) |
| 812-13891 | IC-29833 | Oct. 12, 2011 | Investment Managers Series Trust, et al. (Order) |
| 812-13890 | IC-29832 | Oct. 12, 2011 | Highland Capital Management, L.P., et al. (Order) |
| 812-13695 | IC-29831 | Oct. 7, 2011 | NGP Capital Resources Company, et al. (Notice) |
| 812-13931 | IC-29830 | Oct. 4, 2011 | Stone Harbor Investment Partners LP, et al. (Order) |
| 812-13830 | IC-29829 | Sep. 30, 2011 | Global X Funds, et al. (Notice) |
| 812-13922 | IC-29828 | Sep. 30, 2011 | Incapital LLC, et al. (Notice) |
| 812-13606 | IC-29827 | Sep. 30, 2011 | MFS Series Trust I, et al. (Notice) |
| 812-13575 | IC-29825 | Sep. 29, 2011 | Destra Capital Investments LLC and Destra Unit Investment Trust (Notice) |
| 812-13869 | IC-29824 | Sep. 29, 2011 | Principal Funds, Inc., et al. (Notice) |
| 812-13876 | IC-29821 | Sep. 27, 2011 | Horizon Technology Finance Corporation, et al. (Order) |
| 812-13943 | IC-29820 | Sep. 22, 2011 | DFA Investment Dimensions Group Inc., et al. (Notice) |
| 812-13893 | IC-29819 | Sep. 22, 2011 | Fifth Third Funds and Fifth Third Asset Management, Inc. (Notice) |
| 812-13944 | IC-29817 | Sep. 22, 2011 | The Singapore Fund, Inc. (Notice)
Comments received are available. |
| 812-13855 | IC-29794 | Sep. 19, 2011 | Curian Series Trust and Curian Capital, LLC (Notice) |
| 812-13866 | IC-29793 | Sep. 19, 2011 | ASGI Agility Income Fund, et al. (Notice) |
| 812-13867 | IC-29791 | Sep. 16, 2011 | Stone Harbor Emerging Markets Income Fund, et al. (Notice) |
| 812-13890 | IC-29790 | Sep. 15, 2011 | Highland Capital Management, L.P., et al. (Notice) |
| 812-13892 | IC-29789 | Sep. 15, 2011 | Legg Mason Partners Equity Trust, et al. (Notice) |
| 812-13891 | IC-29787 | Sep. 13, 2011 | Investment Managers Series Trust, et al. (Notice) |
| 812-13794 | IC-29786 | Sep. 13, 2011 | Golub Capital BDC, Inc., et al. (Order) |
| 812-13862 | IC-29785 | Sep. 12, 2011 | Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Order) |
| 812-13931 | IC-29784 | Sep. 7, 2011 | Stone Harbor Investment Partners LP, et al. (Notice) |
| 812-13883 | IC-29783 | Sep. 7, 2011 | Pax World Funds Series Trust I, et al. (Order) |
| 812-13773 | IC-29782 | Sep. 6, 2011 | Northern Trust Investments, Inc., et al. (Order) |
| 812-13876 | IC-29777 | Aug. 31, 2011 | Horizon Technology Finance Corporation, et al. (Notice) |
| 812-13853 | IC-29774 | Aug. 30, 2011 | American Capital, Ltd. (Order) |
| 812-13860 | IC-29773 | Aug. 30, 2011 | RidgeWorth Funds et al. (Order) |
| 812-13916 | IC-29769 | Aug. 24, 2011 | BofA Funds Series Trust, et al. (Order) |
| 812-13863 | IC-29757 | Aug. 16, 2011 | Northern Lights Variable Trust, et al. (Order) |
| 812-13794 | IC-29756 | Aug. 16, 2011 | Golub Capital BDC, Inc., et al. (Notice) |
| 812-13862 | IC-29755 | Aug. 16, 2011 | Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Notice) |
| 812-13909 | IC-29754 | Aug. 16, 2011 | ING Asia Pacific High Dividend Equity Income Fund et al. (Order) |
| 812-13910 | IC-29753 | Aug. 15, 2011 | BAC Home Loans Servicing, LP, et al. (Order) |
| 812-13773 | IC-29752 | Aug. 10, 2011 | Northern Trust Investments, Inc., et al. (Notice) |
| 812-13883 | IC-29751 | Aug. 10, 2011 | Pax World Funds Series Trust I, et al. (Notice) |
| 812-13143 | IC-29750 | Aug. 8, 2011 | HighMark Funds and HighMark Capital Management, Inc. (Order) |
| 812-13919 | IC-29749 | Aug. 8, 2011 | J.P. Morgan Securities LLC, et al. (Order) |
| 812-13741 | IC-29747 | Aug. 5, 2011 | FQF Trust, et al. (Order) |
| 812-13853 | IC-29744 | Aug. 3, 2011 | American Capital, Ltd. (Notice) |
| 812-13860 | IC-29743 | Aug. 3, 2011 | RidgeWorth Funds et al. (Notice) |
| 812-13885 | IC-29742 | Aug. 2, 2011 | WNC Tax Credits 40, LLC, et al. (Order) |
| 812-13916 | IC-29741 | Aug. 1, 2011 | BofA Funds Series Trust, et al. (Notice) |
| 812-13834 | IC-29738 | Jul. 26, 2011 | Sterling Capital Funds and Sterling Capital Management LLC (Order) |
| 812-13914 | IC-29737 | Jul. 26, 2011 | J.P. Morgan Securities LLC, et al. (Order) |
| 812-13896 | IC-29736 | Jul. 22, 2011 | Harris & Harris Group, Inc. (Certification) |
| 812-13909 | IC-29735 | Jul. 21, 2011 | ING Asia Pacific High Dividend Equity Income Fund, et al. (Notice) |
| 812-13863 | IC-29729 | Jul. 19, 2011 | Northern Lights Variable Trust, et. al. (Notice) |
| 812-13831 | IC-29728 | Jul. 19, 2011 | TIAA-CREF Funds, et al. (Order) |
| 812-13815 | IC-29727 | Jul. 19, 2011 | Russell Exchange Traded Funds Trust, et al. (Order) |
| 812-13910 | IC-29726 | Jul. 18, 2011 | BAC Home Loans Servicing, LP, et al. (Notice and Temporary Order) |
| 812-13143 | IC-29723 | Jul. 12, 2011 | HighMark Funds and HighMark Capital Management, Inc. (Notice) |
| 812-13843 | IC-29721 | Jul. 12, 2011 | HighMark Funds, et al. (Order) |
| 812-13741 | IC-29720 | Jul. 11, 2011 | FQF Trust, et al. (Notice) |
| 812-13919 | IC-29719 | Jul. 11, 2011 | J.P. Morgan Securities LLC, et al. (Notice) |
| 812-13865 | IC-29717 | Jul. 7, 2011 | COUNTRY Investors Life Assurance Company, et al. (Order) |
| 812-13821 | IC-29716 | Jul. 6, 2011 | Allianz Life Insurance Company of North America, et al. (Order) |
| 812-13885 | IC-29715 | Jul. 6, 2011 | WNC Tax Credits 40, LLC, et al. (Notice) |
| 812-13834 | IC-29713 | Jul. 1, 2011 | Sterling Capital Funds and Sterling Capital Management LLC (Notice) |
| 812-13818 | IC-29712 | Jul. 1, 2011 | Precidian ETFs Trust, et al. (Order) |
| 812-13914 | IC-29711 | Jun. 29, 2011 | J.P. Morgan Securities LLC, et al. (Notice) |
| 812-13851 | IC-29710 | Jun. 28, 2011 | Altegris Advisors, L.L.C. and Northern Lights Fund Trust (Order) |
| 812-13791 | IC-29709 | Jun. 28, 2011 | TIAA-CREF Life Insurance Company, et al. (Order) |
| 812-13831 | IC-29707 | Jun. 24, 2011 | TIAA-CREF Funds, et al. (Notice) |
| 812-13815 | IC-29706 | Jun. 22, 2011 | Russell Exchange Traded Funds Trust, et al. (Notice) |
| 812-13843 | IC-29694 | Jun. 16, 2011 | Highmark Funds, et al. (Notice) |
| 812-13821 | IC-29693 | Jun. 10, 2011 | Allianz Life Insurance Company of North America, et al. (Notice) |
| 812-13818 | IC-29692 | Jun. 9, 2011 | Precidian ETFs Trust, et al. (Notice) |
| 812-13865 | IC-29691 | Jun. 9, 2011 | COUNTRY Investors Life Assurance Company, et al. (Notice) |
| 812-13902 | IC-29690 | Jun. 6, 2011 | UBS AG, et al. (Order) |
| 812-13851 | IC-29689 | Jun. 1, 2011 | Altegris Advisors, L.L.C. and Northern Lights Fund Trust (Notice) |
| 812-13910 | IC-29688 | Jun. 1, 2011 | BAC Home Loans Servicing, LP, et al. (Temporary Order) |
| 812-13791 | IC-29687 | Jun. 1, 2011 | TIAA-CREF Life Insurance Company, et al. (Notice) |
| 812-13772 | IC-29686 | Jun. 1, 2011 | PennantPark Investment Corporation, et al. (Order) |
| 812-13736 | IC-29675 | May 24, 2011 | HighMark Capital Management Inc., et al. (Order) |
| 812-13669 | IC-29671 | May 16, 2011 | Russell Investment Management Company, et al. (Order) |
| 812-13902 | IC-29666 | May 9, 2011 | UBS AG, et al. (Notice and Temporary Order) |
| 812-13772 | IC-29665 | May 6, 2011 | PennantPark Investment Corporation, et al. (Notice) |
| 812-13870 | IC-29664 | May 3, 2011 | Russell Investment Company, et al. (Order) |
| 812-13806 | IC-29662 | Apr. 29, 2011 | National Life Insurance Company, et al. (Order) |
| 812-13854 | IC-29661 | Apr. 26, 2011 | Fairholme VP Series Fund, Inc. et al. (Order) |
| 812-13736 | IC-29660 | Apr. 26, 2011 | HighMark Capital Management, Inc., et al. (Notice) |
| 812-13841 | IC-29658 | Apr. 25, 2011 | Jackson National Life Insurance Company, et al. (Order) |
| 812-13842 | IC-29656 | Apr. 21, 2011 | American Family Life Insurance Company, et al. (Order) |
| 812-13669 | IC-29655 | Apr. 20, 2011 | Russell Investment Management Company, et al. (Notice) |
| 812-13801 | IC-29629 | Apr. 19, 2011 | Simple Alternatives, LLC (Order) |
| 812-13806 | IC-29627 | Apr. 7, 2011 | National Life Insurance Company, et al. (Notice) |
| 812-13870 | IC-29623 | Apr. 6, 2011 | Russell Investment Company, et al. (Notice) |
| 812-13841 | IC-29621 | Mar. 31, 2011 | Jackson National Life Insurance Company, et al. (Notice) |
| 812-13759 | IC-29620 | Mar. 30, 2011 | Eaton Vance Management, et al. (Order) |
| 812-13854 | IC-29619 | Mar. 28, 2011 | Fairholme VP Series Fund, Inc. et al. (Notice) |
| 812-13842 | IC-29617 | Mar. 24, 2011 | American Family Life Insurance Company, et al. (Notice) |
| 812-13801 | IC-29616 | Mar. 24, 2011 | Simple Alternatives, LLC and The RBB Fund, Inc. (Notice) |
| 812-13791 | IC-29600 | Mar. 22, 2011 | TIAA-CREF Life Insurance Company, et al. (Notice) |
| 813-361 | IC-29597 | Mar. 8, 2011 | Riverside Casualty, Inc. (Order) |
| 813-353 | IC-29596 | Mar. 8, 2011 | Capital International, Inc. (Order) |
| 812-13759 | IC-29591 | Mar. 1, 2011 | Eaton Vance Management, et al. (Notice) |
| 813-353 | IC-29577 | Feb. 10, 2011 | Capital International, Inc., et al. (Notice) |
| 813-361 | IC-29576 | Feb. 8, 2011 | Riverside Casualty, Inc. (Notice) |
| 812-13601 | IC-29571 | Jan. 24, 2011 | iShares Trust et al. (Order) |
| 812-13816 | IC-29570 | Jan. 24, 2011 | MetLife Insurance Company of Connecticut, et al. (Order) |
2010 | |||
| File No. | Release No. | Date | Investment Company |
| 812-13839 | IC-29546 | Dec. 30, 2010 | Nuveen Asset Management, et al. (Order) |
| 812-13780 | IC-29545 | Dec. 29, 2010 | American United Life Insurance Company, et al. (Order) |
| 812-13816 | IC-29544 | Dec. 28, 2010 | MetLife Insurance Company of Connecticut, et al. (Notice) |
| 812-13601 | IC-29543 | Dec. 27, 2010 | iShares Trust et al. (Notice) |
| 812-13698 | IC-29526 | Dec. 14, 2010 | Fifth Street Finance Corp., et al. (Order) |
| 812-13774 | IC-29525 | Dec. 14, 2010 | ETSpreads, LLC, et al. (Order) |
| 812-13487 | IC-29524 | Dec. 13, 2010 | SSgA Funds Management, Inc., et al. (Order) |
| 812-13839 | IC-29522 | Dec. 8, 2010 | Nuveen Asset Management, et al. (Notice) |
| 812-13780 | IC-29521 | Nov. 30, 2010 | American United Life Insurance Company, et al. (Notice) |
| 812-13648 | IC-29505 | Nov. 22, 2010 | Nationwide Life Insurance Company, et al. (Order) |
| 812-13774 | IC-29501 | Nov. 18, 2010 | ETSpreads, LLC, et al. (Notice) |
| 812-13698 | IC-29500 | Nov. 18, 2010 | Fifth Street Finance Corp., et al. (Notice) |
| 812-13487 | IC-29499 | Nov. 17, 2010 | SSgA Funds Management, Inc., et al. (Notice) |
| 812-13808 | IC-29498 | Nov. 15, 2010 | Citigroup Global Markets Inc., et al. (Order) |
| 812-13605 | IC-29496 | Nov. 3, 2010 | Van Eck Associates Corporation, et al. (Order) |
| 812-13657 | IC-29494 | Nov. 2, 2010 | Claymore Exchange-Traded Fund Trust, et al. (Order) |
| 812-13582 | IC-29492 | Oct. 27, 2010 | Dolby Laboratories, Inc. (Order) |
| 812-13769 | IC-29491 | Oct. 26, 2010 | Capital Southwest Corporation (Order) |
| 812-13624 | IC-29490 | Oct. 26, 2010 | Van Eck Associates Corporation, et al. (Order) |
| 813-358 | IC-29489 | Oct. 26, 2010 | RIEF RMP LLC and Renaissance Technologies LLC (Order) |
| 812-13770 | IC-29488 | Oct. 26, 2010 | Highland Capital Management, L.P. and Highland Funds I (Order) |
| 812-13786 | IC-29487 | Oct. 26, 2010 | Northern Lights Fund Trust, et al. (Order) |
| 812-13648 | IC-29486 | Oct. 25, 2010 | Nationwide Life Insurance Company, et al. (Notice) |
| 813-373 | IC-29485 | Oct. 25, 2010 | Elfun Trusts, et al. (Order) |
| 812-13765 | IC-29484 | Oct. 25, 2010 | Jackson National 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) |
| 812-13771 | IC-29482 | Oct. 22, 2010 | Triangle Capital Corporation, et al. (Order) |
| 812-13808 | IC-29464 | Oct. 19, 2010 | Citigroup Global Markets Inc., et al. (Notice) |
| 812-13714 | IC-29460 | Oct. 8, 2010 | American Capital, Ltd. (Order) |
| 812-13605 | IC-29459 | Oct. 7, 2010 | Van Eck Associates Corporation, et al. (Notice) |
| 812-13657 | IC-29458 | Oct. 7, 2010 | Claymore Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13465 | IC-29457 | Oct. 5, 2010 | Tri-Continental Corporation, et al. (Order) |
| 812-13624 | IC-29455 | Oct. 1, 2010 | Van Eck Associates Corporation, et al. (Notice) |
| 812-13582 | IC-29454 | Oct. 1, 2010 | Dolby Laboratories, Inc. (Notice) |
| 812-13771 | IC-29453 | Sep. 30, 2010 | Triangle Capital Corporation, et al. (Notice) |
| 812-13786 | IC-29452 | Sep. 30, 2010 | Northern Lights Fund Trust, et al. (Notice) |
| 812-13769 | IC-29450 | Sep. 29, 2010 | Capital Southwest Corporation (Notice) |
| 813-359 | IC-29449 | Sep. 29, 2010 | Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Order) |
| 812-13661 | IC-29447 | Sep. 28, 2010 | Transamerica Asset Management, Inc., et al. (Order) |
| 813-358 | IC-29446 | Sep. 28, 2010 | RIEF RMP LLC and Renaissance Technologies LLC (Notice) |
| 812-13770 | IC-29445 | Sep. 27, 2010 | Highland Capital Management, L.P. and Highland Funds I (Notice) |
| 812-13708 | IC-29444 | Sep. 27, 2010 | American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company (Notice) |
| 812-13775 | IC-29443 | Sep. 27, 2010 | Aston Funds, et al. (Order) |
| 812-13765 | IC-29442 | Sep. 27, 2010 | Jackson National Life Insurance Company, et al. (Notice) |
| 813-373 | IC-29441 | Sep. 27, 2010 | Elfun Trusts, et al. (Notice) |
| 812-13763 | IC-29418 | Sep. 21, 2010 | The Integrity Funds, et al. (Order) |
| 812-13714 | IC-29416 | Sep. 14, 2010 | American Capital, Ltd. (Notice) |
| 812-13465 | IC-29415 | Sep. 10, 2010 | Tri-Continental Corporation, et al. (Notice) |
| 812-13733 | IC-29412 | Sep. 8, 2010 | WisdomTree Asset Management Inc., et al. (Order) |
| 812-13661 | IC-29410 | Sep. 3, 2010 | Transamerica Asset Management, Inc., et al. (Notice) |
| 813-359 | IC-29409 | Sep. 3, 2010 | Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Notice) |
| 812-13623 | IC-29407 | Aug. 31, 2010 | Kohlberg Capital Corporation (Order) |
| 813-375 | IC-29406 | Aug. 31, 2010 | Blackstone Group, L.P. (Order) |
| 812-13775 | IC-29400 | Aug. 26, 2010 | Aston Funds, et al. (Notice) |
| 812-13763 | IC-29399 | Aug. 25, 2010 | The Integrity Funds, et al. (Notice) |
| 812-13709-01 | IC-29386 | Aug. 25, 2010 | Millington Securities, Inc., et al. (Order) |
| 812-13807 | IC-29385 | Aug. 25, 2010 | GE Asset Management Incorporated, et al. (Order) |
| 812-13751 | IC-29383 | Aug. 23, 2010 | Virtus Opportunities Trust, et al. (Order) |
| 812-13796 | IC-29382 | Aug. 18, 2010 | Goldman, Sachs & Co., et al. (Order) |
| 812-13707 | IC-29381 | Aug. 18, 2010 | Northern Funds, et al. (Order) |
| 812-13733 | IC-29380 | Aug. 13, 2010 | WisdomTree Asset Management Inc, et al. (Notice) |
| 812-13743 | IC-29379 | Aug. 10, 2010 | Federated Enhanced Treasury Income Fund, et al. (Order) |
| 813-375 | IC-29378 | Aug. 5, 2010 | The Blackstone Group, L.P. (Notice) |
| 812-13623 | IC-29376 | Aug. 3, 2010 | Kohlberg Capital Corporation (Notice) |
| 812-13709-01 | IC-29375 | Jul. 30, 2010 | Millington Securities, Inc., et al. (Notice) |
| 812-13807 | IC-29374 | Jul. 30, 2010 | GE Asset Management Incorporated and GE Investment Distributors, Inc. (Notice and Temporary Order) |
| 812-13686 | IC-29372 | Jul. 29, 2010 | AXA Equitable Life Insurance Company, et al. (Order) |
| 812-13751 | IC-29370 | Jul. 27, 2010 | Virtus Opportunities Trust, et al. (Notice) |
| 812-13756 | IC-29369 | Jul. 27, 2010 | Nationwide Life Insurance Company, et. al. (Order) |
| 812-13707 | IC-29368 | Jul. 23, 2010 | Northern Funds, et al. (Notice) |
| 812-13796 | IC-29366 | Jul. 21, 2010 | Goldman, Sachs & Co., et al. (Notice and Temporary Order) |
| 812-13218 | IC-29344 | Jul. 21, 2010 | Lazard Global Total Return and Income Fund, Inc., et al. (Order) |
| 812-13752 | IC-29343 | Jul. 20, 2010 | Korea Finance Corporation (Order) |
| 812-13713 | IC-29342 | Jul. 15, 2010 | Pruco Life Insurance Company, et. al. (Order) |
| 812-13743 | IC-29341 | Jul. 14, 2010 | Federated Enhanced Treasury Income Fund, et al. (Notice) |
| 812-13539 | IC-29339 | Jul. 7, 2010 | DWS Advisor Funds, et al. (Order) |
| 812-13686 | IC-29338 | Jul. 7, 2010 | AXA Equitable Life Insurance Company, et al. (Notice) |
| 812-13756 | IC-29337 | Jul. 2, 2010 | Nationwide Life Insurance Company, et. al. (Notice) |
| 812-13706 | IC-29336 | Jun. 30, 2010 | EQ Advisors Trust, et al. (Order) |
| 812-13748 | IC-29335 | Jun. 29, 2010 | FFCM, LLC and FQF Trust (Order) |
| 812-13752 | IC-29332 | Jun. 25, 2010 | Korea Finance Corporation (Notice) |
| 812-13218 | IC-29331 | Jun. 24, 2010 | Lazard Global Total Return and Income Fund, Inc., et al. (Notice) |
| 812-13716 | IC-29303 | Jun. 22, 2010 | Hercules Technology Growth Capital, Inc. (Order) |
| 812-13713 | IC-29302 | Jun. 18, 2010 | Pruco Life Insurance Company, et. al. (Notice) |
| 812-13745 | IC-29297 | Jun. 14, 2010 | Kinetics Mutual Funds, Inc., et al. (Order) |
| 812-13539 | IC-29295 | Jun. 9, 2010 | DWS Advisor Funds, et al. (Notice) |
| 812-13706 | IC-29294 | Jun. 4, 2010 | EQ Advisors Trust, et al. (Notice) |
| 812-13710 | IC-29293 | Jun. 3, 2010 | Jackson National Life Insurance Company of New York, et al. (Order) |
| 812-13748 | IC-29292 | Jun. 2, 2010 | FFCM, LLC and FQF Trust (Notice) |
| 812-13677 | IC-29291 | May 28, 2010 | AdvisorShares Investments, LLC and AdvisorShares Trust (Order) |
| 812-13768 | IC-29289 | May 28, 2010 | Harris & Harris Group, Inc. (Certification) |
| 812-13716 | IC-29287 | May 26, 2010 | Hercules Technology Growth Capital, Inc. (Notice) |
| 812-13534 | IC-29271 | May 18, 2010 | Claymore Exchange-Traded Fund Trust 3 et al. (Order) |
| 812-13745 | IC-29270 | May 17, 2010 | Kinetics Mutual Funds, Inc., et al. (Notice) |
| 812-13702 | IC-29269 | May 17, 2010 | Pax World Funds Trust II, et al. (Order) |
| 812-13718 | IC-29268 | May 17, 2010 | Calvert Social Investment Fund, et al. (Order) |
| 812-13651 | IC-29267 | May 12, 2010 | Northern Lights Fund Trust, et al. (Order) |
| 812-13710 | IC-29265 | May 10, 2010 | Jackson National Life Insurance Company of New York, et al. (Notice) |
| 812-13677 | IC-29264 | May 6, 2010 | AdvisorShares Investments, LLC and AdvisorShares Trust (Notice) |
| 812-13703 | IC-29262 | Apr. 30, 2010 | Jackson National Life Insurance Company, et al. (Order) |
| 812-13687 | IC-29260 | Apr. 27, 2010 | WNC Tax Credits 38, LLC, et al. (Order) |
| 812-13727 | IC-29259 | Apr. 27, 2010 | Pioneer Bond Fund, et al. (Order) |
| 812-13667 | IC-29258 | Apr. 26, 2010 | Medallion Financial Corp. (Order) |
| 812-13702 | IC-29257 | Apr. 26, 2010 | Pax World Funds Trust II, et al. (Notice) |
| 812-13534 | IC-29256 | Apr. 23, 2010 | Claymore Exchange-Traded Fund Trust 3 et al. (Notice) |
| 812-13681 | IC-29255 | Apr. 21, 2010 | Legg Mason Partners Equity Trust, et al. (Order) |
| 812-13058-06 | IC-29213 | Apr. 20, 2010 | RMR Real Estate Income Fund, et al. (Order) |
| 812-13685 | IC-29212 | Apr. 20, 2010 | Rydex Series Funds, et al. (Order) |
| 812-13700 | IC-29211 | Apr. 20, 2010 | MetLife Insurance Company of Connecticut, et al. (Order) |
| 812-13694 | IC-29210 | Apr. 20, 2010 | MCG Capital Corporation (Order) |
| 812-13718 | IC-29209 | Apr. 19, 2010 | Calvert Social Investment Fund, et al. (Notice) |
| 812-13651 | IC-29208 | Apr. 16, 2010 | Northern Lights Fund Trust, et al. (Notice) |
| 812-13753 | IC-29206 | Apr. 9, 2010 | SeaCo Ltd. (Order) |
| 812-13703 | IC-29205 | Apr. 7, 2010 | Jackson National Life Insurance Company, et al. (Notice) |
| 812-13690 | IC-29204 | Apr. 7, 2010 | Integrity Life Insurance Company, et al (Order) |
| 812-13687 | IC-29202 | Apr. 2, 2010 | WNC Tax Credits 38, LLC, et al. (Notice) |
| 812-13667 | IC-29201 | Apr. 1, 2010 | Medallion Financial Corp. (Notice) |
| 812-13727 | IC-29198 | Mar. 31, 2010 | Pioneer Bond Fund, et al. (Notice) |
| 812-13732 | IC-29197 | Mar. 31, 2010 | Lincoln Investment Advisors Corporation, et al. (Order) |
| 812-13660 | IC-29196 | Mar. 31, 2010 | Lincoln Variable Insurance Products Trust, et al. (Order) |
| 812-13676 | IC-29195 | Mar. 30, 2010 | The Chile Fund, et al. (Order) |
| 812-13749 | IC-29194 | Mar. 30, 2010 | The Chile Fund, Inc. (Order) |
| 812-13681 | IC-29192 | Mar. 26, 2010 | Legg Mason Partners Equity Trust, et al. (Notice) |
| 812-13694 | IC-29191 | Mar. 25, 2010 | MCG Capital Corporation (Notice) |
| 812-13700 | IC-29190 | Mar. 25, 2010 | MetLife Insurance Company of Connecticut, et al. (Notice) |
| 812-13161-01 | IC-29189 | Mar. 24, 2010 | First Trust/Aberdeen Global Opportunity Income Fund, et al. (Order) |
| 812-13685 | IC-29179 | Mar. 23, 2010 | Rydex Series Funds, et al. (Notice) |
| 812-13058-06 | IC-29178 | Mar. 23, 2010 | RMR Real Estate Income Fund, et al. (Notice) |
| 812-13595 | IC-29177 | Mar. 22, 2010 | Millington Securities, Inc., et al. (Order) |
| 812-13753 | IC-29176 | Mar. 17, 2010 | SeaCo Ltd. (Notice) |
| 812-13570 | IC-29172 | Mar. 10, 2010 | iShares Trust et al. (Order) |
| 812-13690 | IC-29171 | Mar. 10, 2010 | Integrity Life Insurance Company, et al (Notice) |
| 812-13732 | IC-29170 | Mar. 9, 2010 | Lincoln Investment Advisors Corporation, et al. (Notice) |
| 812-13749 | IC-29169 | Mar. 8, 2010 | The Chile Fund, Inc. (Notice) |
| 812-13660 | IC-29168 | Mar. 5, 2010 | Lincoln Variable Insurance Products Trust, et al. (Notice) |
| 812-13676 | IC-29167 | Mar. 2, 2010 | The Chile Fund, et al. (Notice) |
| 812-13658-01 | IC-29164 | Mar. 1, 2010 | U.S. One, Inc. and U.S. One Trust (Order) |
| 812-13161-01 | IC-29163 | Feb. 26, 2010 | First Trust/Aberdeen Global Opportunity Income Fund, et al. (Notice) |
| 812-13595 | IC-29160 | Feb. 25, 2010 | Millington Securities, Inc., et al. (Notice) |
| 812-13746 | IC-29133 | Feb. 23, 2010 | Assurant, Inc., et al. (Order) |
| 812-13559 | IC-29130 | Feb. 22, 2010 | ShariahShares Exchange-Traded Fund Trust, et al. (Order) |
| 812-13570 | IC-29129 | Feb. 16, 2010 | iShares Trust et al. (Notice) |
| 812-13658-01 | IC-29128 | Feb. 2, 2010 | U.S. One, Inc. and U.S. One Trust (Notice) |
| 812-13559 | IC-29127 | Jan. 29, 2010 | ShariahShares Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13746 | IC-29125 | Jan. 26, 2010 | Assurant, Inc., et al. (Notice) |
| 812-13549 | IC-29124 | Jan. 26, 2010 | MetLife, Inc. et al. (Order) |
| 812-13728 | IC-29110 | Jan. 12, 2010 | Investools Inc., et al. (Order) |
| 812-13678 | IC-29109 | Jan. 12, 2010 | Cash Account Trust, et al. (Order) |
2009 | |||
| File No. | Release No. | Date | Investment Company |
| 812-13549 | IC-29101 | Dec. 30, 2009 | MetLife, Inc., et al. (Notice) |
| 812-13640 | IC-29100 | Dec. 29, 2009 | PNC Bank, National Association (Order) |
| 812-13653 | IC-29099 | Dec. 29, 2009 | Madison Asset Management, LLC, et al. (Order) |
| 812-13712 | IC-29097 | Dec. 23, 2009 | Strategic Funds, Inc., et al. (Order) |
| 812-13654-01 | IC-29096 | Dec. 22, 2009 | Members Mutual Funds, et al. (Order) |
| 812-13678 | IC-29094 | Dec. 16, 2009 | Cash Account Trust, et al. (Notice) |
| 812-13728 | IC-29093 | Dec. 16, 2009 | Investools Inc., et al. (Notice and Temporary Order) |
| 812-13636 | IC-29070 | Dec. 15, 2009 | Pioneer Floating Rate Trust and Pioneer High Income Trust (Order) |
| 812-13653 | IC-29068 | Dec. 7, 2009 | Madison Asset Management, LLC, et al. (Notice) |
| 812-13640 | IC-29066 | Dec. 3, 2009 | PNC Bank, National Association (Notice) |
| 812-13638 | IC-29065 | Dec. 1, 2009 | FaithShares Trust, et al. (Order) |
| 812-13712 | IC-29064 | Nov. 30, 2009 | Strategic Funds, Inc., et al. (Notice) |
| 812-13482 | IC-29063 | Nov. 24, 2009 | MFS Government Markets Income Trust, et al. (Order) |
| 812-13654 | IC-29062 | Nov. 23, 2009 | Members Mutual Funds, et al. (Notice) |
| 812-13636 | IC-28998 | Nov. 20, 2009 | Pioneer Floating Rate Trust and Pioneer High Income Trust (Notice) |
| 812-13432-02 | IC-28995 | Nov. 10, 2009 | Pioneer Diversified High Income Trust, et al. (Order) |
| 812-13086-05 | IC-28994 | Nov. 10, 2009 | Neuberger Berman Management LLC, et al. (Order) |
| 812-13571 | IC-28993 | Nov. 10, 2009 | Pacific Investment Management Company LLC (Order) |
| 812-13638 | IC-28991 | Nov. 5, 2009 | FaithShares Trust, et al. (Notice) |
| 812-13482 | IC-28987 | Oct. 29, 2009 | MFS Government Markets Income Trust, et al. (Notice) |
| 812-13656 | IC-28986 | Oct. 29, 2009 | Morgan Stanley Investment Management Inc. et al. (Order) |
| 812-13030 | IC-28985 | Oct. 27, 2009 | Evergreen Income Advantage Fund, et al. (Order) |
| 812-13628 | IC-28983 | Oct. 23, 2009 | Charles Schwab Investment Management, Inc., et al. (Order) |
| 812-13569 | IC-28982 | Oct. 21, 2009 | Ridgewood Capital Energy Growth Fund, LLC, et al. (Order) |
| 812-13571 | IC-28949 | Oct. 20, 2009 | Pacific Investment Management Company LLC and PIMCO ETF Trust (Notice) |
| 812-13612 | IC-28948 | Oct. 20, 2009 | Annuity Investors Life Insurance Company, et al. (Order) |
| 812-13432-02 | IC-28947 | Oct. 16, 2009 | Pioneer Diversified High Income Trust, et al. (Notice) |
| 812-13086-05 | IC-28945 | Oct. 14, 2009 | Neuberger Berman Management LLC, et al. (Notice) |
| 812-13516-01 | IC-28944 | Oct. 8, 2009 | Grail Advisors, LLC and Grail Advisors ETF Trust (Order) |
| 812-13656 | IC-28941 | Oct. 6, 2009 | Morgan Stanley Investment Management Inc., et al. (Notice) |
| 812-13030 | IC-28938 | Sep. 30, 2009 | Evergreen Income Advantage Fund, et al. (Notice) |
| 812-13630 | IC-28937 | Sep. 30, 2009 | Alpine Global Dynamic Dividend Fund, et al. (Order) |
| 812-13631 | IC-28936 | Sep. 30, 2009 | Columbia Funds Series Trust, et al. (Order) |
| 812-13535 | IC-28935 | Sep. 30, 2009 | American Capital, Ltd. (Order) |
| 812-13628 | IC-28933 | Sep. 28, 2009 | Charles Schwab Investment Management, Inc., et al. (Notice) |
| 812-13643 | IC-28932 | Sep. 28, 2009 | AdvisorOne Funds and CLS Investments, LLC (Order) |
| 812-13569 | IC-28931 | Sep. 25, 2009 | Ridgewood Capital Energy Growth Fund, LLC, et al. (Notice) |
| 812-13405 | IC-28910 | Sep. 22, 2009 | Arrow Investment Advisers, LLC, et al. (Order) |
| 812-13612 | IC-28909 | Sep. 22, 2009 | Annuity Investors Life Insurance Company, et al. (Notice) |
| 812-13221 | IC-28908 | Sep. 22, 2009 | Highland Capital Management, L.P. (Order) |
| 812-13584 | IC-28907 | Sep. 22, 2009 | Jackson National Life Insurance Company, et al. (Order) |
| 812-13617 | IC-28906 | Sep. 22, 2009 | DNP Select Income Fund Inc., et al. (Order) |
| 812-13610 | IC-28905 | Sep. 22, 2009 | Rafferty Asset Management, LLC, et al. (Order) |
| 812-13105 | IC-28904 | Sep. 21, 2009 | Clough Global Allocation Fund, et al. (Order) |
| 812-13504 | IC-28902 | Sep. 17, 2009 | OOK, Inc., et al. (Order) |
| 812-13611 | IC-28901 | Sep. 15, 2009 | MML Series Investment Fund, et al. (Order) |
| 812-13516-01 | IC-28900 | Sep. 14, 2009 | Grail Advisors LLC and Grail Advisors ETF Trust (Notice) |
| 812-13680 | IC-28899 | Sep. 9, 2009 | GE Asset Management Incorporated and GE Investment Distributors, Inc. (Order) |
| 812-13614 | IC-28898 | Sep. 9, 2009 | Old Mutual Global Shares Trust, et al. (Order) |
| 812-13630 | IC-28897 | Sep. 4, 2009 | Alpine Global Dynamic Dividend Fund, et al. (Notice) |
| 812-13631 | IC-28896 | Sep. 4, 2009 | Columbia Funds Series Trust, et al. (Notice) |
| 812-13535 | IC-28895 | Sep. 3, 2009 | American Capital, Ltd. (Notice) |
| 812-13643 | IC-28894 | Aug. 31, 2009 | AdvisorOne Funds and CLS Investments, LLC (Notice) |
| 812-13619 | IC-28893 | Aug. 28, 2009 | Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Order) |
| 812-13617 | IC-28891 | Aug. 27, 2009 | DNP Select Income Fund Inc., et al. (Notice) |
| 812-13584 | IC-28890 | Aug. 27, 2009 | Jackson National Life Insurance Company, et al. (Notice) |
| 812-13610 | IC-28889 | Aug. 27, 2009 | Rafferty Asset Management, LLC, et al. (Notice) |
| 812-13221 | IC-28888 | Aug. 27, 2009 | Highland Capital Management L.P., et al. (Notice) |
| 812-13405 | IC-28852 | Aug. 25, 2009 | Arrow Investment Advisers, LLC, et al. (Notice) |
| 812-13504 | IC-28851 | Aug. 25, 2009 | OOK, Inc., et al. (Notice) |
| 812-13105 | IC-28850 | Aug. 24, 2009 | Clough Global Allocation Fund, et al. (Notice) |
| 812-13611 | IC-28849 | Aug. 20, 2009 | MML Series Investment Fund, et al. (Notice) |
| 812-13573 | IC-28848 | Aug. 13, 2009 | Compagnie de Financement Foncier (Order) |
| 812-13614 | IC-28847 | Aug. 13, 2009 | Old Mutual Global Shares Trust, et al. (Notice) |
| 812-13503 | IC-28846 | Aug. 13, 2009 | Pax World Funds Trust II, et al. (Order) |
| 812-13680 | IC-28845 | Aug. 11, 2009 | GE Asset Management Incorporated, et al. (Notice and Temporary Order) |
| 812-13578 | IC-28844 | Aug. 11, 2009 | The Alger Funds, et al. (Order) |
| 812-13200 | IC-28843 | Aug. 11, 2009 | Reaves Utility Income Fund, et al. (Order) |
| 812-13545 | IC-28839 | Jul. 28, 2009 | GE Funds, et al. (Order) |
| 812-13421 | IC-28837 | Jul. 27, 2009 | Federated Core Trust III and Federated Investment Management Company (Order) |
| 812-13642 | IC-28836 | Jul. 24, 2009 | WisdomTree Asset Management Inc. (Order) |
| 812-13573 | IC-28835 | Jul. 22, 2009 | Compagnie de Financement Foncier (Notice) |
| 812-13503 | IC-28834 | Jul. 22, 2009 | Pax World Funds Trust II, et al. (Notice) |
| 812-13488 | IC-28822 | Jul. 20, 2009 | AdvisorShares Investments, LLC, et al. (Order) |
| 812-13633 | IC-28820 | Jul. 20, 2009 | Embarcadero Funds, Inc., et al. (Order) |
| 812-13578 | IC-28819 | Jul. 16, 2009 | The Alger Funds, et al. (Notice) |
| 812-13200 | IC-28818 | Jul. 14, 2009 | Reaves Utility Income Fund, et al. (Notice) |
| 812-13495 | IC-28815 | Jul. 8, 2009 | Nationwide Life Insurance Company, et al. (Order) |
| 812-13449 | IC-28814 | Jul. 7, 2009 | X Exchange-Traded Funds, Inc., et al. (Order) |
| 812-13604 | IC-28813 | Jul. 7, 2009 | PowerShares Exchange-Traded Fund Trust, et al. (Order) |
| 812-13663 | IC-28812 | Jul. 7, 2009 | RBC Capital Markets Corporation, et al. (Order) |
| 812-13664 | IC-28811 | Jul. 7, 2009 | Deutsche Bank Securities Inc., et al. (Order) |
| 812-13662 | IC-28810 | Jul. 7, 2009 | Banc of America Securities LLC, et al. (Order) |
| 812-13545 | IC-28808 | Jul. 2, 2009 | GE Funds, et al. (Notice) |
| 812-13421 | IC-28806 | Jun. 30, 2009 | Federated Core Trust III, et al. (Notice) |
| 812-13650 | IC-28805 | Jun. 29, 2009 | WisdomTree Investments, Inc., et al. (Order) |
| 812-13642 | IC-28804 | Jun. 29, 2009 | WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice) |
| 812-13551 | IC-28770 | Jun. 23, 2009 | The Managers Funds, et al. (Order) |
| 812-13633 | IC-28769 | Jun. 22, 2009 | Embarcadero Funds, Inc., et al. (Notice) |
| 812-13649 | IC-28768 | Jun. 16, 2009 | Main Street Capital Corporation, et al. (Order) |
| 812-13495 | IC-28767 | Jun. 12, 2009 | Nationwide Life Insurance Company, et al. (Notice) |
| 812-13449 | IC-28766 | Jun. 11, 2009 | X Exchange-Traded Funds, Inc., et al. (Notice) |
| 812-13662 | IC-28764 | Jun. 9, 2009 | Banc of America Securities LLC, et al. (Notice and Temporary Order) |
| 812-13664 | IC-28763 | Jun. 9, 2009 | Deutsche Bank Securities Inc., et al. (Notice and Temporary Order) |
| 812-13663 | IC-28762 | Jun. 9, 2009 | RBC Capital Markets Corporation, et al. (Notice and Temporary Order) |
| 812-13655 | IC-28761 | Jun. 9, 2009 | Harris & Harris Group, Inc. (Certification) |
| 812-13604 | IC-28760 | Jun. 8, 2009 | PowerShares Exchange-Traded Fund Trust, et al. (Notice) |
| 812-13619 | IC-28758 | Jun. 4, 2009 | Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Notice)
Comments received are available. |
| 812-13650 | IC-28755 | Jun. 1, 2009 | WisdomTree Investments, Inc., et al. (Notice) |
| 812-13598 | IC-28754 | Jun. 1, 2009 | Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Order) |
| 812-13594 | IC-28753 | Jun. 1, 2009 | Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order) |
| 812-13555 | IC-28752 | Jun. 1, 2009 | Pacific Investment Management Company LLC and PIMCO ETF Trust (Order) |
| 812-13551 | IC-28748 | May 28, 2009 | The Managers Funds, et al. (Notice) |
| 812-13618 | IC-28746 | May 26, 2009 | Citibank, N.A. (Order) |
| 813-274 | IC-28727 | May 20, 2009 | William Blair & Company, L.L.C., Wilblairco II, L.L.C. (Order) |
| 812-13649 | IC-28726 | May 19, 2009 | Main Street Capital Corporation, et al. (Notice) |
| 812-13400 | IC-28724 | May 12, 2009 | ProShares Trust, et al. (Order) |
| 812-13555 | IC-28723 | May 11, 2009 | Pacific Investment Management Company LLC and PIMCO ETF Trust (Notice) |
| 812-13598 | IC-28722 | May 8, 2009 | Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Notice) |
| 812-13594 | IC-28721 | May 8, 2009 | Cohen & Steers Advantage Income Realty Fund, et al. (Notice) |
| 812-13235 | IC-28719 | May 5, 2009 | BlackRock International Growth and Income Trust et al. (Order) |
| 812-13647 | IC-28718 | May 5, 2009 | Triangle Capital Corporation (Order) |
| 812-13618 | IC-28717 | Apr. 29, 2009 | Citibank, N.A. (Notice) |
| 812-13525 | IC-28716 | Apr. 28, 2009 | Bridgeway Capital Management, Inc. (Order) |
| 812-13602 | IC-28715 | Apr. 28, 2009 | First American Strategy Funds, Inc., et al. (Order) |
| 812-13564 | IC-28714 | Apr. 28, 2009 | Phoenix Life Insurance Company, et al. (Order) |
| 813-274 | IC-28700 | Apr. 22, 2009 | William Blair & Company, L.L.C. and Wilblairco II, L.L.C. (Notice) |
| 812-13588 | IC-28699 | Apr. 20, 2009 | MetLife Insurance Company of Connecticut, et al. (Order) |
| 812-13400 | IC-28696 | Apr. 14, 2009 | ProShares Trust, et al. (Notice) |
| 812-13645 | IC-28695 | Apr. 14, 2009 | UBS AG, et al. (Order) |
| 812-13519 | IC-28694 | Apr. 14, 2009 | Massachusetts Financial Services Company, et al. (Order) |
| 812-13538 | IC-28693 | Apr. 14, 2009 | ING Investments, LLC (Order) |
| 812-13647 | IC-28692 | Apr. 13, 2009 | Triangle Capital Corporation (Notice) |
| 812-13235 | IC-28690 | Apr. 7, 2009 | Blackrock International Growth and Income Trust, et al. (Notice) |
| 812-13639 | IC-28689 | Apr. 7, 2009 | E*TRADE Capital Markets LLC, et al. (Order) |
| 812-13641 | IC-28688 | Apr. 7, 2009 | Automated Trading Desk Specialists, LLC, et al. (Order) |
| 812-13600 | IC-28687 | Apr. 3, 2009 | ING USA Annuity and Life Insurance Company, et al. (Order) |
| 812-13564 | IC-28686 | Apr. 3, 2009 | Phoenix Life Insurance Company, et al. (Notice) |
| 812-13525 | IC-28685 | Apr. 1, 2009 | Bridgeway Capital Management, Inc. (Notice) |
| 812-13602 | IC-28683 | Mar. 31, 2009 | First American Strategy Funds, Inc. (Notice) |
| 812-13543 | IC-28682 | Mar. 30, 2009 | Forward Funds, et al. (Order) |
| 812-13588 | IC-28678 | Mar. 25, 2009 | MetLife Insurance Company of Connecticut, et al. (Notice) |
| 812-13541 | IC-28654 | Mar. 24, 2009 | DFA Investment Dimensions Group Inc., et al. (Order) |
| 812-13441 | IC-28653 | Mar. 20, 2009 | IndexIQ ETF Trust, et al. (Order) |
| 812-13645 | IC-28652 | Mar. 19, 2009 | UBS AG, et al. (Notice and Temporary Order) |
| 812-13515 | IC-28651 | Mar. 18, 2009 | Mainstay VP Series Fund, et al. (Order) |
| 812-13538 | IC-28650 | Mar. 17, 2009 | ING Investments, LLC, et al. (Corrected Notice) |
| 812-13519 | IC-28649 | Mar. 17, 2009 | Massachusetts Financial Services Company, et al. (Notice) |
| 812-13632 | IC-28648 | Mar. 17, 2009 | Wachovia Securities, LLC, et al. (Order) |
| 812-13600 | IC-28646 | Mar. 13, 2009 | ING USA Annuity and Life Insurance Company, et al. (Notice) |
| 812-13641 | IC-28647 | Mar. 12, 2009 | Automated Trading Desk Specialists, LLC, et al. (Notice) |
| 812-13639 | IC-28645 | Mar. 12, 2009 | E*TRADE Capital Markets LLC, et al. (Notice) |
| 812-13586 | IC-28643 | Mar. 10, 2009 | Eaton Vance Enhanced Equity Income Fund, et al. (Order) |
| 812-13536 | IC-28641 | Mar. 4, 2009 | Advisors Asset Management, Inc. and Advisors Disciplined Trust (Order) |
| 812-13543 | IC-28640 | Mar. 3, 2009 | Forward Funds, et al. (Notice) |
| 812-13441 | IC-28638 | Feb. 27, 2009 | IndexIQ ETF Trust, et al. (Notice) |
| 812-13541 | IC-28637 | Feb. 26, 2009 | DFA Investment Dimensions Group Inc., et al. (Notice) |
| 812-13515< | |||