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:812-14854 | Date: | Investment Company:Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC | Type:Investment Company Act Notice |
Release Number:33509
|
Category:Multi-Class |
| File Number:812-14994 | Date: | Investment Company:Wahed Invest LLC, et al. | Type:Investment Company Act Notice |
Release Number:33507
|
Category:Exchange Traded Funds - Index |
| File Number:812-15018 | Date: | Investment Company:Pioneer ETF Series Trust I, et al. | Type:Investment Company Act Notice |
Release Number:33506
|
Category:Exchange Traded Funds - Active |
| File Number:812-15000 | Date: | Investment Company:Vertical Capital Income Fund and Oakline Advisors, LLC | Type:Investment Company Act Notice |
Release Number:33505
|
Category:Distributions |
| File Number:812-14898 | Date: | Investment Company:Nuveen Churchill BDC LLC, et al. | Type:Investment Company Act Order |
Release Number:33503
|
Category:Co-Investment |
| File Number:812-14953 | Date: | Investment Company:Collaborative Investment Series Trust and Belpointe Asset Management, LLC | Type:Investment Company Act Order |
Release Number:33502
|
Category:Exchange Traded Funds - Active |
| File Number:812-14975 | Date: | Investment Company:Ellington Income Opportunities Fund, et al. | Type:Investment Company Act Order |
Release Number:33501
|
Category:Multi-Class |
| File Number:812-14894 | Date: | Investment Company:ALPS Variable Investment Trust, et al. | Type:Investment Company Act Order |
Release Number:33500
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14996 | Date: | Investment Company:Toroso Investments, LLC and Tidal ETF Trust | Type:Investment Company Act Order |
Release Number:33499
|
Category:Exchange Traded Funds - Index |
| File Number:812-14915 | Date: | Investment Company:Cresset Private Markets Opportunity Fund and Cresset SPG, LLC | Type:Investment Company Act Notice |
Release Number:33497
|
Category:Multi-Class |
| File Number:812-14791 | Date: | Investment Company:Columbia Funds Series Trust, et al. | Type:Investment Company Act Notice |
Release Number:33495
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14194-03 | Date: | Investment Company:Carillon Series Trust, et al. | Type:Investment Company Act Order |
Release Number:33494
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14917 | Date: | Investment Company:John Hancock GA Mortgage Trust, et al. | Type:Investment Company Act Notice |
Release Number:33493
|
Category:Co-Investment |
| File Number:813-00391 | Date: | Investment Company:Tudor Investment Corporation and Tudor Employee Investment Fund LLC | Type:Investment Company Act Notice |
Release Number:33492
|
Category:Employees Securities Company |
| File Number:812-14943 | Date: | Investment Company:Symmetry Panoramic Trust and Symmetry Partners, LLC | Type:Investment Company Act Order |
Release Number:33478
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14995 | Date: | Investment Company:M-CAM International LLC, et al. | Type:Investment Company Act Order |
Release Number:33479
|
Category:Exchange Traded Funds - Index |
| File Number:812-14955 | Date: | Investment Company:BlackRock Capital Investment Corporation, et al. | Type:Investment Company Act Notice |
Release Number:33480
|
Category:Co-Investment |
| File Number:812-14405 | Date: | Investment Company:Precidian ETFs Trust, et al. | Type:Investment Company Act Order |
Release Number:33477
|
Category:Exchange Traded Funds - Active |
| File Number:812-14898 | Date: | Investment Company:Nuveen Churchill BDC LLC, et al. | Type:Investment Company Act Notice |
Release Number:33475
|
Category:Co-Investment |
| File Number:812-14970 | Date: | Investment Company:Putnam Managed Municipal Income Trust, et al. | Type:Investment Company Act Order |
Release Number:33474
|
Category:Distributions |
| File Number:812-14868 | Date: | Investment Company:Eaton Vance Growth Trust, et al. | Type:Investment Company Act Order |
Release Number:33473
|
Category:Interfund Lending |
| File Number:812-14953 | Date: | Investment Company:Collaborative Investment Series Trust and Belpointe Asset Management, LLC | Type:Investment Company Act Notice |
Release Number:33472
|
Category:Exchange Traded Funds - Active |
| File Number:812-14981 | Date: | Investment Company:Roundhill Financial LLC and Listed Funds Trust | Type:Investment Company Act Order |
Release Number:33471
|
Category:Exchange Traded Funds - Index |
| File Number:812-14975 | Date: | Investment Company:Ellington Income Opportunities Fund, et al. | Type:Investment Company Act Notice |
Release Number:33470
|
Category:Multi-Class |
| File Number:812-14996 | Date: | Investment Company:Toroso Investments, LLC and Tidal ETF Trust | Type:Investment Company Act Notice |
Release Number:33469
|
Category:Exchange Traded Funds - Index |
| File Number:812-14894 | Date: | Investment Company:ALPS Variable Investment Trust, et al. | Type:Investment Company Act Notice |
Release Number:33468
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14932 | Date: | Investment Company:Principal Diversified Select Income Fund, et al. | Type:Investment Company Act Order |
Release Number:33466
|
Category:Multi-Class |
| File Number:812-14194-03 | Date: | Investment Company:Carillon Series Trust, et al. | Type:Investment Company Act Notice |
Release Number:33464
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14881 | Date: | Investment Company:Monteagle Funds and Nashville Capital Corporation | Type:Investment Company Act Order |
Release Number:33463
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14944 | Date: | Investment Company:iM Global Partner US LLC and Manager Directed Portfolios | Type:Investment Company Act Order |
Release Number:33451
|
Category:Exchange Traded Funds - Active |
| File Number:812-14943 | Date: | Investment Company:Symmetry Panoramic Trust and Symmetry Partners, LLC | Type:Investment Company Act Notice |
Release Number:33452
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14995 | Date: | Investment Company:M-CAM International LLC, et al. | Type:Investment Company Act Notice |
Release Number:33450
|
Category:Exchange Traded Funds - Index |
| File Number:812-14970 | Date: | Investment Company:Putnam Managed Municipal Income Trust, et al. | Type:Investment Company Act Notice |
Release Number:33449
|
Category:Distributions |
| File Number:812-15011 | Date: | Investment Company:Wells Fargo Securities, LLC, et al. | Type:Investment Company Act Order |
Release Number:33448
|
Category:Ineligible - Disqualified Firm |
| File Number:812-14868 | Date: | Investment Company:Eaton Vance Growth Trust, et al. | Type:Investment Company Act Notice |
Release Number:33447
|
Category:Interfund Lending |
| File Number:812-14981 | Date: | Investment Company:Roundhill Financial LLC and Listed Funds Trust | Type:Investment Company Act Notice |
Release Number:33446
|
Category:Exchange Traded Funds - Index |
| File Number:812-14929 | Date: | Investment Company:O'Shaughnessy Asset Management, LLC, et al. | Type:Investment Company Act Order |
Release Number:33443
|
Category:Exchange Traded Funds - Index |
| File Number:812-15009 | Date: | Investment Company:Lyft, Inc. | Type:Investment Company Act Order |
Release Number:33442
|
Category:Inadvertent Investment Companies - 3b2 |
| File Number:812-14932 | Date: | Investment Company:Principal Diversified Select Income Fund, et al. | Type:Investment Company Act Notice |
Release Number:33441
|
Category:Multi-Class |
| File Number:812-14405 | Date: | Investment Company:Precidian ETFs Trust, et al. | Type:Investment Company Act Notice |
Release Number:33440
|
Category:Exchange Traded Funds - Active |
| File Number:812-14959 | Date: | Investment Company:American Beacon Sound Point Enhanced Income Fund, et al. | Type:Investment Company Act Order |
Release Number:33439
|
Category:Multi-Class |
| File Number:812-14956 | Date: | Investment Company:BlackRock Credit Strategies Fund, et al. | Type:Investment Company Act Order |
Release Number:33437
|
Category:Multi-Class |
| File Number:812-14980 | Date: | Investment Company:TigerShares Trust, et al. | Type:Investment Company Act Order |
Release Number:33438
|
Category:Exchange Traded Funds - Active |
| File Number:812-14990 | Date: | Investment Company:Macquarie Global Infrastructure Total Return Fund Inc., et al. | Type:Investment Company Act Order |
Release Number:33436
|
Category:Distributions |
| File Number:812-14939 | Date: | Investment Company:Toroso Investments, LLC and Tidal ETF Trust | Type:Investment Company Act Order |
Release Number:33433
|
Category:Exchange Traded Funds - Index |
| File Number:812-14944 | Date: | Investment Company:iM Global Partner US LLC and Manager Directed Portfolios | Type:Investment Company Act Notice |
Release Number:33431
|
Category:Exchange Traded Funds - Active |
| File Number:812-14938 | Date: | Investment Company:Infusive US Trust, et al. | Type:Investment Company Act Order |
Release Number:33430
|
Category:Exchange Traded Funds - Index |
| File Number:812-15011 | Date: | Investment Company:Wells Fargo Securities, LLC, et al. | Type:Investment Company Act Notice |
Release Number:33404
|
Category:Ineligible - Disqualified Firm |
| File Number:812-14954 | Date: | Investment Company:Acquirers Funds, LLC, et al. | Type:Investment Company Act Order |
Release Number:33403
|
Category:Exchange Traded Funds - Index |
| File Number:812-14887 | Date: | Investment Company:OBP Capital LLC, et al. | Type:Investment Company Act Order |
Release Number:33402
|
Category:Exchange Traded Funds - Index |
| File Number:812-14850 | Date: | Investment Company:CM Finance Inc, et al. | Type:Investment Company Act Order |
Release Number:33401
|
Category:Co-Investment |
| File Number:812-15009 | Date: | Investment Company:Lyft, Inc. | Type:Investment Company Act Notice |
Release Number:33399
|
Category:Inadvertent Investment Companies - 3b2 |
| File Number:812-14974 | Date: | Investment Company:Pacer Funds Trust, et al. | Type:Investment Company Act Order |
Release Number:33397
|
Category:Exchange Traded Funds - Active |
| File Number:812-14891 | Date: | Investment Company:Pharos Capital BDC, Inc., et al. | Type:Investment Company Act Order |
Release Number:33394
|
Category:Co-Investment |
| File Number:812-14929 | Date: | Investment Company:O'Shaughnessy Asset Management, LLC, et al. | Type:Investment Company Act Notice |
Release Number:33395
|
Category:Exchange Traded Funds - Index |
| File Number:812-14959 | Date: | Investment Company:American Beacon Sound Point Enhanced Income Fund, et al. | Type:Investment Company Act Notice |
Release Number:33393
|
Category:Multi-Class |
| File Number:812-14980 | Date: | Investment Company:TigerShares Trust, et al. | Type:Investment Company Act Notice |
Release Number:33392
|
Category:Exchange Traded Funds - Active |
| File Number:812-14985 | Date: | Investment Company:Victory Capital Management Inc., et al. | Type:Investment Company Act Order |
Release Number:33390
|
Category:Exchange Traded Funds - Active |
| File Number:812-14986 | Date: | Investment Company:Victory Capital Management Inc. et al. | Type:Investment Company Act Order |
Release Number:33387
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14956 | Date: | Investment Company:BlackRock Credit Strategies Fund, et al. | Type:Investment Company Act Notice |
Release Number:33388
|
Category:Multi-Class |
| File Number:812-14990 | Date: | Investment Company:Macquarie Global Infrastructure Total Return Fund Inc., et al. | Type:Investment Company Act Notice |
Release Number:33389
|
Category:Distributions |
| File Number:812-14937 | Date: | Investment Company:Special Opportunities Fund, Inc. and Bulldog Investors, LLC | Type:Investment Company Act Order |
Release Number:33386
|
Category:Distributions |
| File Number:812-14938 | Date: | Investment Company:Infusive US Trust, et al. | Type:Investment Company Act Notice |
Release Number:33385
|
Category:Exchange Traded Funds - Index |
| File Number:812-14881 | Date: | Investment Company:Monteagle Funds and Nashville Capital Corporation | Type:Investment Company Act Notice |
Release Number:33379
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14939 | Date: | Investment Company:Toroso Investments, LLC and Tidal ETF Trust | Type:Investment Company Act Notice |
Release Number:33378
|
Category:Exchange Traded Funds - Index |
| File Number:812-14954 | Date: | Investment Company:Acquirers Funds, LLC, et al. | Type:Investment Company Act Notice |
Release Number:33380
|
Category:Exchange Traded Funds - Index |
| File Number:812-14887 | Date: | Investment Company:OBP Capital LLC, et al. | Type:Investment Company Act Notice |
Release Number:33381
|
Category:Exchange Traded Funds - Index |
| File Number:812-14850 | Date: | Investment Company:CM Finance Inc, et al. | Type:Investment Company Act Notice |
Release Number:33377
|
Category:Co-Investment |
| File Number:812-14974 | Date: | Investment Company:Pacer Funds Trust, et al. | Type:Investment Company Act Notice |
Release Number:33374
|
Category:Exchange Traded Funds - Active |
| File Number:812-14985 | Date: | Investment Company:Victory Capital Management Inc., et al. | Type:Investment Company Act Notice |
Release Number:33371
|
Category:Exchange Traded Funds - Active |
| File Number:812-14891 | Date: | Investment Company:Pharos Capital BDC, Inc., et al. | Type:Investment Company Act Notice |
Release Number:33372
|
Category:Co-Investment |
| File Number:812-14986 | Date: | Investment Company:Victory Capital Management Inc. et al. | Type:Investment Company Act Notice |
Release Number:33369
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14965 | Date: | Investment Company:Yleana Advisors, LLC and Yleana Trust | Type:Investment Company Act Notice |
Release Number:33368
|
Category:Exchange Traded Funds - Index |
| File Number:812-14966 | Date: | Investment Company:Yleana Advisors, LLC and Yleana Trust | Type:Investment Company Act Notice |
Release Number:33370
|
Category:Exchange Traded Funds - Active |
| File Number:812-14937 | Date: | Investment Company:Special Opportunities Fund, Inc. and Bulldog Investors, LLC | Type:Investment Company Act Notice |
Release Number:33367
|
Category:Distributions |
| File Number:812-14900 | Date: | Investment Company:Stone Ridge Trust II, et al. | Type:Investment Company Act Order |
Release Number:33363
|
Category:Multi-Class |
| File Number:812-14902 | Date: | Investment Company:Cliffwater Corporate Lending Fund and Cliffwater LLC | Type:Investment Company Act Order |
Release Number:33365
|
Category:Multi-Class |
| File Number:812-14942 | Date: | Investment Company:Symmetry Panoramic Trust and Symmetry Partners, LLC | Type:Investment Company Act Order |
Release Number:33364
|
Category:Fund of Funds - Multi-Group |
| File Number:812-14960 | Date: | Investment Company:OSI ETF Trust, et al. | Type:Investment Company Act Order |
Release Number:33366
|
Category:Exchange Traded Funds - Active |
| File Number:812-14961 | Date: | Investment Company:RYZZ Capital Management, LLC, et al. | Type:Investment Company Act Order |
Release Number:33362
|
Category:Exchange Traded Funds - Active |
| File Number:812-14910 | Date: | Investment Company:Hercules Capital, Inc. | Type:Investment Company Act Order |
Release Number:33360
|
Category:Business Development Companies - Compensation |
| File Number:812-14893 | Date: | Investment Company:Investment Managers Series Trust and 361 Capital, LLC | Type:Investment Company Act Order |
Release Number:33349
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14947 | Date: | Investment Company:TigerShares Trust, et al. | Type:Investment Company Act Order |
Release Number:33350
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14969 | Date: | Investment Company:Hoya Capital Real Estate, LLC, et al. | Type:Investment Company Act Order |
Release Number:33359
|
Category:Exchange Traded Funds - Index |
| File Number:812-14958 | Date: | Investment Company:Timothy Plan and Timothy Partners, Ltd. | Type:Investment Company Act Order |
Release Number:33352
|
Category:Exchange Traded Funds - Index |
| File Number:812-14933 | Date: | Investment Company:Pacific Global ETF Trust and Cadence Capital Management LLC | Type:Investment Company Act Order |
Release Number:33353
|
Category:Exchange Traded Funds - Active |
| File Number:812-14912 | Date: | Investment Company:Ai Funds, Inc. and Deep A.I. ETF Trust | Type:Investment Company Act Order |
Release Number:33348
|
Category:Exchange Traded Funds - Active |
| File Number:812-14822 | Date: | Investment Company:American Fidelity Assurance Company, et al. | Type:Investment Company Act Order |
Release Number:33345
|
Category:Insurance Products - Fund Substitution |
| File Number:812-14812 | Date: | Investment Company:AQR Trust and AQR Capital Management, LLC | Type:Investment Company Act Order |
Release Number:33346
|
Category:Exchange Traded Funds - Index |
| File Number:812-14811 | Date: | Investment Company:AQR Trust and AQR Capital Management, LLC | Type:Investment Company Act Order |
Release Number:33347
|
Category:Exchange Traded Funds - Active |
| File Number:812-14812 | Date: | Investment Company:AQR Trust and AQR Capital Management, LLC | Type:Investment Company Act Notice |
Release Number:33343
|
Category:Exchange Traded Funds - Index |
| File Number:812-14811 | Date: | Investment Company:AQR Trust and AQR Capital Management, LLC | Type:Investment Company Act Notice |
Release Number:33342
|
Category:Exchange Traded Funds - Active |
| File Number:812-14910 | Date: | Investment Company:Hercules Capital, Inc. | Type:Investment Company Act Notice |
Release Number:33341
|
Category:Business Development Companies - Compensation |
| File Number:812-14947 | Date: | Investment Company:TigerShares Trust, et al. | Type:Investment Company Act Notice |
Release Number:33334
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14958 | Date: | Investment Company:Timothy Plan and Timothy Partners, Ltd. | Type:Investment Company Act Notice |
Release Number:33331
|
Category:Exchange Traded Funds - Index |
| File Number:812-14960 | Date: | Investment Company:OSI ETF Trust, et al. | Type:Investment Company Act Notice |
Release Number:33330
|
Category:Exchange Traded Funds - Active |
| File Number:812-14961 | Date: | Investment Company:RYZZ Capital Management, LLC, et al. | Type:Investment Company Act Notice |
Release Number:33332
|
Category:Exchange Traded Funds - Active |
| File Number:812-14912 | Date: | Investment Company:Ai Funds, Inc. and Deep A.I. ETF Trust | Type:Investment Company Act Notice |
Release Number:33327
|
Category:Exchange Traded Funds - Active |
| File Number:812-14934 | Date: | Investment Company:Pacific Global ETF Trust and Cadence Capital Management LLC | Type:Investment Company Act Order |
Release Number:33326
|
Category:Exchange Traded Funds - Index |
| File Number:812-14969 | Date: | Investment Company:Hoya Capital Real Estate, LLC, et al. | Type:Investment Company Act Notice |
Release Number:33325
|
Category:Exchange Traded Funds - Index |