Investment Company Act Notices and Orders
See also Investment Company Act Deregistration Notices and Orders.
Investment Company Act Notices and Orders Table
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Release Number
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|---|---|---|---|---|---|
| File Number:812-13287 | Date: | Investment Company:Lincoln Variable Insurance Products Trust, et al. | Type:Investment Company Act Notice |
Release Number:27821
|
Category:Insurance Products - Fund Substitution |
| File Number:812-13304 | Date: | Investment Company:Van Eck Worldwide Insurance Trust | Type:Investment Company Act Notice |
Release Number:27820
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13268 | Date: | Investment Company:First American Investment Funds, Inc. | Type:Investment Company Act Notice |
Release Number:27818
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-13255 | Date: | Investment Company:Hill Physicians Medical Group, Inc. | Type:Investment Company Act Order |
Release Number:27824
|
Category:Inadvertent Investment Companies - 6c |
| File Number:812-13255 | Date: | Investment Company:Hill Physicians Medical Group, Inc. | Type:Investment Company Act Order |
Release Number:27824
|
Category:Inadvertent Investment Companies - 3b2 |
| File Number:812-13312 | Date: | Investment Company:Hercules Technology Growth Capital, Inc. | Type:Investment Company Act Notice |
Release Number:27815
|
Category:Business Development Companies - Compensation |
| File Number:812-13249 | Date: | Investment Company:Forward Funds, et al. | Type:Investment Company Act Order |
Release Number:27814
|
Category:Multi-Manager - Voting |
| File Number:812-13347 | Date: | Investment Company:MetLife Insurance Co. of Connecticut, et al. | Type:Investment Company Act Order |
Release Number:27810
|
Category:Insurance Products - Substitution Related Affiliated Securities Transactions |
| File Number:812-13342 | Date: | Investment Company:Jefferson National Life Insurance Co., et al. | Type:Investment Company Act Order |
Release Number:27813
|
Category:Insurance Products - Substitution Related Affiliated Securities Transactions |
| File Number:812-13347 | Date: | Investment Company:MetLife Insurance Co. of Connecticut, et al. | Type:Investment Company Act Order |
Release Number:27810
|
Category:Insurance Products - Fund Substitution |
| File Number:812-13342 | Date: | Investment Company:Jefferson National Life Insurance Co., et al. | Type:Investment Company Act Order |
Release Number:27813
|
Category:Insurance Products - Fund Substitution |
| File Number:812-13340 | Date: | Investment Company:First Trust Exchange-Traded Fund, et al. | Type:Investment Company Act Notice |
Release Number:27812
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13356 | Date: | Investment Company:Ssga Funds Management, Inc. | Type:Investment Company Act Notice |
Release Number:27809
|
Category:Exchange Traded Funds - Index |
| File Number:812-13335 | Date: | Investment Company:PowerShares Exchange-Traded Fund Trust | Type:Investment Company Act Notice |
Release Number:27811
|
Category:Exchange Traded Funds - Index |
| File Number:812-13373 | Date: | Investment Company:The Gabelli Equity Trust Inc., et al. | Type:Investment Company Act Notice |
Release Number:27808
|
Category:Affiliated Sales & Purchases - Adviser |
| File Number:812-13286 | Date: | Investment Company:Old Westbury Funds, Inc. and Bessemer Investment Management LLC | Type:Investment Company Act Notice |
Release Number:27807
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-13186 | Date: | Investment Company:HSBC Securities (USA) Inc. | Type:Investment Company Act Notice |
Release Number:27805
|
Category:Other |
| File Number:812-13255 | Date: | Investment Company:Hill Physicians Medical Group, Inc. | Type:Investment Company Act Notice |
Release Number:27804
|
Category:Inadvertent Investment Companies - 6c |
| File Number:812-13255 | Date: | Investment Company:Hill Physicians Medical Group, Inc. | Type:Investment Company Act Notice |
Release Number:27804
|
Category:Inadvertent Investment Companies - 3b2 |
| File Number:812-13262 | Date: | Investment Company:First Trust Exchange-Traded Fund, et al. | Type:Investment Company Act Order |
Release Number:27784
|
Category:Exchange Traded Funds - Index |
| File Number:812-13334 | Date: | Investment Company:XTF Advisors Trust, et al. | Type:Investment Company Act Notice |
Release Number:27783
|
Category:Insurance Products - Mixed and Shared Funding |
| File Number:813-264 | Date: | Investment Company:Silas Partners I, LLC, et al. | Type:Investment Company Act Order |
Release Number:27782
|
Category:Employees Securities Company |
| File Number:812-13318 | Date: | Investment Company:John Hancock Life Insurance Co., et al. | Type:Investment Company Act Order |
Release Number:27781
|
Category:Insurance Products - Fund Substitution |
| File Number:812-13347 | Date: | Investment Company:MetLife Insurance Co. of Connecticut, et al. | Type:Investment Company Act Notice |
Release Number:27778
|
Category:Insurance Products - Substitution Related Affiliated Securities Transactions |
| File Number:812-13342 | Date: | Investment Company:Jefferson National Life Insurance Co., et al. | Type:Investment Company Act Notice |
Release Number:27779
|
Category:Insurance Products - Substitution Related Affiliated Securities Transactions |
| File Number:812-13347 | Date: | Investment Company:MetLife Insurance Co. of Connecticut, et al. | Type:Investment Company Act Notice |
Release Number:27778
|
Category:Insurance Products - Fund Substitution |
| File Number:812-13342 | Date: | Investment Company:Jefferson National Life Insurance Co., et al. | Type:Investment Company Act Notice |
Release Number:27779
|
Category:Insurance Products - Fund Substitution |
| File Number:812-13238 | Date: | Investment Company:Hercules Technology Growth Capital, Inc., et al. | Type:Investment Company Act Order |
Release Number:27776
|
Category:Business Development Companies - Capital Structure |
| File Number:812-13249 | Date: | Investment Company:Forward Funds, et al. | Type:Investment Company Act Notice |
Release Number:27777
|
Category:Multi-Manager - Voting |
| File Number:812-13295 | Date: | Investment Company:The RBB Fund, Inc. and Abundance Technologies, Inc. | Type:Investment Company Act Order |
Release Number:27775
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13336 | Date: | Investment Company:Vanguard Bond Index Funds, et al. | Type:Investment Company Act Order |
Release Number:27773
|
Category:Exchange Traded Funds - Index |
| File Number:813-284 | Date: | Investment Company:SA Investment Partnership LLC, et al. | Type:Investment Company Act Order |
Release Number:27774
|
Category:Employees Securities Company |
| File Number:812-13262 | Date: | Investment Company:First Trust Exchange-Traded Fund, et al. | Type:Investment Company Act Notice |
Release Number:27772
|
Category:Exchange Traded Funds - Index |
| File Number:812-13327 | Date: | Investment Company:Liberty All-Star Equity Fund, et al. | Type:Investment Company Act Order |
Release Number:27769
|
Category:Multi-Manager - Voting |
| File Number:813-264 | Date: | Investment Company:Silas Partners I, LLC, et al. | Type:Investment Company Act Notice |
Release Number:27770
|
Category:Employees Securities Company |
| File Number:812-13344 | Date: | Investment Company:BLDRS Index Funds Trust, et al. | Type:Investment Company Act Order |
Release Number:27768
|
Category:Exchange Traded Funds - Index |
| File Number:812-13337 | Date: | Investment Company:Rydex ETF Trust, et al. | Type:Investment Company Act Order |
Release Number:27754
|
Category:Exchange Traded Funds - Leveraged |
| File Number:812-13345 | Date: | Investment Company:NASDAQ-100 Trust, Series 1, et al. | Type:Investment Company Act Order |
Release Number:27753
|
Category:Exchange Traded Funds - Index |
| File Number:812-13318 | Date: | Investment Company:John Hancock Life Insurance Co., et al. | Type:Investment Company Act Notice |
Release Number:27752
|
Category:Insurance Products - Fund Substitution |
| File Number:812-13272 | Date: | Investment Company:Wilshire Variable Insurance Trust, et al. | Type:Investment Company Act Order |
Release Number:27751
|
Category:Insurance Products - Mixed and Shared Funding |
| File Number:812-13336 | Date: | Investment Company:Vanguard Bond Index Funds, et al. | Type:Investment Company Act Notice |
Release Number:27750
|
Category:Exchange Traded Funds - Index |
| File Number:812-13295 | Date: | Investment Company:The RBB Fund, Inc. and Abundance Technologies, Inc. | Type:Investment Company Act Notice |
Release Number:27749
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13238 | Date: | Investment Company:Hercules Technology Growth Capital, Inc., et al. | Type:Investment Company Act Notice |
Release Number:27748
|
Category:Business Development Companies - Capital Structure |
| File Number:813-284 | Date: | Investment Company:SA Investment Partnership LLC, et al. | Type:Investment Company Act Notice |
Release Number:27747
|
Category:Employees Securities Company |
| File Number:812-13325 | Date: | Investment Company:Country Investors Life Assurance Co., et al. | Type:Investment Company Act Order |
Release Number:27744
|
Category:Insurance Products - Fund Substitution |
| File Number:812-13344 | Date: | Investment Company:BLDRS Index Funds Trust, et al. | Type:Investment Company Act Notice |
Release Number:27745
|
Category:Exchange Traded Funds - Index |
| File Number:812-13343 | Date: | Investment Company:PowerShares Exchange-Traded Fund Trust, et al. | Type:Investment Company Act Order |
Release Number:27743
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13339 | Date: | Investment Company:Van Eck Associates Corporation, et al. | Type:Investment Company Act Order |
Release Number:27742
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13343 | Date: | Investment Company:PowerShares Exchange-Traded Fund Trust, et al. | Type:Investment Company Act Order |
Release Number:27743
|
Category:Exchange Traded Funds - Index |
| File Number:812-13339 | Date: | Investment Company:Van Eck Associates Corporation, et al. | Type:Investment Company Act Order |
Release Number:27742
|
Category:Exchange Traded Funds - Index |
| File Number:812-13327 | Date: | Investment Company:Liberty All-Star Equity Fund, et al. | Type:Investment Company Act Notice |
Release Number:27741
|
Category:Multi-Manager - Voting |
| File Number:812-13345 | Date: | Investment Company:NASDAQ-100 Trust, Series 1, et al. | Type:Investment Company Act Notice |
Release Number:27740
|
Category:Exchange Traded Funds - Index |
| File Number:812-13321 | Date: | Investment Company:Integrity Life Insurance Co., et al. | Type:Investment Company Act Order |
Release Number:27738
|
Category:Insurance Products - Fund Substitution |
| File Number:812-13337 | Date: | Investment Company:Rydex ETF Trust, et al. | Type:Investment Company Act Notice |
Release Number:27703
|
Category:Exchange Traded Funds - Leveraged |
| File Number:812-13308 | Date: | Investment Company:American Capital Strategies, Ltd. | Type:Investment Company Act Order |
Release Number:27702
|
Category:Business Development Companies - Compensation |
| File Number:812-13272 | Date: | Investment Company:Wilshire Variable Insurance Trust, et al. | Type:Investment Company Act Notice |
Release Number:27701
|
Category:Insurance Products - Mixed and Shared Funding |
| File Number:812-13259 | Date: | Investment Company:American International Group, Inc. | Type:Investment Company Act Order |
Release Number:27700
|
Category:Ineligible - Disqualified Firm |
| File Number:812-13201 | Date: | Investment Company:Hercules Technology Growth Capital, Inc. | Type:Investment Company Act Order |
Release Number:27699
|
Category:Business Development Companies - Compensation |
| File Number:812-13234 | Date: | Investment Company:MFS Series Trust X, et al. | Type:Investment Company Act Order |
Release Number:27698
|
Category:Joint Transaction |
| File Number:812-13325 | Date: | Investment Company:Country Investors Life Assurance Co., et al. | Type:Investment Company Act Notice |
Release Number:27695
|
Category:Insurance Products - Fund Substitution |
| File Number:812-13319 | Date: | Investment Company:New River Funds and New River Advisers LLC | Type:Investment Company Act Order |
Release Number:27690
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-13343 | Date: | Investment Company:PowerShares Exchange-Traded Fund Trust, et al. | Type:Investment Company Act Notice |
Release Number:27693
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13339 | Date: | Investment Company:Van Eck Associates Corporation, et al. | Type:Investment Company Act Notice |
Release Number:27694
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13343 | Date: | Investment Company:PowerShares Exchange-Traded Fund Trust, et al. | Type:Investment Company Act Notice |
Release Number:27693
|
Category:Exchange Traded Funds - Index |
| File Number:812-13339 | Date: | Investment Company:Van Eck Associates Corporation, et al. | Type:Investment Company Act Notice |
Release Number:27694
|
Category:Exchange Traded Funds - Index |
| File Number:812-13279 | Date: | Investment Company:NexBank Securities, Inc. and NexBank Series | Type:Investment Company Act Order |
Release Number:27691
|
Category:Unit Investment Trusts - Other |
| File Number:812-13282 | Date: | Investment Company:Sun Life Assurance Co. of Canada (U.S., et al.) | Type:Investment Company Act Order |
Release Number:27688
|
Category:Insurance Products - Substitution Related Affiliated Securities Transactions |
| File Number:812-13282 | Date: | Investment Company:Sun Life Assurance Co. of Canada (U.S., et al.) | Type:Investment Company Act Order |
Release Number:27688
|
Category:Insurance Products - Fund Substitution |
| File Number:812-13321 | Date: | Investment Company:Integrity Life Insurance Co., et al. | Type:Investment Company Act Notice |
Release Number:27677
|
Category:Insurance Products - Fund Substitution |
| File Number:812-13212 | Date: | Investment Company:Deutsche Bank Trust Company Americas | Type:Investment Company Act Order |
Release Number:27673
|
Category:Other |
| File Number:813-356 | Date: | Investment Company:Opal Private Equity Fund, LP and Schottenstein, Zox & Dunn Co., L.P.A. | Type:Investment Company Act Order |
Release Number:27675
|
Category:Employees Securities Company |
| File Number:812-13308 | Date: | Investment Company:American Capital Strategies, Ltd. | Type:Investment Company Act Notice |
Release Number:27669
|
Category:Business Development Companies - Compensation |
| File Number:812-13265 | Date: | Investment Company:Forum Funds, et al. | Type:Investment Company Act Order |
Release Number:27665
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-13329 | Date: | Investment Company:ProShares Trust, et al. | Type:Investment Company Act Order |
Release Number:27666
|
Category:Exchange Traded Funds - Leveraged |
| File Number:812-13224 | Date: | Investment Company:Ziegler Exchange Traded Trust, et al. | Type:Investment Company Act Order |
Release Number:27664
|
Category:Exchange Traded Funds - Index |
| File Number:812-13208 | Date: | Investment Company:Barclays Global Fund Advisors, et al. | Type:Investment Company Act Order |
Release Number:27661
|
Category:Exchange Traded Funds - Index |
| File Number:812-13320 | Date: | Investment Company:Jackson National Life Insurance Co., et al. | Type:Investment Company Act Order |
Release Number:27660
|
Category:Insurance Products - Bonus Recapture |
| File Number:812-13278 | Date: | Investment Company:NexBank Securities, Inc. and NexBank Series | Type:Investment Company Act Order |
Release Number:27659
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13234 | Date: | Investment Company:MFS Series Trust X, et al. | Type:Investment Company Act Notice |
Release Number:27662
|
Category:Joint Transaction |
| File Number:812-13133 | Date: | Investment Company:Members Mutual Funds, et al. | Type:Investment Company Act Order |
Release Number:27657
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13029 | Date: | Investment Company:ProFunds, et al. | Type:Investment Company Act Order |
Release Number:27658
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13201 | Date: | Investment Company:Hercules Technology Growth Capital, Inc. | Type:Investment Company Act Notice |
Release Number:27668
|
Category:Business Development Companies - Compensation |
| File Number:812-13257 | Date: | Investment Company:The MainStay Funds, et al. | Type:Investment Company Act Order |
Release Number:27656
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-13279 | Date: | Investment Company:NexBank Securities, Inc. and NexBank Series | Type:Investment Company Act Notice |
Release Number:27655
|
Category:Unit Investment Trusts - Other |
| File Number:812-13294 | Date: | Investment Company:The Mexico Equity and Income Fund, Inc. | Type:Investment Company Act Order |
Release Number:27654
|
Category:Affiliated Sales & Purchases - In-Kind |
| File Number:812-13319 | Date: | Investment Company:New River Funds and New River Advisers LLC | Type:Investment Company Act Notice |
Release Number:27653
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-13282 | Date: | Investment Company:Sun Life Assurance Co. of Canada (U.S., et al.) | Type:Investment Company Act Notice |
Release Number:27651
|
Category:Insurance Products - Substitution Related Affiliated Securities Transactions |
| File Number:812-13282 | Date: | Investment Company:Sun Life Assurance Co. of Canada (U.S., et al.) | Type:Investment Company Act Notice |
Release Number:27651
|
Category:Insurance Products - Fund Substitution |
| File Number:812-13212 | Date: | Investment Company:Deutsche Bank Trust Company Americas | Type:Investment Company Act Notice |
Release Number:27644
|
Category:Other |
| File Number:813-356 | Date: | Investment Company:Opal Private Equity Fund, LP and Schottenstein, Zox & Dunn Co., L.P.A. | Type:Investment Company Act Notice |
Release Number:27612
|
Category:Employees Securities Company |
| File Number:812-13329 | Date: | Investment Company:ProShares Trust, et al. | Type:Investment Company Act Notice |
Release Number:27609
|
Category:Exchange Traded Funds - Leveraged |
| File Number:812-13224 | Date: | Investment Company:Ziegler Exchange Traded Trust, et al. | Type:Investment Company Act Notice |
Release Number:27610
|
Category:Exchange Traded Funds - Index |
| File Number:812-13208 | Date: | Investment Company:Barclays Global Fund Advisors, et al. | Type:Investment Company Act Notice |
Release Number:27608
|
Category:Exchange Traded Funds - Index |
| File Number:812-13265 | Date: | Investment Company:Forum Funds, et al. | Type:Investment Company Act Notice |
Release Number:27605
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-13320 | Date: | Investment Company:Jackson National Life Insurance Co., et al. | Type:Investment Company Act Notice |
Release Number:27603
|
Category:Insurance Products - Bonus Recapture |
| File Number:812-13278 | Date: | Investment Company:NexBank Securities, Inc. and NexBank Series | Type:Investment Company Act Notice |
Release Number:27602
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13029 | Date: | Investment Company:ProFunds, et al. | Type:Investment Company Act Notice |
Release Number:27599
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13133 | Date: | Investment Company:Members Mutual Funds, et al. | Type:Investment Company Act Notice |
Release Number:27598
|
Category:Fund of Funds - Multi-Group |
| File Number:812-13257 | Date: | Investment Company:The MainStay Funds, et al. | Type:Investment Company Act Notice |
Release Number:27595
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-13294 | Date: | Investment Company:The Mexico Equity and Income Fund, Inc. | Type:Investment Company Act Notice |
Release Number:27592
|
Category:Affiliated Sales & Purchases - In-Kind |