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:812-15007 | Date: | Investment Company:Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC | Type:Investment Company Act Order |
Release Number:33801
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Category:Non-In-Person Board Meetings |
| File Number:812-15037 | Date: | Investment Company:Prospect Capital Management L.P., et al. | Type:Investment Company Act Notice |
Release Number:33800
|
Category:Multi-Class |
| File Number:812-15088 | Date: | Investment Company:ETF Managers Trust and ETF Managers Group LLC | Type:Investment Company Act Notice |
Release Number:33799
|
Category:Fund of Funds - Multi-Group |
| File Number:812-15081 | Date: | Investment Company:Goldman Sachs Real Estate Diversified Income Fund, et al. | Type:Investment Company Act Order |
Release Number:33797
|
Category:Multi-Class |
| File Number:812-14940 | Date: | Investment Company:Kayne Anderson MLP/Midstream Investment Company, et al. | Type:Investment Company Act Order |
Release Number:33798
|
Category:Co-Investment |
| File Number:812-14383-09 | Date: | Investment Company:FS Energy and Power Fund and FS/EIG Advisor, LLC | Type:Investment Company Act Notice |
Release Number:33794
|
Category:Multi-Class |
| File Number:812-15040 | Date: | Investment Company:Fundrise Real Estate Interval Fund, LLC, et al. | Type:Investment Company Act Order |
Release Number:33793
|
Category:Co-Investment |
| File Number:812-15007 | Date: | Investment Company:Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC | Type:Investment Company Act Notice |
Release Number:33748
|
Category:Non-In-Person Board Meetings |
| File Number:812-14949 | Date: | Investment Company:First Eagle BDC, LLC, et al. | Type:Investment Company Act Notice |
Release Number:33746
|
Category:Co-Investment |
| File Number:812-14977 | Date: | Investment Company:Prospect Capital Corporation, et al. | Type:Investment Company Act Order |
Release Number:33745
|
Category:Co-Investment |
| File Number:812-15081 | Date: | Investment Company:Goldman Sachs Real Estate Diversified Income Fund, et al. | Type:Investment Company Act Notice |
Release Number:33743
|
Category:Multi-Class |
| File Number:813-00394 | Date: | Investment Company:Lazard Asset Management LLC and Lazard ESC Funds LLC | Type:Investment Company Act Order |
Release Number:33741
|
Category:Employees Securities Company |
| File Number:812-14940 | Date: | Investment Company:Kayne Anderson MLP/Midstream Investment Company, et al. | Type:Investment Company Act Notice |
Release Number:33742
|
Category:Co-Investment |
| File Number:812-15040 | Date: | Investment Company:Fundrise Real Estate Interval Fund, LLC, et al. | Type:Investment Company Act Notice |
Release Number:33739
|
Category:Co-Investment |
| File Number:812-14967 | Date: | Investment Company:Blackstone Alternative Alpha Fund, et al. | Type:Investment Company Act Order |
Release Number:33738
|
Category:Co-Investment |
| File Number:812-14722 | Date: | Investment Company:Allianz Life Insurance Company of North America, et al | Type:Investment Company Act Notice |
Release Number:33721
|
Category:Insurance Products - Fund Substitution |
| File Number:812-14722 | Date: | Investment Company:Allianz Life Insurance Company of North America, et al | Type:Investment Company Act Notice |
Release Number:33721
|
Category:Insurance Products - Fund Substitution |
| File Number:812-15021 | Date: | Investment Company:Blackstone Alternative Alpha Fund, et al. | Type:Investment Company Act Order |
Release Number:33720
|
Category:Interfund Lending |
| File Number:812-14957 | Date: | Investment Company:North Square Investments Trust, et al. | Type:Investment Company Act Order |
Release Number:33719
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14977 | Date: | Investment Company:Prospect Capital Corporation, et al. | Type:Investment Company Act Notice |
Release Number:33716
|
Category:Co-Investment |
| File Number:812-14626-01 | Date: | Investment Company:AMG Pantheon Master Fund, LLC, et al. | Type:Investment Company Act Order |
Release Number:33714
|
Category:Co-Investment |
| File Number:812-14625 | Date: | Investment Company:Blue Tractor ETF Trust and Blue Tractor Group, LLC | Type:Investment Company Act Order |
Release Number:33710
|
Category:Exchange Traded Funds - Active |
| File Number:812-14364 | Date: | Investment Company:Fidelity Beach Street Trust, et al. | Type:Investment Company Act Order |
Release Number:33712
|
Category:Exchange Traded Funds - Active |
| File Number:812-14870 | Date: | Investment Company:Natixis ETF Trust II, et al. | Type:Investment Company Act Order |
Release Number:33711
|
Category:Exchange Traded Funds - Active |
| File Number:812-14214 | Date: | Investment Company:T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc. | Type:Investment Company Act Order |
Release Number:33713
|
Category:Exchange Traded Funds - Active |
| File Number:812-15036 | Date: | Investment Company:Gabelli ETFs Trust, et al. | Type:Investment Company Act Order |
Release Number:33708
|
Category:Exchange Traded Funds - Active |
| File Number:813-00394 | Date: | Investment Company:Lazard Asset Management LLC and Lazard ESC Funds LLC | Type:Investment Company Act Notice |
Release Number:33709
|
Category:Employees Securities Company |
| File Number:812-14967 | Date: | Investment Company:Blackstone Alternative Alpha Fund, et al. | Type:Investment Company Act Notice |
Release Number:33707
|
Category:Co-Investment |
| File Number:812-15060 | Date: | Investment Company:OSI ETF Trust, et al. | Type:Investment Company Act Order |
Release Number:33705
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15021 | Date: | Investment Company:Blackstone Alternative Alpha Fund, et al. | Type:Investment Company Act Notice |
Release Number:33703
|
Category:Interfund Lending |
| File Number:812-14957 | Date: | Investment Company:North Square Investments Trust, et al. | Type:Investment Company Act Notice |
Release Number:33702
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15052 | Date: | Investment Company:MassMutual Select Funds, et al. | Type:Investment Company Act Order |
Release Number:33686
|
Category:Fund of Funds - Multi-Group |
| File Number:812-14626-01 | Date: | Investment Company:AMG Pantheon Master Fund, LLC, et al. | Type:Investment Company Act Notice |
Release Number:33687
|
Category:Co-Investment |
| File Number:812-14625 | Date: | Investment Company:Blue Tractor ETF Trust and Blue Tractor Group, LLC | Type:Investment Company Act Notice |
Release Number:33682
|
Category:Exchange Traded Funds - Active |
| File Number:812-14364 | Date: | Investment Company:Fidelity Beach Street Trust, et al. | Type:Investment Company Act Notice |
Release Number:33683
|
Category:Exchange Traded Funds - Active |
| File Number:812-14870 | Date: | Investment Company:Natixis ETF Trust II, et al. | Type:Investment Company Act Notice |
Release Number:33684
|
Category:Exchange Traded Funds - Active |
| File Number:812-14214 | Date: | Investment Company:T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc. | Type:Investment Company Act Notice |
Release Number:33685
|
Category:Exchange Traded Funds - Active |
| File Number:812-15036 | Date: | Investment Company:Gabelli ETFs Trust, et al. | Type:Investment Company Act Notice |
Release Number:33681
|
Category:Exchange Traded Funds - Active |
| File Number:812-15033 | Date: | Investment Company:Mutual of America Life Insurance Company, et al. | Type:Investment Company Act Order |
Release Number:33679
|
Category:Insurance Products - Fund Substitution |
| File Number:812-14993 | Date: | Investment Company:Calvert Fund, et al. | Type:Investment Company Act Order |
Release Number:33680
|
Category:Affiliated Sales & Purchases - Other |
| File Number:812-15060 | Date: | Investment Company:OSI ETF Trust, et al. | Type:Investment Company Act Notice |
Release Number:33678
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15052 | Date: | Investment Company:MassMutual Select Funds, et al. | Type:Investment Company Act Notice |
Release Number:33675
|
Category:Fund of Funds - Multi-Group |
| File Number:812-15001 | Date: | Investment Company:CIM Real Assets & Credit Fund, et al. | Type:Investment Company Act Order |
Release Number:33659
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Category:Multi-Class |
| File Number:812-15031 | Date: | Investment Company:ETFis Series Trust I, et al. | Type:Investment Company Act Order |
Release Number:33655
|
Category:Fund of Funds - Multi-Group |
| File Number:812-15030 | Date: | Investment Company:New Mountain Finance Corporation, et al. | Type:Investment Company Act Order |
Release Number:33656
|
Category:Co-Investment |
| File Number:812-14988 | Date: | Investment Company:Diamond Hill Funds and Diamond Hill Capital Management, Inc. | Type:Investment Company Act Order |
Release Number:33652
|
Category:Interfund Lending |
| File Number:812-15033 | Date: | Investment Company:Mutual of America Life Insurance Company, et al. | Type:Investment Company Act Notice |
Release Number:33654
|
Category:Insurance Products - Fund Substitution |
| File Number:812-14993 | Date: | Investment Company:Calvert Fund, et al. | Type:Investment Company Act Notice |
Release Number:33653
|
Category:Affiliated Sales & Purchases - Other |
| File Number:812-15004 | Date: | Investment Company:Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC | Type:Investment Company Act Order |
Release Number:33632
|
Category:Multi-Class |
| File Number:812-15034 | Date: | Investment Company:Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC. | Type:Investment Company Act Notice |
Release Number:33631
|
Category:Exchange Traded Funds - Active |
| File Number:812-15001 | Date: | Investment Company:CIM Real Assets & Credit Fund, et al. | Type:Investment Company Act Notice |
Release Number:33630
|
Category:Multi-Class |
| File Number:812-14998 | Date: | Investment Company:New Age Alpha Advisors, LLC and New Age Alpha Trust | Type:Investment Company Act Order |
Release Number:33628
|
Category:Exchange Traded Funds - Index |
| File Number:812-15030 | Date: | Investment Company:New Mountain Finance Corporation, et al. | Type:Investment Company Act Notice |
Release Number:33624
|
Category:Co-Investment |
| File Number:812-15031 | Date: | Investment Company:ETFis Series Trust I, et al. | Type:Investment Company Act Notice |
Release Number:33622
|
Category:Fund of Funds - Multi-Group |
| File Number:812-15022 | Date: | Investment Company:Alaia Capital, LLC and m+ ETF Trust | Type:Investment Company Act Order |
Release Number:33621
|
Category:Exchange Traded Funds - Active |
| File Number:812-15035 | Date: | Investment Company:American Century ETF Trust, et al. | Type:Investment Company Act Order |
Release Number:33620
|
Category:Exchange Traded Funds - Active |
| File Number:812-15012 | Date: | Investment Company:Collaborative Investment Series Trust and Tactical Fund Advisors, LLC | Type:Investment Company Act Order |
Release Number:33619
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15041 | Date: | Investment Company:Forum Funds, et al. | Type:Investment Company Act Order |
Release Number:33618
|
Category:Fund of Funds - Multi-Group |
| File Number:812-14988 | Date: | Investment Company:Diamond Hill Funds and Diamond Hill Capital Management, Inc. | Type:Investment Company Act Notice |
Release Number:33616
|
Category:Interfund Lending |
| File Number:812-15004 | Date: | Investment Company:Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC | Type:Investment Company Act Notice |
Release Number:33610
|
Category:Multi-Class |
| File Number:812-15014 | Date: | Investment Company:ETF Opportunities Trust, et al. | Type:Investment Company Act Order |
Release Number:33609
|
Category:Exchange Traded Funds - Active |
| File Number:812-14998 | Date: | Investment Company:New Age Alpha Advisors, LLC and New Age Alpha Trust | Type:Investment Company Act Notice |
Release Number:33606
|
Category:Exchange Traded Funds - Index |
| File Number:812-15010 | Date: | Investment Company:PFS Funds and Castle Investment Management, LLC. | Type:Investment Company Act Order |
Release Number:33595
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14911 | Date: | Investment Company:The Guardian Insurance & Annuity Company, Inc., et al. | Type:Investment Company Act Order |
Release Number:33594
|
Category:Insurance Products - Fund Substitution |
| File Number:812-14983 | Date: | Investment Company:Zacks Investment Management, Inc. and Zacks Trust | Type:Investment Company Act Order |
Release Number:33592
|
Category:Exchange Traded Funds - Index |
| File Number:812-14984 | Date: | Investment Company:Zacks Investment Management, Inc. and Zacks Trust | Type:Investment Company Act Order |
Release Number:33593
|
Category:Exchange Traded Funds - Active |
| File Number:812-15026 | Date: | Investment Company:Liquid Strategies, LLC and Listed Funds Trust | Type:Investment Company Act Order |
Release Number:33596
|
Category:Exchange Traded Funds - Active |
| File Number:812-14964 | Date: | Investment Company:1WS Credit Income Fund and 1WS Capital Advisers, LLC | Type:Investment Company Act Order |
Release Number:33589
|
Category:Multi-Class |
| File Number:812-15035 | Date: | Investment Company:American Century ETF Trust, et al. | Type:Investment Company Act Notice |
Release Number:33590
|
Category:Exchange Traded Funds - Active |
| File Number:812-15012 | Date: | Investment Company:Collaborative Investment Series Trust and Tactical Fund Advisors, LLC | Type:Investment Company Act Notice |
Release Number:33588
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15041 | Date: | Investment Company:Forum Funds, et al. | Type:Investment Company Act Notice |
Release Number:33587
|
Category:Fund of Funds - Multi-Group |
| File Number:812-14856 | Date: | Investment Company:Voya Retirement Insurance and Annuity Company et al. | Type:Investment Company Act Order |
Release Number:33586
|
Category:Insurance Products - Fund Substitution |
| File Number:812-15032 | Date: | Investment Company:Northern Lights Fund Trust III, et al. | Type:Investment Company Act Order |
Release Number:33585
|
Category:Exchange Traded Funds - Index |
| File Number:812-15039 | Date: | Investment Company:WicShares Trust and Water Island Capital, LLC | Type:Investment Company Act Order |
Release Number:33584
|
Category:Exchange Traded Funds - Index |
| File Number:812-15022 | Date: | Investment Company:Alaia Capital, LLC and m+ ETF Trust | Type:Investment Company Act Notice |
Release Number:33580
|
Category:Exchange Traded Funds - Active |
| File Number:812-15014 | Date: | Investment Company:ETF Opportunities Trust, et al. | Type:Investment Company Act Notice |
Release Number:33579
|
Category:Exchange Traded Funds - Active |
| File Number:812-15026 | Date: | Investment Company:Liquid Strategies, LLC and Listed Funds Trust | Type:Investment Company Act Notice |
Release Number:33576
|
Category:Exchange Traded Funds - Active |
| File Number:812-15010 | Date: | Investment Company:PFS Funds and Castle Investment Management, LLC. | Type:Investment Company Act Notice |
Release Number:33563
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14911 | Date: | Investment Company:The Guardian Insurance & Annuity Company, Inc., et al. | Type:Investment Company Act Notice |
Release Number:33566
|
Category:Insurance Products - Fund Substitution |
| File Number:812-14983 | Date: | Investment Company:Zacks Investment Management, Inc. and Zacks Trust | Type:Investment Company Act Notice |
Release Number:33564
|
Category:Exchange Traded Funds - Index |
| File Number:812-14984 | Date: | Investment Company:Zacks Investment Management, Inc. and Zacks Trust | Type:Investment Company Act Notice |
Release Number:33565
|
Category:Exchange Traded Funds - Active |
| File Number:812-14962 | Date: | Investment Company:Lord Abbett Credit Opportunities Fund, et al. | Type:Investment Company Act Order |
Release Number:33558
|
Category:Multi-Class |
| File Number:812-14991 | Date: | Investment Company:Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds | Type:Investment Company Act Order |
Release Number:33555
|
Category:Exchange Traded Funds - Active |
| File Number:812-14964 | Date: | Investment Company:1WS Credit Income Fund and 1WS Capital Advisers, LLC | Type:Investment Company Act Notice |
Release Number:33556
|
Category:Multi-Class |
| File Number:812-14968 | Date: | Investment Company:Axonic Alternative Income Fund and Axonic Capital LLC | Type:Investment Company Act Order |
Release Number:33553
|
Category:Multi-Class |
| File Number:812-14856 | Date: | Investment Company:Voya Retirement Insurance and Annuity Company et al. | Type:Investment Company Act Notice |
Release Number:33554
|
Category:Insurance Products - Fund Substitution |
| File Number:812-15032 | Date: | Investment Company:Northern Lights Fund Trust III, et al. | Type:Investment Company Act Notice |
Release Number:33551
|
Category:Exchange Traded Funds - Index |
| File Number:812-14854 | Date: | Investment Company:Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC | Type:Investment Company Act Order |
Release Number:33547
|
Category:Multi-Class |
| File Number:812-14994 | Date: | Investment Company:Wahed Invest LLC, et al. | Type:Investment Company Act Order |
Release Number:33549
|
Category:Exchange Traded Funds - Index |
| File Number:812-15000 | Date: | Investment Company:Vertical Capital Income Fund and Oakline Advisors, LLC | Type:Investment Company Act Order |
Release Number:33548
|
Category:Distributions |
| File Number:812-15018 | Date: | Investment Company:Pioneer ETF Series Trust I, et al. | Type:Investment Company Act Order |
Release Number:33546
|
Category:Exchange Traded Funds - Active |
| File Number:812-14915 | Date: | Investment Company:Cresset Private Markets Opportunity Fund and Cresset SPG, LLC | Type:Investment Company Act Order |
Release Number:33536
|
Category:Multi-Class |
| File Number:812-15039 | Date: | Investment Company:WicShares Trust and Water Island Capital, LLC | Type:Investment Company Act Notice |
Release Number:33535
|
Category:Exchange Traded Funds - Index |
| File Number:812-14791 | Date: | Investment Company:Columbia Funds Series Trust, et al. | Type:Investment Company Act Order |
Release Number:33519
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14917 | Date: | Investment Company:John Hancock GA Mortgage Trust, et al. | Type:Investment Company Act Order |
Release Number:33518
|
Category:Co-Investment |
| File Number:812-14955 | Date: | Investment Company:BlackRock Capital Investment Corporation, et al. | Type:Investment Company Act Order |
Release Number:33515
|
Category:Co-Investment |
| File Number:812-14991 | Date: | Investment Company:Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds | Type:Investment Company Act Notice |
Release Number:33516
|
Category:Exchange Traded Funds - Active |
| File Number:812-14962 | Date: | Investment Company:Lord Abbett Credit Opportunities Fund, et al. | Type:Investment Company Act Notice |
Release Number:33513
|
Category:Multi-Class |
| File Number:813-00391 | Date: | Investment Company:Tudor Investment Corporation and Tudor Employee Investment Fund LLC | Type:Investment Company Act Order |
Release Number:33510
|
Category:Employees Securities Company |
| File Number:812-14968 | Date: | Investment Company:Axonic Alternative Income Fund and Axonic Capital LLC | Type:Investment Company Act Notice |
Release Number:33508
|
Category:Multi-Class |