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:812-15207 | Date: | Investment Company:HPS Corporate Lending Fund and HPS Investment Partners, LLC | Type:Investment Company Act Order |
Release Number:34275
|
Category:Multi-Class |
| File Number:812-15154 | Date: | Investment Company:Simplify Exchange Traded Funds and Simplify Asset Management Inc. | Type:Investment Company Act Notice |
Release Number:34274
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15173 | Date: | Investment Company:Calamos Investment Trust, et al. | Type:Investment Company Act Notice |
Release Number:34273
|
Category:Interfund Lending |
| File Number:812-15197 | Date: | Investment Company:T. Rowe Price Associates, Inc., et al. | Type:Investment Company Act Order |
Release Number:34272
|
Category:Exchange Traded Funds - Active |
| File Number:812-15119-01 | Date: | Investment Company:Delaware Wilshire Private Markets Master Fund, et al. | Type:Investment Company Act Notice |
Release Number:34270
|
Category:Co-Investment |
| File Number:812-15191 | Date: | Investment Company:The Advisors' Inner Circle Fund, Cambiar Investors, LLC and Sei Investments Distribution Co. | Type:Investment Company Act Order |
Release Number:34268
|
Category:Exchange Traded Funds - Active |
| File Number:812-15203 | Date: | Investment Company:Putnam ETF Trust, et al. | Type:Investment Company Act Order |
Release Number:34266
|
Category:Exchange Traded Funds - Active |
| File Number:812-15143 | Date: | Investment Company:Teachers Insurance and Annuity Association of America, et al. | Type:Investment Company Act Notice |
Release Number:34267
|
Category:Insurance Products - Fund Substitution |
| File Number:812-15101 | Date: | Investment Company:The Ohio National Life Insurance Company, et al. | Type:Investment Company Act Order |
Release Number:34264
|
Category:Insurance Products - Fund Substitution |
| File Number:812-15199 | Date: | Investment Company:Nuveen Fund Advisors, LLC, et al. | Type:Investment Company Act Order |
Release Number:34265
|
Category:Exchange Traded Funds - Active |
| File Number:812-15185 | Date: | Investment Company:SharesPost 100 Fund and Liberty Street Advisors, Inc. | Type:Investment Company Act Order |
Release Number:34262
|
Category:Multi-Class |
| File Number:812-15111 | Date: | Investment Company:Trinity Capital, Inc. | Type:Investment Company Act Notice |
Release Number:34263
|
Category:Business Development Companies - Compensation |
| File Number:812-15189 | Date: | Investment Company:Azzad Funds and Azzad Asset Management, Inc. | Type:Investment Company Act Order |
Release Number:34261
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15207 | Date: | Investment Company:HPS Corporate Lending Fund and HPS Investment Partners, LLC | Type:Investment Company Act Notice |
Release Number:34259
|
Category:Multi-Class |
| File Number:812-15197 | Date: | Investment Company:T. Rowe Price Associates, Inc., et al. | Type:Investment Company Act Notice |
Release Number:34248
|
Category:Exchange Traded Funds - Active |
| File Number:812-15203 | Date: | Investment Company:Putnam ETF Trust, et al. | Type:Investment Company Act Notice |
Release Number:34245
|
Category:Exchange Traded Funds - Active |
| File Number:812-15191 | Date: | Investment Company:The Advisors' Inner Circle Fund, Cambiar Investors, LLC and Sei Investments Distribution Co. | Type:Investment Company Act Notice |
Release Number:34244
|
Category:Exchange Traded Funds - Active |
| File Number:812-15199 | Date: | Investment Company:Nuveen Fund Advisors, LLC, et al. | Type:Investment Company Act Notice |
Release Number:34243
|
Category:Exchange Traded Funds - Active |
| File Number:812-15101 | Date: | Investment Company:The Ohio National Life Insurance Company, et al. | Type:Investment Company Act Notice |
Release Number:34242
|
Category:Insurance Products - Fund Substitution |
| File Number:812-15189 | Date: | Investment Company:Azzad Funds and Azzad Asset Management, Inc. | Type:Investment Company Act Notice |
Release Number:34241
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15185 | Date: | Investment Company:SharesPost 100 Fund and Liberty Street Advisors, Inc. | Type:Investment Company Act Notice |
Release Number:34240
|
Category:Multi-Class |
| File Number:812-15134 | Date: | Investment Company:Russell Investment Company, et al. | Type:Investment Company Act Order |
Release Number:34238
|
Category:Non-In-Person Board Meetings |
| File Number:812-15140 | Date: | Investment Company:Brighthouse Life Insurance Company, et al. | Type:Investment Company Act Order |
Release Number:34239
|
Category:Insurance Products - Fund Substitution |
| File Number:812-15174 | Date: | Investment Company:Rand Capital Corporation, et al. | Type:Investment Company Act Order |
Release Number:34237
|
Category:Co-Investment |
| File Number:812-15120 | Date: | Investment Company:Star Mountain Credit Opportunities Fund, LP, et al. | Type:Investment Company Act Order |
Release Number:34228
|
Category:Co-Investment |
| File Number:812-15160 | Date: | Investment Company:Strategas Trust and Strategas Securities, LLC | Type:Investment Company Act Order |
Release Number:34223
|
Category:Unit Investment Trusts - Other |
| File Number:812-15130 | Date: | Investment Company:Columbia Funds Series Trust, et al. | Type:Investment Company Act Order |
Release Number:34224
|
Category:Non-In-Person Board Meetings |
| File Number:812-15140 | Date: | Investment Company:Brighthouse Life Insurance Company, et al. | Type:Investment Company Act Notice |
Release Number:34220
|
Category:Insurance Products - Fund Substitution |
| File Number:812-15086 | Date: | Investment Company:Muzinich BDC, Inc., et al. | Type:Investment Company Act Order |
Release Number:34219
|
Category:Co-Investment |
| File Number:812-15174 | Date: | Investment Company:Rand Capital Corporation, et al. | Type:Investment Company Act Notice |
Release Number:34218
|
Category:Co-Investment |
| File Number:812-15166 | Date: | Investment Company:The Advisors' Inner Circle Fund and Pathstone Family Office, LLC | Type:Investment Company Act Order |
Release Number:34216
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15165 | Date: | Investment Company:The RBB Fund, Inc., et al. | Type:Investment Company Act Order |
Release Number:34215
|
Category:Exchange Traded Funds - Active |
| File Number:812-15099 | Date: | Investment Company:Hamilton Lane Private Assets Fund, et al. | Type:Investment Company Act Order |
Release Number:34201
|
Category:Co-Investment |
| File Number:812-15134 | Date: | Investment Company:Russell Investment Company, et al. | Type:Investment Company Act Notice |
Release Number:34200
|
Category:Non-In-Person Board Meetings |
| File Number:812-15120 | Date: | Investment Company:Star Mountain Credit Opportunities Fund, LP, et al. | Type:Investment Company Act Notice |
Release Number:34202
|
Category:Co-Investment |
| File Number:812-15205 | Date: | Investment Company:Infinity Q Diversified Alpha Fund, a Series of Trust for Advised Portfolios, and Infinity Q Capital Management, LLC | Type:Investment Company Act Order |
Release Number:34198
|
Category:Other |
| File Number:812-15130 | Date: | Investment Company:Columbia Funds Series Trust, et al. | Type:Investment Company Act Notice |
Release Number:34197
|
Category:Non-In-Person Board Meetings |
| File Number:812-15160 | Date: | Investment Company:Strategas Trust and Strategas Securities, LLC | Type:Investment Company Act Notice |
Release Number:34195
|
Category:Unit Investment Trusts - Other |
| File Number:812-15182 | Date: | Investment Company:Invesco Capital Management LLC, et al. | Type:Investment Company Act Order |
Release Number:34193
|
Category:Exchange Traded Funds - Active |
| File Number:812-15157 | Date: | Investment Company:Natixis ETF Trust II, et al. | Type:Investment Company Act Order |
Release Number:34192
|
Category:Exchange Traded Funds - Active |
| File Number:812-15178 | Date: | Investment Company:Activeshares ETF Trust, et al. | Type:Investment Company Act Order |
Release Number:34191
|
Category:Exchange Traded Funds - Active |
| File Number:812-15171 | Date: | Investment Company:ETF Series Solutions and Distillate Capital Partners LLC | Type:Investment Company Act Order |
Release Number:34190
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15165 | Date: | Investment Company:The RBB Fund, Inc., et al. | Type:Investment Company Act Notice |
Release Number:34189
|
Category:Exchange Traded Funds - Active |
| File Number:812-15066 | Date: | Investment Company:Symmetry Panoramic Trust and Symmetry Partners, LLC | Type:Investment Company Act Order |
Release Number:34187
|
Category:Interfund Lending |
| File Number:812-15086 | Date: | Investment Company:Muzinich BDC, Inc., et al. | Type:Investment Company Act Notice |
Release Number:34186
|
Category:Co-Investment |
| File Number:812-15106 | Date: | Investment Company:Esoterica Thematic Trust and Esoterica Capital LLC | Type:Investment Company Act Order |
Release Number:34185
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15166 | Date: | Investment Company:The Advisors' Inner Circle Fund and Pathstone Family Office, LLC | Type:Investment Company Act Notice |
Release Number:34184
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15099 | Date: | Investment Company:Hamilton Lane Private Assets Fund, et al. | Type:Investment Company Act Notice |
Release Number:34182
|
Category:Co-Investment |
| File Number:812-15096-01 | Date: | Investment Company:KKR Registered Advisor LLC and KKR Real Estate Select Trust Inc. | Type:Investment Company Act Order |
Release Number:34176
|
Category:Other |
| File Number:812-15158 | Date: | Investment Company:J.P. Morgan Investment Management Inc., et al. | Type:Investment Company Act Order |
Release Number:34180
|
Category:Other |
| File Number:812-15169 | Date: | Investment Company:Alps ETF Trust, et al. | Type:Investment Company Act Order |
Release Number:34181
|
Category:Exchange Traded Funds - Active |
| File Number:812-15167 | Date: | Investment Company:ETF Series Solutions and Clearshares LLC | Type:Investment Company Act Order |
Release Number:34174
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:813-00395 | Date: | Investment Company:Signature PE Fund, LLC and McDermott Will & Emery LLP | Type:Investment Company Act Order |
Release Number:34175
|
Category:Employees Securities Company |
| File Number:813-00397 | Date: | Investment Company:Citadel Enterprise Americas LLC (formerly Citadel LLC) and CEIF LLC | Type:Investment Company Act Order |
Release Number:34173
|
Category:Employees Securities Company |
| File Number:812-15182 | Date: | Investment Company:Invesco Capital Management LLC, et al. | Type:Investment Company Act Notice |
Release Number:34170
|
Category:Exchange Traded Funds - Active |
| File Number:812-15157 | Date: | Investment Company:Natixis ETF Trust II, et al. | Type:Investment Company Act Notice |
Release Number:34171
|
Category:Exchange Traded Funds - Active |
| File Number:812-15178 | Date: | Investment Company:Activeshares ETF Trust, et al. | Type:Investment Company Act Notice |
Release Number:34172
|
Category:Exchange Traded Funds - Active |
| File Number:812-15171 | Date: | Investment Company:ETF Series Solutions and Distillate Capital Partners LLC | Type:Investment Company Act Notice |
Release Number:34169
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15113 | Date: | Investment Company:Palmer Square Capital BDC Inc., et al. | Type:Investment Company Act Order |
Release Number:34167
|
Category:Co-Investment |
| File Number:812-15066 | Date: | Investment Company:Symmetry Panoramic Trust and Symmetry Partners, LLC | Type:Investment Company Act Notice |
Release Number:34165
|
Category:Interfund Lending |
| File Number:812-14951-01 | Date: | Investment Company:KKR Income Opportunities Fund, et al. | Type:Investment Company Act Order |
Release Number:34164
|
Category:Co-Investment |
| File Number:812-15106 | Date: | Investment Company:Esoterica Thematic Trust and Esoterica Capital LLC | Type:Investment Company Act Notice |
Release Number:34161
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15096-01 | Date: | Investment Company:KKR Registered Advisor LLC and KKR Real Estate Select Trust Inc. | Type:Investment Company Act Notice |
Release Number:34147
|
Category:Other |
| File Number:812-15158 | Date: | Investment Company:J.P. Morgan Investment Management Inc., et al. | Type:Investment Company Act Notice |
Release Number:34150
|
Category:Other |
| File Number:812-15169 | Date: | Investment Company:Alps ETF Trust, et al. | Type:Investment Company Act Notice |
Release Number:34149
|
Category:Exchange Traded Funds - Active |
| File Number:812-14979 | Date: | Investment Company:Main Street Capital Corporation, et al. | Type:Investment Company Act Order |
Release Number:34146
|
Category:Co-Investment |
| File Number:812-15167 | Date: | Investment Company:ETF Series Solutions and Clearshares LLC | Type:Investment Company Act Notice |
Release Number:34144
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:813-00395 | Date: | Investment Company:Signature PE Fund, LLC and McDermott Will & Emery LLP | Type:Investment Company Act Notice |
Release Number:34145
|
Category:Employees Securities Company |
| File Number:813-00397 | Date: | Investment Company:Citadel Enterprise Americas LLC (formerly Citadel LLC) and CEIF LLC | Type:Investment Company Act Notice |
Release Number:34143
|
Category:Employees Securities Company |
| File Number:812-15156 | Date: | Investment Company:Oaktree Strategic Income II, Inc., et al. | Type:Investment Company Act Order |
Release Number:34141
|
Category:Co-Investment |
| File Number:812-15113 | Date: | Investment Company:Palmer Square Capital BDC Inc., et al. | Type:Investment Company Act Notice |
Release Number:34139
|
Category:Co-Investment |
| File Number:812-14951-01 | Date: | Investment Company:KKR Income Opportunities Fund, et al. | Type:Investment Company Act Notice |
Release Number:34138
|
Category:Co-Investment |
| File Number:812-15155 | Date: | Investment Company:Northern Funds and Northern Trust Investments, Inc. | Type:Investment Company Act Order |
Release Number:34133
|
Category:Non-In-Person Board Meetings |
| File Number:812-15150 | Date: | Investment Company:NB Crossroads Private Markets Access Fund LLC and Neuberger Berman Investment Advisers LLC | Type:Investment Company Act Order |
Release Number:34132
|
Category:Multi-Class |
| File Number:812-15146 | Date: | Investment Company:Advisorshares Trust, et al. | Type:Investment Company Act Order |
Release Number:34131
|
Category:Exchange Traded Funds - Active |
| File Number:812-14722 | Date: | Investment Company:Allianz Life Insurance Company of North America, et al | Type:Investment Company Act Order |
Release Number:34129
|
Category:Insurance Products - Fund Substitution |
| File Number:812-15070 | Date: | Investment Company:Invesco Capital Management LLC, et al. | Type:Investment Company Act Order |
Release Number:34127
|
Category:Exchange Traded Funds - Active |
| File Number:812-15144 | Date: | Investment Company:First Eagle Credit Opportunities Fund, et al. | Type:Investment Company Act Order |
Release Number:34126
|
Category:Multi-Class |
| File Number:812-15177 | Date: | Investment Company:Upstart Holdings, Inc. | Type:Investment Company Act Order |
Release Number:34124
|
Category:Inadvertent Investment Companies - 6c |
| File Number:812-15083 | Date: | Investment Company:Principal Diversified Select Real Asset Fund, et al. | Type:Investment Company Act Order |
Release Number:34125
|
Category:Co-Investment |
| File Number:812-15116 | Date: | Investment Company:Managed Portfolio Series and Tortoise Index Solutions, LLC | Type:Investment Company Act Order |
Release Number:34105
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15100 | Date: | Investment Company:Investment Managers Series Trust II and AXS Investments LLC | Type:Investment Company Act Order |
Release Number:34104
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14949 | Date: | Investment Company:First Eagle BDC, LLC, et al. | Type:Investment Company Act Order |
Release Number:34102
|
Category:Co-Investment |
| File Number:812-14979 | Date: | Investment Company:Main Street Capital Corporation, et al. | Type:Investment Company Act Notice |
Release Number:34103
|
Category:Co-Investment |
| File Number:812-15121 | Date: | Investment Company:New York Life Insurance and Annuity Corporation, Et Al | Type:Investment Company Act Order |
Release Number:34101
|
Category:Insurance Products - Fund Substitution |
| File Number:812-15156 | Date: | Investment Company:Oaktree Strategic Income II, Inc., et al. | Type:Investment Company Act Notice |
Release Number:34099
|
Category:Co-Investment |
| File Number:812-15139 | Date: | Investment Company:Primark Private Equity Investments Fund and Primark Advisors LLC | Type:Investment Company Act Order |
Release Number:34098
|
Category:Multi-Class |
| File Number:812-15172 | Date: | Investment Company:Goldman Sachs (Malaysia) Sdn. Bhd., et al. | Type:Investment Company Act Order |
Release Number:34097
|
Category:Ineligible - Disqualified Firm |
| File Number:812-15155 | Date: | Investment Company:Northern Funds and Northern Trust Investments, Inc. | Type:Investment Company Act Notice |
Release Number:34095
|
Category:Non-In-Person Board Meetings |
| File Number:812-15150 | Date: | Investment Company:NB Crossroads Private Markets Access Fund LLC and Neuberger Berman Investment Advisers LLC | Type:Investment Company Act Notice |
Release Number:34094
|
Category:Multi-Class |
| File Number:812-15146 | Date: | Investment Company:Advisorshares Trust, et al. | Type:Investment Company Act Notice |
Release Number:34092
|
Category:Exchange Traded Funds - Active |
| File Number:812-15104 | Date: | Investment Company:361 Social Infrastructure Fund and 361 Infrastructure Partners, LLC | Type:Investment Company Act Order |
Release Number:34091
|
Category:Multi-Class |
| File Number:812-15038 | Date: | Investment Company:Yieldstreet Prism Fund Inc., et al. | Type:Investment Company Act Order |
Release Number:34090
|
Category:Co-Investment |
| File Number:812-15177 | Date: | Investment Company:Upstart Holdings, Inc. | Type:Investment Company Act Notice |
Release Number:34088
|
Category:Inadvertent Investment Companies - 6c |
| File Number:812-15070 | Date: | Investment Company:Invesco Capital Management LLC, et al. | Type:Investment Company Act Notice |
Release Number:34087
|
Category:Exchange Traded Funds - Active |
| File Number:812-15159 | Date: | Investment Company:Snowflake, Inc. | Type:Investment Company Act Order |
Release Number:34085
|
Category:Inadvertent Investment Companies - 3b2 |
| File Number:812-15083 | Date: | Investment Company:Principal Diversified Select Real Asset Fund, et al. | Type:Investment Company Act Notice |
Release Number:34086
|
Category:Co-Investment |
| File Number:812-15164 | Date: | Investment Company:Development Bank of Japan Inc. | Type:Investment Company Act Order |
Release Number:34083
|
Category:Inadvertent Investment Companies - Foreign Banks/Insurance |
| File Number:812-15144 | Date: | Investment Company:First Eagle Credit Opportunities Fund, et al. | Type:Investment Company Act Notice |
Release Number:34080
|
Category:Multi-Class |
| File Number:812-15121 | Date: | Investment Company:New York Life Insurance and Annuity Corporation, Et Al | Type:Investment Company Act Notice |
Release Number:34079
|
Category:Insurance Products - Fund Substitution |