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:812-15192 | Date: | Investment Company:Apollo Credit Management, LLC and Apollo Debt Solutions BDC. | Type:Investment Company Act Notice |
Release Number:34461
|
Category:Multi-Class |
| File Number:812-15233 | Date: | Investment Company:MassMutual Access Pine Point Fund, et al. | Type:Investment Company Act Order |
Release Number:34459
|
Category:Multi-Class |
| File Number:812-15278 | Date: | Investment Company:Bridge Builder Trust, et al. | Type:Investment Company Act Order |
Release Number:34456
|
Category:Non-In-Person Board Meetings |
| File Number:812-15266 | Date: | Investment Company:PGIM Private Real Estate Fund, Inc. | Type:Investment Company Act Order |
Release Number:34455
|
Category:Multi-Class |
| File Number:812-15015 | Date: | Investment Company:Apollo Investment Corporation, et al. | Type:Investment Company Act Order |
Release Number:34458
|
Category:Co-Investment |
| File Number:812-15223 | Date: | Investment Company:Flat Rock Global, LLC, et al. | Type:Investment Company Act Notice |
Release Number:34457
|
Category:Co-Investment |
| File Number:812-15204 | Date: | Investment Company:Calamos Hunt Alternative Income Fund, et al. | Type:Investment Company Act Order |
Release Number:34454
|
Category:Co-Investment |
| File Number:812-15263 | Date: | Investment Company:Fortune V Separate Account, et al. | Type:Investment Company Act Order |
Release Number:34453
|
Category:Multi-Class |
| File Number:812-15265 | Date: | Investment Company:Variant Alternative Income Fund, et al. | Type:Investment Company Act Notice |
Release Number:34452
|
Category:Co-Investment |
| File Number:812-15225 | Date: | Investment Company:Capital Group ETF Trust, et al. | Type:Investment Company Act Notice |
Release Number:34446
|
Category:Exchange Traded Funds - Active |
| File Number:812-15228 | Date: | Investment Company:FMI Funds, Inc., et al. | Type:Investment Company Act Notice |
Release Number:34451
|
Category:Exchange Traded Funds - Active |
| File Number:812-15222 | Date: | Investment Company:Bain Capital Specialty Finance, Inc., et al. | Type:Investment Company Act Order |
Release Number:34445
|
Category:Co-Investment |
| File Number:812-15124 | Date: | Investment Company:Neuberger Berman BDC LLC, et al. | Type:Investment Company Act Notice |
Release Number:34443
|
Category:Co-Investment |
| File Number:812-15258 | Date: | Investment Company:Bow River Capital Evergreen Fund, et al. | Type:Investment Company Act Order |
Release Number:34442
|
Category:Multi-Class |
| File Number:812-15249 | Date: | Investment Company:MVP Private Markets Fund, et al. | Type:Investment Company Act Order |
Release Number:34439
|
Category:Co-Investment |
| File Number:812-15268 | Date: | Investment Company:SEI Asset Allocation Trust, Et Al | Type:Investment Company Act Order |
Release Number:34437
|
Category:Non-In-Person Board Meetings |
| File Number:812-15256 | Date: | Investment Company:Fairway Private Equity & Venture Capital Opportunities Fund, et al. | Type:Investment Company Act Notice |
Release Number:34438
|
Category:Co-Investment |
| File Number:812-15246 | Date: | Investment Company:Oaktree Fund Advisors, LLC and Oaktree Diversified Income Fund Inc. | Type:Investment Company Act Notice |
Release Number:34436
|
Category:Multi-Class |
| File Number:812-15233 | Date: | Investment Company:MassMutual Access Pine Point Fund, et al. | Type:Investment Company Act Notice |
Release Number:34435
|
Category:Multi-Class |
| File Number:812-15278 | Date: | Investment Company:Bridge Builder Trust, et al. | Type:Investment Company Act Notice |
Release Number:34433
|
Category:Non-In-Person Board Meetings |
| File Number:812-15266 | Date: | Investment Company:PGIM Private Real Estate Fund, Inc. | Type:Investment Company Act Notice |
Release Number:34434
|
Category:Multi-Class |
| File Number:812-15015 | Date: | Investment Company:Apollo Investment Corporation, et al. | Type:Investment Company Act Notice |
Release Number:34432
|
Category:Co-Investment |
| File Number:812-15200 | Date: | Investment Company:AFA Multi-Manager Credit Fund and Alternative Fund Advisors, LLC | Type:Investment Company Act Order |
Release Number:34430
|
Category:Multi-Class |
| File Number:812-15263 | Date: | Investment Company:Fortune V Separate Account, et al. | Type:Investment Company Act Notice |
Release Number:34429
|
Category:Multi-Class |
| File Number:812-15204 | Date: | Investment Company:Calamos Hunt Alternative Income Fund, et al. | Type:Investment Company Act Notice |
Release Number:34428
|
Category:Co-Investment |
| File Number:812-15135 | Date: | Investment Company:Blackstone / GSO Floating Rate Enhanced Income Fund, et al. | Type:Investment Company Act Order |
Release Number:34427
|
Category:Co-Investment |
| File Number:812-15222 | Date: | Investment Company:Bain Capital Specialty Finance, Inc., et al. | Type:Investment Company Act Notice |
Release Number:34422
|
Category:Co-Investment |
| File Number:812-15258 | Date: | Investment Company:Bow River Capital Evergreen Fund, et al. | Type:Investment Company Act Notice |
Release Number:34421
|
Category:Multi-Class |
| File Number:812-15249 | Date: | Investment Company:MVP Private Markets Fund, et al. | Type:Investment Company Act Notice |
Release Number:34420
|
Category:Co-Investment |
| File Number:812-15268 | Date: | Investment Company:SEI Asset Allocation Trust, Et Al | Type:Investment Company Act Notice |
Release Number:34418
|
Category:Non-In-Person Board Meetings |
| File Number:812-15260 | Date: | Investment Company:First Eagle Global Opportunities Fund, Et Al | Type:Investment Company Act Order |
Release Number:34416
|
Category:Distributions |
| File Number:812-15200 | Date: | Investment Company:AFA Multi-Manager Credit Fund and Alternative Fund Advisors, LLC | Type:Investment Company Act Notice |
Release Number:34414
|
Category:Multi-Class |
| File Number:812-15135 | Date: | Investment Company:Blackstone / GSO Floating Rate Enhanced Income Fund, et al. | Type:Investment Company Act Notice |
Release Number:34412
|
Category:Co-Investment |
| File Number:812-15183 | Date: | Investment Company:Optimum Fund Trust, et al. | Type:Investment Company Act Order |
Release Number:34410
|
Category:Non-In-Person Board Meetings |
| File Number:812-15250 | Date: | Investment Company:The Optima Dynamic Alternatives Fund, Et Al | Type:Investment Company Act Order |
Release Number:34409
|
Category:Multi-Class |
| File Number:812-15274 | Date: | Investment Company:Credit Suisse Asset Management, LLC., et al. | Type:Investment Company Act Notice |
Release Number:34400
|
Category:Ineligible - Disqualified Firm |
| File Number:812-15218 | Date: | Investment Company:Pomona Investment Fund, et al. | Type:Investment Company Act Order |
Release Number:34398
|
Category:Co-Investment |
| File Number:812-15260 | Date: | Investment Company:First Eagle Global Opportunities Fund, Et Al | Type:Investment Company Act Notice |
Release Number:34397
|
Category:Distributions |
| File Number:812-15230 | Date: | Investment Company:High Income Securities Fund | Type:Investment Company Act Order |
Release Number:34395
|
Category:Distributions |
| File Number:812-15242 | Date: | Investment Company:Mainstay CBRE Global Infrastructure Megatrends Fund, et al. | Type:Investment Company Act Order |
Release Number:34390
|
Category:Distributions |
| File Number:812-15229 | Date: | Investment Company:Investment Managers Series Trust and Hamilton Lane Advisors, L.L.C. | Type:Investment Company Act Order |
Release Number:34385
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15183 | Date: | Investment Company:Optimum Fund Trust, et al. | Type:Investment Company Act Notice |
Release Number:34386
|
Category:Non-In-Person Board Meetings |
| File Number:812-15250 | Date: | Investment Company:The Optima Dynamic Alternatives Fund, Et Al | Type:Investment Company Act Notice |
Release Number:34381
|
Category:Multi-Class |
| File Number:812-15218 | Date: | Investment Company:Pomona Investment Fund, et al. | Type:Investment Company Act Notice |
Release Number:34374
|
Category:Co-Investment |
| File Number:812-15230 | Date: | Investment Company:High Income Securities Fund | Type:Investment Company Act Notice |
Release Number:34373
|
Category:Distributions |
| File Number:812-15242 | Date: | Investment Company:Mainstay CBRE Global Infrastructure Megatrends Fund, et al. | Type:Investment Company Act Notice |
Release Number:34372
|
Category:Distributions |
| File Number:812-15229 | Date: | Investment Company:Investment Managers Series Trust and Hamilton Lane Advisors, L.L.C. | Type:Investment Company Act Notice |
Release Number:34370
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:813-00393 | Date: | Investment Company:Point72 Employee Investment Fund, L.P. and Point72 Asset Management, L.P. | Type:Investment Company Act Notice |
Release Number:34365
See Also - 34365A |
Category:Employees Securities Company |
| File Number:812-15239 | Date: | Investment Company:Columbia ETF Trust I, et al. | Type:Investment Company Act Order |
Release Number:34359
|
Category:Exchange Traded Funds - Active |
| File Number:812-15180 | Date: | Investment Company:Uncommon Investment Funds Trust and Uncommon Investment Advisors LLC | Type:Investment Company Act Order |
Release Number:34354
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15244 | Date: | Investment Company:MVP Private Markets Fund, et al; | Type:Investment Company Act Order |
Release Number:34356
|
Category:Multi-Class |
| File Number:812-15219 | Date: | Investment Company:Capital Southwest Corporation, et al. | Type:Investment Company Act Order |
Release Number:34355
|
Category:Business Development Companies - Capital Structure |
| File Number:812-15240 | Date: | Investment Company:DoubleLine Opportunistic Credit, et al | Type:Investment Company Act Order |
Release Number:34353
|
Category:Distributions |
| File Number:812-15232 | Date: | Investment Company:Hartford Funds Exchange-Traded Trust, et al. | Type:Investment Company Act Order |
Release Number:34351
|
Category:Exchange Traded Funds - Active |
| File Number:812-15175 | Date: | Investment Company:Fidelity Beach Street Trust, et al. | Type:Investment Company Act Order |
Release Number:34350
|
Category:Exchange Traded Funds - Active |
| File Number:812-15187 | Date: | Investment Company:New Age Alpha Trust and New Age Alpha Advisors, LLC | Type:Investment Company Act Order |
Release Number:34348
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15195 | Date: | Investment Company:Commonwealth Credit Partners BDC I, Inc., et al. | Type:Investment Company Act Order |
Release Number:34347
|
Category:Co-Investment |
| File Number:812-15239 | Date: | Investment Company:Columbia ETF Trust I, et al. | Type:Investment Company Act Notice |
Release Number:34345
|
Category:Exchange Traded Funds - Active |
| File Number:812-15214 | Date: | Investment Company:BNY Mellon Alcentra Opportunistic Global Credit Income Fund and BNY Mellon Investment Adviser, Inc. | Type:Investment Company Act Order |
Release Number:34344
|
Category:Multi-Class |
| File Number:812-15176 | Date: | Investment Company:Investcorp Credit Management BDC, Inc., et al. | Type:Investment Company Act Order |
Release Number:34338
|
Category:Co-Investment |
| File Number:812-15097 | Date: | Investment Company:Lord Abbett Floating Rate High Income Fund, et al. | Type:Investment Company Act Order |
Release Number:34336
|
Category:Interval Funds |
| File Number:812-15212 | Date: | Investment Company:Capital Southwest Corporation | Type:Investment Company Act Order |
Release Number:34335
|
Category:Business Development Companies - Compensation |
| File Number:812-15244 | Date: | Investment Company:MVP Private Markets Fund, et al; | Type:Investment Company Act Notice |
Release Number:34334
|
Category:Multi-Class |
| File Number:812-15219 | Date: | Investment Company:Capital Southwest Corporation, et al. | Type:Investment Company Act Notice |
Release Number:34333
|
Category:Business Development Companies - Capital Structure |
| File Number:812-15194 | Date: | Investment Company:iCapital KKR Private Markets Fund, et al. | Type:Investment Company Act Order |
Release Number:34332
|
Category:Co-Investment |
| File Number:812-15180 | Date: | Investment Company:Uncommon Investment Funds Trust and Uncommon Investment Advisors LLC | Type:Investment Company Act Notice |
Release Number:34331
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15210 | Date: | Investment Company:Nationwide Mutual Funds, et al. | Type:Investment Company Act Order |
Release Number:34329
|
Category:Non-In-Person Board Meetings |
| File Number:812-15151 | Date: | Investment Company:First Eagle Alternative Capital Bdc, Inc., et al. | Type:Investment Company Act Order |
Release Number:34330
|
Category:Co-Investment |
| File Number:812-15240 | Date: | Investment Company:DoubleLine Opportunistic Credit, et al | Type:Investment Company Act Notice |
Release Number:34328
|
Category:Distributions |
| File Number:812-15131 | Date: | Investment Company:Calamos-Avenue Opportunities Fund and Calamos Avenue Management, LLC | Type:Investment Company Act Order |
Release Number:34327
|
Category:Multi-Class |
| File Number:812-15175 | Date: | Investment Company:Fidelity Beach Street Trust, et al. | Type:Investment Company Act Notice |
Release Number:34326
|
Category:Exchange Traded Funds - Active |
| File Number:812-15216 | Date: | Investment Company:Schwab Strategic Trust, et al. | Type:Investment Company Act Order |
Release Number:34323
|
Category:Exchange Traded Funds - Active |
| File Number:812-15232 | Date: | Investment Company:Hartford Funds Exchange-Traded Trust, et al. | Type:Investment Company Act Notice |
Release Number:34324
|
Category:Exchange Traded Funds - Active |
| File Number:812-15195 | Date: | Investment Company:Commonwealth Credit Partners BDC I, Inc., et al. | Type:Investment Company Act Notice |
Release Number:34325
|
Category:Co-Investment |
| File Number:812-15187 | Date: | Investment Company:New Age Alpha Trust and New Age Alpha Advisors, LLC | Type:Investment Company Act Notice |
Release Number:34322
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15202-01 | Date: | Investment Company:Listed Funds Trust and Skyrocket Investments, LLC | Type:Investment Company Act Order |
Release Number:34321
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15214 | Date: | Investment Company:BNY Mellon Alcentra Opportunistic Global Credit Income Fund and BNY Mellon Investment Adviser, Inc. | Type:Investment Company Act Notice |
Release Number:34320
|
Category:Multi-Class |
| File Number:812-15194 | Date: | Investment Company:iCapital KKR Private Markets Fund, et al. | Type:Investment Company Act Notice |
Release Number:34317
|
Category:Co-Investment |
| File Number:812-15176 | Date: | Investment Company:Investcorp Credit Management BDC, Inc., et al. | Type:Investment Company Act Notice |
Release Number:34318
|
Category:Co-Investment |
| File Number:812-15170 | Date: | Investment Company:Franklin Templeton Co-Investing Interval Fund, et al. | Type:Investment Company Act Order |
Release Number:34307
|
Category:Co-Investment |
| File Number:812-15097 | Date: | Investment Company:Lord Abbett Floating Rate High Income Fund, et al. | Type:Investment Company Act Notice |
Release Number:34308
|
Category:Interval Funds |
| File Number:812-15212 | Date: | Investment Company:Capital Southwest Corporation | Type:Investment Company Act Notice |
Release Number:34309
|
Category:Business Development Companies - Compensation |
| File Number:812-15154 | Date: | Investment Company:Simplify Exchange Traded Funds and Simplify Asset Management Inc. | Type:Investment Company Act Order |
Release Number:34306
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15173 | Date: | Investment Company:Calamos Investment Trust, et al. | Type:Investment Company Act Order |
Release Number:34303
|
Category:Interfund Lending |
| File Number:812-15210 | Date: | Investment Company:Nationwide Mutual Funds, et al. | Type:Investment Company Act Notice |
Release Number:34302
|
Category:Non-In-Person Board Meetings |
| File Number:812-15151 | Date: | Investment Company:First Eagle Alternative Capital Bdc, Inc., et al. | Type:Investment Company Act Notice |
Release Number:34301
|
Category:Co-Investment |
| File Number:812-15131 | Date: | Investment Company:Calamos-Avenue Opportunities Fund and Calamos Avenue Management, LLC | Type:Investment Company Act Notice |
Release Number:34300
|
Category:Multi-Class |
| File Number:812-15216 | Date: | Investment Company:Schwab Strategic Trust, et al. | Type:Investment Company Act Notice |
Release Number:34298
|
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 Order |
Release Number:34296
|
Category:Co-Investment |
| File Number:812-15143 | Date: | Investment Company:Teachers Insurance and Annuity Association of America, et al. | Type:Investment Company Act Order |
Release Number:34295
|
Category:Insurance Products - Fund Substitution |
| File Number:812-15202-01 | Date: | Investment Company:Listed Funds Trust and Skyrocket Investments, LLC | Type:Investment Company Act Notice |
Release Number:34293
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15111 | Date: | Investment Company:Trinity Capital, Inc. | Type:Investment Company Act Order |
Release Number:34290
|
Category:Business Development Companies - Compensation |
| File Number:812-15170 | Date: | Investment Company:Franklin Templeton Co-Investing Interval Fund, et al. | Type:Investment Company Act Notice |
Release Number:34289
|
Category:Co-Investment |
| 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 |