Investment Company Act Notices and Orders: Category Listing
This page lists notices and orders issued on or after January 1, 2007, relating to applications filed under the Investment Company Act. See Public Records and Information for instructions on obtaining paper copies of applications not filed electronically on EDGAR.
If you would like to use any of the applications listed below as a basis for an application for new exemptive relief, the most recently filed application under the relevant category or subcategory will, in most cases, be the most appropriate application to use. If you are unsure as to which application should serve as the basis for your application for exemptive relief, feel free to contact the staff at (202) 551-6821.
See also:
Categories
- 12(d)(3)
- Affiliated Sales & Purchases
- Business Development Companies
- Co-Investment
- Distributions
- Employees Securities Company
- Exchange Traded Funds
- Exchange-Traded Managed Funds
- Finance Subsidiaries
- Fund of Funds
- Inadvertent Investment Companies
- Ineligible
- Insurance Products
- Interfund Lending
- Interval Funds
- Joint Transaction
- Multi-Class
- Multi-Manager
- Other
- Securities Lending
- Two-Tier Real Estate Partnerships
- Unit Investment Trusts
12(d)(3) - Other |
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| Investment Company | File No. | Notice | Order |
|---|---|---|---|
| American Capital, Ltd., et al. | 812-14222 | 31148 (07/03/2014) | 31191 (07/29/2014) |
| Ares Capital Corporation, et al. | 812-13847 | 29977 (03/09/2012) | 30024 (03/29/2012) |
| Kohlberg Capital Corporation | 812-13882 | 29975 (03/05/2012) | 30011 (03/27/2012) |
| American Capital, Ltd., et al. | 812-13493 | 29973 (03/01/2012) | 30010 (03/27/2012) |
| Cantilever Capital, LLC and Cantilever Group, LLC | 812-13781 | 29896 (12/29/2011) | 29925 (01/24/2012) |
| Millenium India Acquisition | 812-13464 | 28083 (12/21/2007) | 28121 (01/16/2008) |
Affiliated Sales & Purchases - Adviser |
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| Investment Company | File No. | Notice | Order |
| Nexpoint Credit Strategies Fund, et al. | 812-14407 | 31448 (02/05/2015) | 31488 (02/26/2015) |
| Tennenbaum Opportunities Fund V, LLC, et al. | 812-14296 | 31296 (10/20/2014) | 31358 (11/25/2014) |
| The Gabelli Dividend & Income Trust, et al. | 812-14211 | 30908 (02/06/2014) | 30970 (02/28/2014) |
| BofA Funds Series Trust, et al. | 812-14096 | 30590 (07/03/2013) | 30638 (07/30/2013) |
| Royce Value Trust, Inc., et al. | 812-13880 | 30448 (04/04/2013) | 30500 (04/30/2013) |
| Cash Account Trust, et al. | 812-13933 | 30188 (08/31/2012) | 30215 (09/25/2012) |
| BofA Funds Series Trust, et al. | 812-13916 | 29741 (08/01/2011) | 29769 (08/24/2011) |
| HighMark Capital Management, Inc., et al. | 812-13736 | 29660 (04/26/2011) | 29675 (05/24/2011) |
| Morgan Stanley Investment Management Inc., et al. | 812-13656 | 28941 (10/06/2009) | 28986 (10/29/2009) |
| Bank of America Fund Trust, et al. (fka Nations Fund Trust) | 812-12903 | 28526 (12/01/2008) | 28573 (12/29/2008) |
| Morgan Stanley Investment Management, et al. | 812-13213 | 28125 (01/18/2008) | 28150 (02/13/2008) |
| Lehman Brothers Asset Management LLC | 812-12973 | 27920 (08/01/2007) | 27957 (08/28/2007) |
| The Gabelli Equity Trust Inc., et al. | 812-13373 | 27808 (04/30/2007) | 27823 (05/22/2007) |
Affiliated Sales & Purchases - In-Kind |
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| Investment Company | File No. | Notice | Order |
| Altaba Inc. | 812-14921 | 33146 (07/03/2018) | 33187 (07/31/2018) |
| TCW Direct Lending LLC, et al. | 812-14765 | 33094 (05/09/2018) | 33110 (05/30/2018) |
| Advent/Claymore Enhanced Growth & Income Fund; See also: requests and additional information |
812-14686 | 32537 (03/20/2017) | 32729 (07/10/2017) |
| The Northwestern Mutual Life Insurance Company, et al. | 812-14128 | 30671 (08/22/2013) | 30690 (09/18/2013) |
| Mutual of America Life Insurance Company, et al. | 812-14059 | 30292 (12/05/2012) | 30335 (12/31/2012) |
| Pruco Life Insurance Company, et al. | 812-13990 | 30186 (08/29/2012) | 30209 (09/20/2012) |
| The Singapore Fund, Inc. | 812-13944 | 29817 (09/22/2011) | 29880 (12/08/2011) |
| The Chile Fund, Inc. | 812-13749 | 29169 (03/08/2010) | 29194 (03/30/2010) |
| The Mexico Equity and Income Fund, Inc. | 812-13294 | 27592 (12/07/2006) | 27654 (01/03/2007) |
Affiliated Sales & Purchases - Other |
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| Investment Company | File No. | Notice | Order |
| Calvert Fund, et al. | 812-14993 | 33653 (10/02/2019) | 33680 (10/29/2019) |
| Aberdeen Asset Management Inc., et al. | 812-14670 | 33058 (03/27/2018) | 33080 (04/24/2018) |
| OppenheimerFunds, Inc., et al. | 812-14248 | 32849 (10/04/2017) | 32891 (10/31/2017) |
| Barings LLC, et al. | 812-14607 | 32786 (08/21/2017) | 32734 (07/18/2017) |
| Nuveen Fund Advisors, LLC, et al. | 812-14258 | 31924 (12/02/2015) | 31950 (12/29/2015) |
| TIAA-CREF Funds, et al. | 812-13995 | 31807 (09/08/2015) | 31861 (10/06/2015) |
| Cash Trust Series, Inc., et al. | 812-13875-47 | 31697 (06/24/2015) | 31719 (07/20/2015) |
| William Blair & Company, L.L.C. and William Blair Funds | 812-13871 | 30285 (11/29/2012) | 30314 (12/21/2012) |
| Columbia ETF Trust, et al. | 812-14037 | 30260 (11/13/2012) | 30301 (12/11/2012) |
| Praxis Mutual Funds, et al. | 812-13627 | 30042 (04/23/2012) | 30066 (05/21/2012) |
Business Development Companies - Capital Structure |
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| Investment Company | File No. | Notice | Order |
| Ares Capital Corporation, et al. | 812-14399 | 32127 (05/26/2016) | 32154 (06/21/2016) |
| TCP Capital Corp., et al. | 812-14275 | 31670 (06/15/2015) | 31712 (07/13/2015) |
| New Mountain Finance Corporation, et al. | 812-14279 | 31282 (10/10/2014) | 31329 (11/05/2014) |
| Garrison Capital, Inc., et al. | 812-14320 | 31240 (09/03/2014) | 31270 (09/30/2014) |
| Monroe Capital Corporation, et al. | 812-14242 | 31235 (08/28/2014) | 31274 (10/02/2014) |
| Stellus Capital Investment Corporation, et al. | 812-14249 | 31160 (07/17/2014) | 31206 (08/12/2014) |
| Fidus Investment Corporation, et al. | 812-14156 | 31067 (06/02/2014) | 31137 (06/30/2014) |
| Capitala Finance Corp., et al. | 812-14239 | 31050 (05/19/2014) | 31074 (06/10/2014) |
| OFS Capital Corporation, et al. | 812-14185 | 30771 (10/30/2013) | 30812 (11/26/2013) |
| Medley Capital Corporation, et al. | 812-14019 | 30234 (10/16/2012) | 30262 (11/14/2012) |
| Saratoga Investment Corp., et al. | 812-14022 | 30145 (07/23/2012) | 30171 (08/20/2012) |
| Fidus Investment Corporation, et al. | 812-13879 | 29974 (03/01/2012) | 30012 (03/27/2012) |
| Rand Capital Corporation, et al. | 812-13634 | 29941 (02/01/2012) | 29972 (02/28/2012) |
| Horizon Technology Finance Corp. | 812-13876 | 29777 (08/31/2011) | 29821 (09/27/2011) |
| Golub Capital BDC, Inc. | 812-13794 | 29756 (08/16/2011) | 29786 (09/13/2011) |
| PennantPark Investment Corporation, et al. | 812-13772 | 29665 (05/06/2011) | 29686 (06/01/2011) |
| Fifth Street Finance Corp., et al. | 812-13698 | 29500 (11/18/2010) | 29526 (12/14/2010) |
| Triangle Capital Corporation, et al. | 812-13771 | 29453 (09/30/2010) | 29482 (10/22/2010) |
| MGC Capital Corporation, et al. | 812-13428 | 28427 (09/30/2008) | 28474 (10/28/2008) |
| Triangle Capital Corporation, et al. | 812-13355 | 28383 (09/19/2008) | 28437 (10/14/2008) |
| Main Street Capital Corp. | 812-13411 | 28082 (12/21/2007) | 28120 (01/16/2008) |
| Hercules Technology Growth Capital, Inc., et al. | 812-13238 | 27748 (03/07/2007) | 27776 (04/05/2007) |
Business Development Companies - Compensation |
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| Investment Company | File No. | Notice | Order |
| Hercules Capital, Inc. | 812-14910 | 33341 (12/21/2018) | 33360 (01/30/2019) |
| Capital Southwest Corporation | 812-14740 | 32742 (07/25/2017) | 32787 (08/22/2017) |
| Equus Total Return, Inc. | 812-14653 | 32392 (12/14/2016) | 32421 (01/10/2017) |
| Newtek Business Services Corp. | 812-14450 | 32070 (04/13/2016) | 32109 (05/10/2016) |
| Medallion Financial Corp. | 812-14433 | 31980 (02/03/2016) | 32017 (03/01/2016) |
| Medallion Financial Corp. | 812-14458 | 31977 (02/01/2016) | 32009 (02/29/2016) |
| KCAP Financial, Inc. | 812-14363 | 31645 (05/21/2015) | 31676 (06/16/2015) |
| Triangle Capital Corporation | 812-14077 | 30410 (02/28/2013) | 30432 (03/21/2013) |
| Medallion Financial Corp. | 812-13666 | 30121 (06/21/2012) | 30139 (07/17/2012) |
| Harris & Harris Group, Inc. | 812-13313 | 29976 (03/07/2012) | 30027 (04/03/2012) |
| American Capital, Ltd. | 812-13853 | 29744 (08/29/2011) | 29774 (08/30/2011) |
| Capital Southwest Corporation | 812-13769 | 29450 (09/29/2010) | 29491 (10/26/2010) |
| American Capital, Ltd. | 812-13714 | 29416 (09/14/2010) | 29460 (10/08/2010) |
| Kohlberg Capital Corp | 812-13623 | 29376 (08/03/2010) | 29407 (08/31/2010) |
| Hercules Technology Group | 812-13716 | 29287 (05/26/2010) | 29303 (06/22/2010) |
| Medallion Financial Corp. | 812-13667 | 29201 (04/01/2010) | 29258 (04/26/2010) |
| MCG Capital Corp. | 812-13694 | 29191 (03/25/2010) | 29210 (04/20/2010) |
| American Capital, Ltd. | 812-13535 | 28895 (09/03/2009) | 28935 (09/30/2009) |
| Main Street Capital Corporation, et al. | 812-13649 | 28726 (05/19/2009) | 28768 (06/16/2009) |
| Triangle Capital Corp. | 812-13647 | 28692 (04/13/2009) | 28718 (05/05/2009) |
| Kohlberg Capital Corporation | 812-13368 | 28228 (03/28/2008) | 28239 (03/23/2008) |
| Patriot Capital Funding, Inc. | 812-13348 | 28176 (02/28/2008) | 28200 (03/25/2008) |
| Kohlberg Capital Corporation | 812-13367 | 28165 (02/20/2008) | 28196 (03/18/2008) |
| Triangle Capital Corporation | 812-13447 | 28165 (02/20/2008) | 28169 (03/18/2008) |
| Main Street Capital Corp. | 812-13411 | 28082 (12/21/2007) | 28120 (01/16/2008) |
| American Capital Strategies | 812-13398 | 28001 (09/27/2007) | 28020 (10/24/2007) |
| Hercules Technology Growth Capital, Inc. | 812-13388 | 27968 (08/28/2007) | 28011 (10/10/2007) |
| Medallion Financial Corp. | 812-13290 | 27917 (07/30/2007) | 27955 (08/28/2007) |
| Hercules Technology Growth Capital, Inc. | 812-13312 | 27815 (05/02/2007) | 27838 (05/23/2007) |
| American Capital Strategies, Ltd. | 812-13308 | 27669 (01/19/2007) | 27702 (02/16/2007) |
| Hercules Technology Growth Capital, Inc. | 812-13201 | 27668 (01/09/2007) | 27699 (02/15/2007) |
Co-Investment |
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| Investment Company | File No. | Notice | Order |
| First Eagle BDC, LLC, et al. | 812-14949 | 33746 (01/14/2020) | |
| Kayne Anderson MLP/Midstream Investment Company, et al. | 812-14940 | 33742 (01/08/2020) | |
| Fundrise Real Estate Interval Fund, LLC, et al. | 812-15040 | 33739 (12/31/2019) | |
| Prospect Capital Corporation, et al. | 812-14977 | 33716 (12/16/2019) | 33745 (01/13/2020) |
| Blackstone Alternative Alpha Fund, et al. | 812-14967 | 33707 (12/02/2019) | 33738 (12/30/2019) |
| AMG Pantheon Master Fund, LLC, et al. | 812-14626-01 | 33687 (11/18/2019) | 33714 (12/13/2019) |
| New Mountain Finance Corporation, et al. | 812-15030 | 33624 (09/12/2019) | 33656 (10/08/2019) |
| John Hancock GA Mortgage Trust, et al. | 812-14917 | 33493 (05/28/2019) | 33518 (06/25/2019) |
| BlackRock Capital Investment Corporation, et al. | 812-14955 | 33480 (05/21/2019) | 33515 (06/20/2019) |
| Nuveen Churchill BDC LLC, et al. | 812-14898 | 33475 (05/15/2019) | 33503 (06/07/2019) |
| CM Finance Inc, et al. | 812-14850 | 33377 (02/19/2019) | 33401 (03/19/2019) |
| Pharos Capital BDC, Inc., et al. | 812-14891 | 33372 (02/08/2019) | 33394 (03/11/2019) |
| Stellus Capital Investment Corporation, et al. | 812-14855 | 33289 (11/06/2018) | 33316 (12/04/2018) |
| Blackstone Real Estate Income Fund, et al. | 812-14931 | 33271 (10/16/2018) | 33294 (11/13/2018) |
| Audax Credit BDC Inc., et al. | 812-14862 | 33270 (10/12/2018) | 33290 (11/07/2018) |
| BC Partners Lending Corporation, et al. | 812-14860 | 33256 (09/26/2018) | 33279 (10/23/2018) |
| THL Credit, Inc., et al. | 812-14807 | 33213 (08/24/2018) | 33239 (09/19/2018) |
| Tortoise Capital Advisors, L.L.C., et al. | 812-14839 | 33205 (08/21/2018) | 33237 (09/18/2018) |
| Thrivent Financial for Lutherans, et al. | 812-14838 | 33197 (08/09/2018) | 33217 (09/05/2018) |
| AB Private Credit Investors Corp., et al. | 812-14925 | 33152 (07/09/2018) | 33191 (08/06/2018) |
| Blackstone / GSO Floating Rate Enhanced Income Fund, et al. | 812-14835 | 33149 (07/06/2018) | 33186 (07/31/2018) |
| Benefit Street Partners BDC, Inc., et al. | 812-14601 | 33068 (04/06/2018) | 33090 (05/01/2018) |
| Triloma EIG Energy Income Fund, et al. | 812-14848 | 33047 (03/14/2018) | 33070 (04/10/2018) |
| Corporate Capital Trust, Inc., et al. | 812-14882 | 33043 (03/08/2018) | 33064 (04/03/2018) |
| Alcentra Capital Corporation, et al. | 812-14760 | 33038 (02/28/2018) | 33059 (03/27/2018) |
| TriplePoint Venture Growth BDC Corp., et al. | 812-14773 | 33037 (02/28/2018) | 33060 (03/28/2018) |
| Bain Capital Specialty Finance, Inc., et al. | 812-14766 | 33031 (02/23/2018) | 33051 (03/22/2018) |
| Guggenheim Credit Income Fund, et al. | 812-14821 | 32960 (01/03/2018) | 32996 (01/30/2018) |
| TCG BDC, Inc., et al. | 812-14798 | 32945 (12/20/2017) | 32969 (01/17/2018) |
| BlackRock Capital Investment Corporation, et al. | 812-14582 | 32943 (12/19/2017) | 32968 (01/16/2018) |
| New Mountain Finance Corporation, et al. | 812-14799 | 32900 (11/20/2017) | 32941 (12/18/2017) |
| Horizon Technology Finance Corporation, et al. | 812-14738 | 32888 (10/30/2017) | 32923 (11/27/2017) |
| Oaktree Strategic Income, LLC, et al. | 812-14758 | 32831 (09/22/2017) | 32862 (10/18/2017) |
| Barings Corporate Investors, et al. | 812-14689 | 32822 (09/20/2017) | 32864 (10/19/2017) |
| Medley Capital Corporation, et al. | 812-14778 | 32809 (09/08/2017) | 32850 (10/04/2017) |
| MVC Capital, Inc., et al. | 812-14720 | 32769 (08/01/2017) | 32797 (08/28/2017) |
| 1889 BDC, Inc., et al. | 812-14682 | 32687 (06/21/2017) | 32735 (07/18/2017) |
| Partners Group (USA) Inc., et al. | 812-14193-01 | 32667 (06/01/2017) | 32726 (07/06/2017) |
| Corporate Capital Trust, Inc., et al. | 812-14408 | 32642 (05/22/2017) | 32683 (06/19/2017) |
| TICC Capital Corp., et al. | 812-14707 | 32641 (05/19/2017) | 32680 (06/14/2017) |
| Solar Capital Ltd., et al. | 812-14735 | 32638 (05/17/2017) | 32677 (06/13/2017) |
| New Mountain Finance Corporation, et al. | 812-14699 | 32630 (05/08/2017) | 32668 (06/05/2017) |
| Excelsior Private Markets Fund II (Master), LLC, et al. | 812-14548-05 | 32597 (04/10/2017) | 32628 (05/08/2017) |
| Medley Capital Corporation, et al. | 812-14679 | 32520 (03/03/2017) | 32581 (03/29/2017) |
| Golub Capital BDC, Inc., et al. | 812-13764 | 32461 (01/31/2017) | 32509 (02/27/2017) |
| Owl Rock Capital Corporation, et al. | 812-14568 | 32422 (01/11/2017) | 32469 (02/07/2017) |
| Ares Capital Corporation, et al. | 812-13603 | 32399 (12/21/2016) | 32427 (01/18/2017) |
| Goldman Sachs BDC, Inc., et al. | 812-14219 | 32382 (12/07/2016) | 32409 (01/04/2017) |
| Fidus Investment Corporation, et al. | 812-14605 | 32381 (12/07/2016) | 32411 (01/04/2017) |
| NF Investment Corp., et al. | 812-14472 | 32340 (10/27/2016) | 32362 (11/22/2016) |
| Terra Income Fund 6, Inc., et al. | 812-14452 | 32303 (10/04/2016) | 32349 (11/01/2016) |
| Altegris KKR Commitments Master Fund, et al. | 812-14410 | 32265 (09/19/2016) | 32319 (10/17/2016) |
| AB Private Credit Investors Corporation, et al. | 812-14453 | 32261 (09/13/2016) | 32310 (10/11/2016) |
| OFS Capital Corporation, et al. | 812-14602 | 32259 (09/13/2016) | 32312 (10/12/2016) |
| Bain Capital Specialty Finance, Inc., et al. | 812-14575 | 32197 (07/29/2016) | 32226 (08/23/2016) |
| Carey Credit Income Fund, et al. | 812-14426 | 32138 (06/02/2016) | 32164 (06/28/2016) |
| Triloma EIG Global Energy Fund, et al. | 812-14429 | 32106 (05/05/2016) | 32132 (05/31/2016) |
| Capitala Finance Corp., et al. | 812-14544 | 32102 (05/04/2016) | 32136 (06/01/2016) |
| OHA Investment Corporation, et al. | 812-14482 | 32061 (03/30/2016) | 32094 (04/25/2016) |
| NexPoint Capital, Inc., et al. | 812-14430 | 32048 (03/24/2016) | 32078 (04/19/2016) |
| Crescent Capital BDC Inc., et al. | 812-14454 | 32018 (03/02/2016) | 32056 (03/29/2016) |
| Apollo Investment Corporation, et al. | 812-13754 | 32019 (03/02/2016) | 32057 (03/29/2016) |
| Alcentra Capital Corporation, et al. | 812-14374 | 31927 (12/04/2015) | 31951 (12/30/2015) |
| THL Credit, Inc., et al. | 812-14256 | 31899 (11/10/2015) | 31929 (12/08/2015) |
| Harvest Capital Credit Corporation, et al. | 812-14365 | 31860 (10/05/2015) | 31930 (12/10/2015) |
| Triton Pacific Investment Corporation, Inc., et al. | 812-14122 | 31856 (09/30/2015) | |
| Full Circle Capital Corporation et al. | 812-14396 | 31799 (08/28/2015) | 31837 (09/23/2015) |
| Benefit Street Partners BDC, Inc., et al. | 812-14126 | 31651 (05/27/2015) | 31686 (06/23/2015) |
| Business Development Corporation of America, et al. See also: requests and additional information |
812-14368 | 31598 (05/11/2015) | 31738 (08/05/2015) |
| TCW Direct Lending LLC, et al. | 812-14382 | 31589 (04/30/2015) | 31649 (05/27/2015) |
| Eagle Point Credit Company Inc., et al. | 812-14330 | 31457 (02/18/2015) | 31507 (03/17/2015) |
| Garrison Capital Inc., et al. | 812-14097 | 31373 (12/15/2014) | 31409 (01/12/2015) |
| TPG Specialty Lending, Inc., et al. | 812-13980 | 31338 (11/18/2014) | 31379 (12/16/2014) |
| Monroe Capital Corporation, et al. | 812-14028 | 31253 (09/19/2014) | 31286 (10/15/2014) |
| Fifth Street Finance Corp., et al. | 812-14132 | 31212 (08/14/2014) | 31247 (09/09/2014) |
| Solar Capital Ltd., et al. | 812-14195 | 31143 (07/01/2014) | 31187 (07/28/2014) |
| WhiteHorse Finance, Inc., et al. | 812-14120 | 31080 (06/12/2014) | 31152 (07/08/2014) |
| PennantPark Investment Corp., et al. | 812-14134 | 30985 (03/19/2014) | 31015 (04/15/2014) |
| HMS Income Fund, Inc., et al. | 812-14016 | 30984 (03/18/2014) | 31016 (04/15/2014) |
| NF Investment Corp., et al. | 812-14161 | 30900 (01/31/2014) | 30968 (02/26/2014) |
| Prospect Capital Corporation, et al. | 812-14199 | 30855 (01/13/2014) | 30909 (02/10/2014) |
| Medley Capital Corporation, et al. | 812-14020 | 30769 (10/28/2013) | 30807 (11/25/2013) |
| Stellus Capital Investment Corporation, et al. | 812-14061 | 30739 (09/30/2013) | 30754 (10/23/2013) |
| FS Investment Corporation, et al. | 812-13665 | 30511 (05/09/2013) | 30548 (06/04/2013) |
| Corporate Capital Trust, Inc., et al. | 812-13844 | 30494 (04/25/2013) | 30526 (05/21/2013) |
| Van Eck Funds, et al. | 812-13740 | 30252 (10/25/2012) | 30279 (11/23/2012) |
| Gladstone Capital Corporation, et al. | 812-13878 | 30125 (06/29/2012) | 30154 (07/26/2012) |
| Medley Capital Corporation, et al. | 812-13787 | 29968 (02/27/2012) | 30009 (03/26/2012) |
| NGP Capital Resources Company, et al. | 812-13695 | 29831 (10/07/2011) | 29860 (11/10/2011) |
| Ridgewood Capital Energy Growth, LLC, et al. | 812-13569 | 28931 (09/25/2009) | 28982 (10/21/2009) |
| H&Q Healthcare Investors, et al. | 812-13392 | 28426 (09/30/2008) | 28472 (10/28/2008) |
| Main Street Capital Corporation, et al. | 812-13438 | 28265 (05/08/2008) | 28295 (06/03/2008) |
Distributions |
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| Investment Company | File No. | Notice | Order |
| Vertical Capital Income Fund and Oakline Advisors, LLC | 812-15000 | 33505 (06/12/2019) | 33548 (07/09/2019) |
| Putnam Managed Municipal Income Trust, et al. | 812-14970 | 33449 (04/17/2019) | 33474 (05/14/2019) |
| Macquarie Global Infrastructure Total Return Fund Inc., et al. | 812-14990 | 33389 (03/05/2019) | 33436 (04/02/2019) |
| Special Opportunities Fund, Inc. and Bulldog Investors, LLC | 812-14937 | 33367 (02/04/2019) | 33386 (03/04/2019) |
| Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC | 812-14896 | 33147 (07/03/2018) | 33185 (07/31/2018) |
| The Swiss Helvetia Fund, Inc., et al. | 812-14857 | 33075 (04/23/2018) | 33099 (05/21/2018) |
| The Mexico Equity & Income Fund, Inc. and Pichardo Asset Management, S.A. de C.V. | 812-14213 | 32640 (05/18/2017) | 32676 (06/13/2017) |
| RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC | 812-14698 | 32635 (05/12/2017) | 32673 (06/07/2017) |
| Brookfield Global Listed Infrastructure Income Fund Inc., et al. | 812-14456 | 31802 (09/01/2015) | 31855 (09/30/2015) |
| Ares Dynamic Credit Allocation Fund, Inc., et al. | 812-14272 | 31665 (06/09/2015) | 31708 (07/07/2015) |
| Dreyfus TMT Opportunities Fund, Inc., et al. | 812-14357 | 31549 (04/07/2015) | 31593 (05/05/2015) |
| Sprott Focus Trust, Inc. and Sprott Asset Management LP | 812-14437 | 31548 (04/07/2015) | 31952 (05/04/2015) |
| Principal Real Estate Income Fund and Alps Advisors, Inc. | 812-14295 | 31290 (10/16/2014) | 31334 (11/12/2014) |
| H&Q Healthcare Investors, et al. | 812-14306 | 31197 (08/05/2014) | 31224 (08/27/2014) |
| The New Ireland Fund, Inc. and Kleinwort Benson Investors International Ltd. | 812-14290 | 31185 (07/23/2014) | 31216 (08/19/2014) |
| Nuveen Real Estate Income Fund and Nuveen Fund Advisors, LLC | 812-14215 | 30883 (01/16/2014) | 30913 (02/11/2014) |
| Guggenheim Equal Weight Enhanced Equity Income Fund and Guggenheim Funds Investment Advisers, LLC | 812-14151-04 | 30780 (11/12/2013) | 30822 (12/09/2013) |
| Royce Focus Trust, Inc., et al. | 812-14034 | 30447 (04/04/2013) | 30499 (04/30/2013) |
| The Adams Express Company and Petroleum & Resources Corporation | 812-14064 | 30304 (12/13/2012) | 30344 (01/08/2013) |
| Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC | 812-13998 | 30195 (09/05/2012) | 30226 (10/02/2012) |
| Invesco Total Property Market Income Fund, et al. | 812-13927 | 30055 (04/26/2012) | 30069 (05/22/2012) |
| Stone Harbor Investment Partners LP | 812-13867 | 29791 (09/16/2011) | 29834 (10/12/2011) |
| Tortoise Power & Energy Infrastructure Fund Inc. | 812-13862 | 29755 (08/16/2011) | 29785 (09/12/2011) |
| ING Asia Pacific High | 812-13909 | 29735 (07/21/2011) | 29754 (08/16/2011) |
| Tri-Continental Corporation, et al. | 812-13465 | 29415 (09/10/2010) | 29457 (10/05/2010) |
| Federated Enhanced Treasury Income Fund, et al. | 812-13743 | 29341 (07/14/2010) | 29379 (08/10/2010) |
| Lazard Global Total Return and Income Fund | 812-13218 | 29331 (06/24/2010) | 29344 (07/21/2010) |
| RMR Real Estate Fund | 812-13058 | 29178 (03/23/2010) | 29213 (04/20/2010) |
| The Chile Fund, Inc. | 812-13676 | 29167 (03/02/2010) | 29195 (03/30/2010) |
| First Trust/Aberdeen Global Opportunity Income Fund, et al. | 812-13161 | 29163 (02/26/2010) | 29189 (03/24/2010) |
| MFS Government Markets Income Trust, et al. | 812-13482 | 28987 (10/29/2009) | 29063 (11/24/2009) |
| Pioneer Diversified High Income Trust, et al. | 812-13432 | 28947 (10/16/2009) | 28995 (11/10/2009) |
| Neuberger Berman Management LLC, et al. | 812-13086 | 28945 (10/14/2009) | 28994 (11/10/2009) |
| Evergreen Income Advantage Fund, et al., | 812-13030 | 28938 (09/30/2009) | 28985 (10/27/2009) |
| Alpine Global Dynamic Dividend Fund, et al. | 812-13630 | 28897 (09/04/2009) | 28937 (09/30/2009) |
| Clough Global Allocation Fund, et al. | 812-13105 | 28850 (08/24/2009) | 28904 (09/21/2009) |
| Reaves Utility Income Fund, et al. | 812-13200 | 28818 (07/14/2009) | 28843 (08/11/2009) |
| The Blackrock Investment Quality Municipal Trust Inc. | 812-13235 | 28690 (04/07/2009) | 28719 (05/05/2009) |
| Eaton Vance Enhanced Equity Income Fund, et al. | 812-13586 | 28616 (02/10/2009) | 28643 (03/10/2009) |
| MacQuarie Global Infrastructure Total, et al. | 812-13397 | 28579 (01/06/2009) | 28611 (02/03/2009) |
| SunAmerica Focused Alpha Growth Fund, Inc., et al. | 812-13239 | 28578 (01/06/2009) | 28612 (02/03/2009) |
| Boulder Total Return Fund, Inc., et al. | 812-13077 | 28442 (10/20/2008) | 28486 (11/17/2008) |
| The Zweig Total Return Fund, Inc., et al. | 812-13497 | 28441 (10/20/2008) | 28485 (11/17/2008) |
| Calamos Convertible Opportunities and Income Fund, et al. | 812-13063 | 28435 (10/07/2008) | 28483 (11/04/2008) |
| John Hancock Income Securities Trust | 812-13357 | 28372 (08/29/2008) | 28389 (09/24/2008) |
| PIMCO Municipal Income Fund, et al. | 812-13381 | 28370 (08/29/2008) | 28412 (09/26/2008) |
| DNP Select Income Fund Inc., et al. | 812-13377 | 28348 (07/31/2008) | 28368 (08/26/2008) |
| Cohen & Steers Advantage Income Realty Fund, Inc | 812-13152 | 28341 (07/24/2008) | 28358 (08/19/2008) |
| The Mexico Fund, Inc., et al. | 812-13454 | 28332 (07/17/2008) | 28357 (08/12/2008) |
| ING Clarion Real Estate Income Fund | 812-13074 | 28329 (07/08/2008) | 28352 (08/05/2008) |
Employees Securities Company |
|||
| Investment Company | File No. | Notice | Order |
| Lazard Asset Management LLC and Lazard ESC Funds LLC | 813-00394 | 33709 (12/03/2019) | 33741 (01/08/2020) |
| Tudor Investment Corporation and Tudor Employee Investment Fund LLC | 813-00391 | 33492 (05/23/2019) | 33510 (06/17/2019) |
| Hudson Advisors L.P., et al. | 813-00387 | 32804 (08/31/2017) | 32834 (09/26/2017) |
| The Boston Consulting Group, Inc. and Green Falcon Investors I, L.P. | 813-00386 | 32713 (06/27/2017) | 32739 (07/25/2017) |
| AllianceBernstein L.P. and AllianceBernstein U.S. Real Estate (Employee) Fund II, L.P. | 813-00384 | 32095 (04/25/2016) | 32121 (05/23/2016) |
| Ares Management LLC | 813-00385 | 32020 (03/02/2016) | 32058 (03/29/2016) |
| BlackRock, Inc., et al. | 813-366 | 31341 (11/20/2014) | 31376 (12/16/2014) |
| Kohlberg Kravis Roberts & Co. L.P., et al. | 813-382 | 31070 (06/03/2014) | 31141 (07/01/2014) |
| UBS AG, et al. | 813-336 | 31019 (04/17/2014) | 31042 (05/13/2014) |
| Citadel LLC, et al. | 813-383 | 30589 (07/03/2013) | 30637 (07/30/2013) |
| Invesco Advisers, Inc., et al. | 813-180-09 | 30581 (06/26/2013) | 30609 (07/23/2013) |
| JPMorgan Chase & Co., et al. | 813-370 | 30465 (04/16/2013) | 30520 (05/14/2013) |
| Stetson Capital Fund LP and Davis Polk & Wardwell LLP | 813-310 | 30438 (03/27/2013) | 30475 (04/23/2013) |
| WINCO Investment Partnership 2008 L.P. and Winstead PC | 813-374 | 30374 (01/31/2013) | 30407 (02/26/2013) |
| Alvarez & Marsal, Inc., et al. | 813-379 | 30183 (08/28/2012) | 30214 (09/25/2012) |
| P.E. Partners III, LLC, et al. | 813-248 | 30143 (07/20/2012) | 30170 (08/16/2012) |
| SK Private Investment Fund 1998 LLC, et al. | 813-194 | 30060 (05/04/2012) | 30091 (05/31/2012) |
| Jefferies Employees Special Opportunities Partners, LLC, et al. | 813-228 | 30007 (03/23/2012) | 30037 (04/18/2012) |
| Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC | 813-377 | 29851 (10/27/2011) | 29869 (11/22/2011) |
| Capital International, Inc., et al. | 813-353 | 29577 (02/10/2011) | 29596 (03/08/2011) |
| Riverside Casualty, Inc. | 813-361 | 29576 (02/08/2011) | 29597 (03/08/2011) |
| RIEF RMP LLC and Renaissance Technologies LLC | 813-358 | 29446 (09/28/2010) | 29489 (10/26/2010) |
| Elfun Trusts, et al. | 813-373 | 29441 (09/27/2010) | 29485 (10/25/2010) |
| Tudor Employee Investment Fund LLC and Tudor Investment Corporation | 813-359 | 29409 (09/03/2010) | 29449 (09/29/2010) |
| The Blackstone Group, L.P. | 813-375 | 29378 (08/05/2010) | 29406 (08/31/2010) |
| William Blair & Company, L.L.C. | 813-274 | 28700 (04/22/2009) | 28727 (05/20/2009) |
| TWB Investment Partnership L.P. | 813-332 | 28528 (12/09/2008) | 28576 (01/06/2009) |
| Wortham Finance L.P. | 813-365 | 28484 (11/10/2008) | 28529 (12/09/2008) |
| HLHZ Investments LLC | 813-355 | 28428 (09/30/2008) | 28473 (10/28/2008) |
| American International Group, Inc., et al. | 813-369 | 28286 (05/23/2008) | 28301 (06/18/2008) |
| Bessemer Group, Inc., et al. | 813-362 | 28258 (04/29/2008) | 28289 (05/28/2008) |
| Kiewit Investment Fund | 813-367 | 28047 (11/05/2007) | 28076 (12/11/2007) |
| Tower 21st Century Fund | 813-350 | 28046 (11/08/2007) | 28072 (12/04/2007) |
| Raymond James Employee | 813-326 | 28012 (10/11/2007) | 28043 (11/06/2007) |
| Stephens, Inc. | 813-306 | 27843 (05/29/2007) | 27875 (06/26/2007) |
| Silas Partners I, LLC, et al. | 813-264 | 27770 (03/27/2007) | 27782 (04/24/2007) |
| SA Investment Partnership LLC, et al. | 813-284 | 27747 (03/05/2007) | 27774 (04/02/2007) |
| Opal Private Equity Fund, LP and Schottenstein, Zox & Dunn Co., L.P.A. | 813-356 | 27612 (12/27/2006) | 27675 (01/23/2007) |
Exchange Traded Funds - Active |
|||
| Investment Company | File No. | Notice | Order |
| T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc. | 812-14214 | 33685 (11/14/2019) | 33713 (12/10/2019) |
| Natixis ETF Trust II, et al. | 812-14870 | 33684 (11/14/2019) | 33711 (12/10/2019) |
| Fidelity Beach Street Trust, et al. | 812-14364 | 33683 (11/14/2019) | 33712 (12/10/2019) |
| Blue Tractor ETF Trust and Blue Tractor Group, LLC | 812-14625 | 33682 (11/14/2019) | 33710 (12/10/2019) |
| Gabelli ETFs Trust, et al. | 812-15036 | 33681 (11/05/2019) | 33708 (12/03/2019) |
| Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC. | 812-15034 | 33631 (09/24/2019) | |
| American Century ETF Trust, et al. | 812-15035 | 33590 (08/14/2019) | 33620 (09/10/2019) |
| Alaia Capital, LLC and m+ ETF Trust | 812-15022 | 33580 (07/30/2019) | 33621 (09/10/2019) |
| ETF Opportunities Trust, et al. | 812-15014 | 33579 (07/29/2019) | 33609 (08/26/2019) |
| Liquid Strategies, LLC and Listed Funds Trust | 812-15026 | 33576 (07/24/2019) | 33596 (08/20/2019) |
| Zacks Investment Management, Inc. and Zacks Trust | 812-14984 | 33565 (07/23/2019) | 33593 (08/20/2019) |
| Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds | 812-14991 | 33516 (06/20/2019) | 33555 (07/16/2019) |
| Pioneer ETF Series Trust I, et al. | 812-15018 | 33506 (06/12/2019) | 33546 (07/08/2019) |
| Collaborative Investment Series Trust and Belpointe Asset Management, LLC | 812-14953 | 33472 (05/10/2019) | 33502 (06/05/2019) |
| Precidian ETFs Trust, et al. See also: Additional information |
812-14405 | 33440 (04/08/2019) | 33477 (05/20/2019) |
| iM Global Partner US LLC and Manager Directed Portfolios | 812-14944 | 33431 (03/28/2019) | 33451 (04/23/2019) |
| TigerShares Trust, et al. | 812-14980 | 33392 (03/07/2019) | 33438 (04/02/2019) |
| Pacer Funds Trust, et al. | 812-14974 | 33374 (02/13/2019) | 33397 (03/12/2019) |
| Victory Capital Management Inc., et al. | 812-14985 | 33371 (02/08/2019) | 33390 (03/06/2019) |
| Yleana Advisors, LLC and Yleana Trust | 812-14966 | 33370 (02/06/2019) | |
| AQR Trust and AQR Capital Management, LLC | 812-14811 | 33342 (12/21/2018) | 33347 (01/28/2019) |
| RYZZ Capital Management, LLC, et al. | 812-14961 | 33332 (12/19/2018) | 33362 (01/31/2019) |
| OSI ETF Trust, et al. | 812-14960 | 33330 (12/19/2018) | 33366 (02/01/2019) |
| Ai Funds, Inc. and Deep A.I. ETF Trust | 812-14912 | 33327 (12/18/2018) | 33348 (01/29/2019) |
| Pacific Global ETF Trust and Cadence Capital Management LLC | 812-14933 | 33320 (12/11/2018) | 33353 (01/29/2019) |
| Toroso Investments, LLC and Tidal ETF Trust | 812-14924 | 33288 (11/05/2018) | 33313 (12/03/2018) |
| Procure Active ETF Trust, et al. | 812-14772 | 33273 (10/17/2018) | 33292 (11/07/2018) |
| Motley Fool Asset Management, LLC and The RBB Fund, Inc. | 812-14888 | 33141 (06/28/2018) | 33167 (07/24/2018) |
| Aptus Capital Advisors, LLC and ETF Series Solutions | 812-14880 | 33120 (06/12/2018) | 33154 (07/10/2018) |
| Sprott ETF Trust and Sprott Asset Management USA Inc. | 812-14871 | 33112 (06/01/2018) | 33138 (06/28/2018) |
| DMS ETF Trust I, et al. | 812-14885 | 33103 (05/22/2018) | 33125 (06/19/2018) |
| U.S. Global Investors, Inc. et al. | 812-14869 | 33092 (05/09/2018) | 33118 (06/05/2018) |
| Destra Exchange-Traded Fund Trust, et al. | 812-14789 | 33049 (03/14/2018) | 33069 (04/10/2018) |
| Nationwide Fund Advisors and ETF Series Solutions | 812-14849 | 33042 (03/08/2018) | 33065 (04/03/2018) |
| Little Harbor Advisors, LLC and ETF Series Solutions | 812-14845 | 33035 (02/26/2018) | 33057 (03/26/2018) |
| Gadsden ETF Trust and Gadsden, LLC | 812-14859 | 32999 (01/30/2018) | 33040 (03/07/2018) |
| EquBot LLC and ETF Series Solutions | 812-14858 | 32993 (01/26/2018) | 33009 (02/21/2018) |
| FQF Trust, et al. | 812-14742 | 32942 (12/19/2017) | 32970 (01/17/2018) |
| CBOE Vest Financial, LLC, et al. | 812-14801 | 32896 (11/07/2017) | 32932 (12/04/2017) |
| Reinhart Partners, Inc., et al. | 812-14830 | 32892 (11/01/2017) | 32924 (11/28/2017) |
| USCF Fund Advisors, LLC, et al. | 812-14340 | 32851 (10/04/2017) | 32889 (10/31/2017) |
| American Century ETF Trust and American Century Investment Management, Inc. | 812-14793 | 32838 (09/28/2017) | 32871 (10/25/2017) |
| Active Weighting Funds ETF Trust and Active Weighting Advisors LLC | 812-14696 | 32820 (09/18/2017) | 32859 (10/11/2017) |
| Innovator ETFs Trust, et al. | 812-14781 | 32812 (09/11/2017) | 32854 (10/06/2017) |
| The Vanguard Group, Inc., et al. | 812-14691 | 32810 (09/08/2017) | 32852 (10/04/2017) |
| Northern Lights Fund Trust and Toews Corporation | 812-14787 | 32733 (07/14/2017) | 32777 (08/08/2017) |
| Northern Lights Fund Trust IV and Main Management ETF Advisors, LLC | 812-14747 | 32662 (05/25/2017) | 32686 (06/20/2017) |
| ClearShares, LLC et al. | 812-14739 | 32620 (05/01/2017) | 32665 (05/30/2017) |
| Formula Folio Investments, LLC and Northern Lights Fund Trust IV | 812-14695 | 32607 (04/20/2017) | 32637 (05/16/2017) |
| Precidian ETFs Trust, et al. | 812-14584 | 32596 (04/05/2017) | 32622 (05/02/2017) |
| Spinnaker ETF Trust, et al. | 812-14397 | 32568 (03/22/2017) | 32601 (04/18/2017) |
| StrongVest ETF Trust, et al. | 812-14701 | 32471 (02/07/2017) | 32522 (03/07/2017) |
| Hartford Funds Exchange-Traded Trust, et al. | 812-13828-01 | 32413 (01/04/2017) | 32454 (01/27/2017) |
| Krane Funds Advisors, LLC, et al. | 812-14675 | 32412 (01/04/2017) | 32455 (01/27/2017) |
| Morgan Stanley ETF Trust, et al. | 812-14655 | 32405 (12/28/2016) | 32431 (01/24/2017) |
| Legg Mason ETF Equity Trust, et al. | 812-14547 | 32360 (11/16/2016) | 32391 (12/13/2016) |
| Foreside Advisor Services, LLC, et al. | 812-14659 | 32256 (09/09/2016) | 32304 (10/05/2016) |
| Regents Park Funds, LLC, et al. | 812-14658 | 32249 (08/31/2016) | 32291 (09/27/2016) |
| Voya ETF Trust, et al. | 812-14571 | 32246 (08/30/2016) | 32287 (09/27/2016) |
| Davis Fundamental ETF Trust, et al. | 812-14632 | 32219 (08/16/2016) | 32260 (09/13/2016) |
| TrimTabs ETF Trust, et al. | 812-14661 | 32208 (08/04/2016) | 32244 (08/30/2016) |
| ETF Managers Group LLC, et al. | 812-14598 | 32142 (06/08/2016) | 32171 (07/06/2016) |
| Madison ETF Trust and Madison ETF Advisers, LLC. | 812-14527 | 32093 (04/25/2016) | 32120 (05/23/2016) |
| Pointbreak Advisers LLC, et al. | 812-14577 | 32023 (03/07/2016) | 32064 (04/04/2016) |
| Advisors Asset Management, Inc. and AAM ETF Trust | 812-14535 | 32015 (03/01/2016) | 32055 (03/29/2016) |
| J.P. Morgan Exchange-Traded Fund Trust, et al. | 812-13761 | 31956 (01/14/2016) | 31990 (02/09/2016) |
| Good Hill Partners LP and Good Hill ETF Trust | 812-14507 | 31897 (11/06/2015) | 31923 (12/02/2015) |
| The Glenmede Portfolios and Glenmede Investment Management LP | 812-14484 | 31801 (08/31/2015) | 31851 (09/28/2015) |
| New York Alaska ETF Management LLC, et al. | 812-14419 | 31667 (06/12/2015) | 31709 (07/08/2015) |
| Nuveen Fund Advisors, LLC, et al. | 812-14428 | 31664 (06/08/2015) | 31705 (07/06/2015) |
| Amplify Investments LLC and Amplify ETF Trust | 812-14423 | 31545 (04/01/2015) | 31582 (04/28/2015) |
| Janus ETF Trust, et al. | 812-13819 | 31492 (03/03/2015) | 31540 (03/30/2015) |
| Exceed Advisory LLC and Exceed ETFs | 812-14234 | 31446 (02/04/2015) | 31494 (03/03/2015) |
| Capital Group ETF Trust, et al. | 812-14338 | 31441 (02/02/2015) | 31491 (03/02/2015) |
| Alphamark Advisors, LLC, et al. | 812-14402 | 31430 (01/28/2015) | 31469 (02/24/2015) |
| Goldman Sachs ETF Trust, et al. | 812-14362 | 31427 (01/26/2015) | 31466 (02/23/2015) |
| Dreyfus ETF Trust, et al. | 812-14283 | 31365 (12/03/2014) | 31403 (12/30/2014) |
| ETF Securities Advisors LLC, et al. | 812-14271 | 31319 (10/24/2014) | 31340 (11/19/2014) |
| Spruce ETF Trust, et al. | 812-13953 | 31301 (10/21/2014) | 31337 (11/14/2014) |
| Precidian ETFs Trust, et al. | 812-14116 | 31300 (10/21/2014) | 31336 (11/14/2014) |
| Validea Capital Management, LLC, et al. | 812-14322 | 31246 (09/09/2014) | 31277 (10/07/2014) |
| Innovator Management LLC and Academy Funds Trust | 812-14308 | 31209 (08/13/2014) | 31248 (09/09/2014) |
| Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust | 812-14323 | 31156 (07/15/2014) | 31205 (08/12/2014) |
| Elkhorn Investments, LLC and Elkhorn ETF Trust | 812-14262 | 31089 (06/19/2014) | 31158 (07/15/2014) |
| Global X Funds, Global X Management Company LLC, and Sei Investments Distribution Company | 812-14241 | 31084 (06/17/2014) | 31153 (07/14/2014) |
| Prudential Investments LLC, et al. | 812-14267 | 31063 (05/29/2014) | 31095 (06/24/2014) |
| ARK ETF Trust, et al. | 812-14172 | 31009 (04/07/2014) | 31034 (04/29/2014) |
| Direxion Shares ETF Trust, et al | 812-14269 | 31002 (04/03/2014) | 31032 (04/29/2014) |
| Empowered Funds, LLC and Empowered Funds ETF Trust | 812-14245 | 30988 (03/21/2014) | 31018 (04/16/2014) |
| Cohen & Steers Capital Management, Inc., et al. | 812-14229 | 30924 (02/24/2014) | 30987 (03/21/2014) |
| Acacia Asset Management LLC and Acacia Trust | 812-14237 | 30915 (02/11/2014) | 30978 (03/11/2014) |
| USAA Asset Management Company, et al. | 812-14140 | 30891 (01/23/2014) | 30921 (02/19/2014) |
| DBX ETF Trust, et al. | 812-14004 | 30770 (10/29/2013) | 30811 (11/26/2013) |
| VTL Associates, LLC, et al. | 812-14200 | 30763 (10/24/2013) | 30789 (11/19/2013) |
| Syntax Analytics, LLC and Syntax ETF Trust | 812-14175 | 30747 (10/18/2013) | 30782 (11/13/2013) |
| Principal Management Corporation, et al. | 812-14136 | 30692 (09/20/2013) | 30742 (10/16/2013) |
| Horizons ETFs Management (USA) LLC and Horizons ETF Trust | 812-14178 | 30680 (08/27/2013) | 30695 (09/24/2013) |
| Ranger Alternative Management, L.P. and Ranger Funds Investment Trust | 812-14071 | 30639 (08/01/2013) | 30677 (08/27/2013) |
| GENCAP Strategies LLC, et al. | 812-14048 | 30635 (07/30/2013) | 30676 (08/27/2013) |
| Calamos Advisors LLC, et al. | 812-14169 | 30628 (07/24/2013) | 30653 (08/20/2013) |
| NGAM Advisors, L.P., et al. | 812-13941 | 30594 (07/09/2013) | 30643 (08/06/2013) |
| FlexShares Trust, et al. | 812-14150 | 30593 (07/09/2013) | 30645 (08/06/2013) |
| Charles Schwab Investment Management, Inc., et al. | 812-14009 | 30584 (06/27/2013) | 30606 (07/23/2013) |
| ETF Issuer Solutions Inc., et al. | 812-14080 | 30568 (06/26/2013) | 30607 (07/23/2013) |
| ProShares Advisors LLC, et al. | 812-14041 | 30527 (05/21/2013) | 30562 (06/18/2013) |
| ALPS ETF Trust, et al. | 812-13884 | 30519 (05/14/2013) | 30553 (06/11/2013) |
| ERNY Financial ETF Trust and ERNY Financial Advisors, LLC | 812-14146 | 30514 (05/13/2013) | 30552 (06/10/2013) |
| Forum Investment Advisors, LLC, et al. | 812-13915 | 30507 (05/06/2013) | 30549 (06/04/2013) |
| Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc. | 812-13886 | 30503 (05/02/2013) | 30543 (05/29/2013) |
| John Hancock Exchange-Traded Fund Trust, et al. | 812-13734 | 30469 (04/18/2013) | 30518 (05/14/2013) |
| Fidelity Merrimack Street Trust, et al. | 812-14104 | 30464 (04/16/2013) | 30513 (05/10/2013) |
| Neuberger Berman ETF Trust and Neuberger Berman Management LLC | 812-13848 | 30436 (03/25/2013) | 30473 (04/22/2013) |
| Exchange Traded Concepts Trust, et al. | 812-13969 | 30415 (03/07/2013) | 30445 (04/02/2013) |
| Emerging Global Advisors, LLC, et al. | 812-14117 | 30382 (02/13/2013) | 30423 (03/12/2013) |
| Exchange Traded Spreads Trust, et al. | 812-13486 | 30346 (01/09/2013) | 30378 (02/05/2013) |
| Pyxis Capital, L.P., et al. | 812-13489-01 | 30316 (12/21/2012) | 30352 (01/16/2013) |
| Franklin Advisers, Inc., et al. | 812-14042 | 30312 (12/19/2012) | 30350 (01/15/2013) |
| AllianceBernstein Active ETFs, Inc., et al. | 812-13797 | 30305 (12/13/2012) | 30343 (01/08/2013) |
| Cambria Investment Management, L.P. and Cambria ETF Trust | 812-13959 | 30302 (12/12/2012)
See also: IC-30286 |
30340 (01/04/2013) |
| T. Rowe Price Associates, Inc., et al. | 812-13726 | 30299 (12/07/2012) | 30336 (01/02/2013) |
| Cambria Investment Management, L.P. and Cambria ETF Trust | 812-13959 | 30286 (11/30/2012)
See also IC-30302 |
30340 (01/04/2013) |
| Salient Advisors, L.P. and MarketShares ETF Trust | 812-13974 | 30254 (10/31/2012) | 30281 (11/27/2012) |
| Legg Mason ETF Trust, et al. | 812-13757 | 30237 (10/22/2012) | 30265 (11/16/2012) |
| IndexIQ Advisors LLC, et al. | 812-13956 | 30166 (08/13/2012) | 30198 (09/10/2012) |
| Arrow Investment Advisers, LLC, et al. | 812-13937 | 30100 (06/07/2012) | 30127 (07/03/2012) |
| Federated Investment Management Company and Federated ETF Trust | 812-13946 | 30093 (06/01/2012) | 30123 (06/26/2012) |
| Northern Trust Investments, Inc., et al. | 812-13868 | 30045 (04/24/2012) | 30068 (05/22/2012) |
| Huntington Asset Advisors, Inc., et al. | 812-13785 | 30032 (04/10/2012) | 30061 (05/08/2012) |
| First Trust Exchange-Traded Fund, et al. | 812-13795 | 29983 (03/15/2012) | 30029 (04/10/2012) |
| RiverPark Advisors, LLC, et al. | 812-13755 | 29840 (10/19/2011) | 29863 (11/17/2011) |
| Russell Exchange Traded Funds Trust, et al. | 812-13815 | 29706 (06/22/2011) | 29727 (07/19/2011) |
| Eaton Vance Management, et al. | 812-13759 | 29591 (03/01/2011) | 29620 (03/30/2011) |
| iShares Trust, et al. | 812-13601 | 29543 (12/27/2010) | 29571 (01/24/2011) |
| SSgA Funds Management, Inc., et al. | 812-13487 | 29499 (11/17/2010) | 29524 (12/13/2010) |
| Van Eck Associates Corporation, et al. | 812-13605 | 29459 (10/07/2010) | 29496 (11/03/2010) |
| AdvisorShares Investment | 812-13677 | 29264 (05/06/2010) | 29291 (05/28/2010) |
| Claymore Exchange-Traded Fund Trust 3 | 812-13534 | 29256 (04/23/2010) | 29271 (05/18/2010) |
| U.S. One, Inc. | 812-13658 | 29128 (02/02/2010) | 29164 (03/01/2010) |
| Pacific Investment Management Company LLC and PIMCO ETF Trust | 812-13571 | 28948 (10/20/2009) | 28993 (11/10/2009) |
| Grail Partners LLC, et al. | 812-13440 | 28571 (12/23/2008) | 28604 (01/16/2009) |
| AdvisorShares Investments, LLC and AdvisorShares Trust | 812-13488 | 28568 (12/23/2008) | 28822 (07/20/2009) |
| First Trust Exchange-Traded Fund III, et al. | 812-13477 | 28421 (09/29/2008) | 28468 (10/27/2008) |
| WisdomTree Investments, Inc., et al. | 812-13458 | 28419 (09/28/2008) | 28471 (10/27/2008) |
| PowerShares Capital Management LLC | 812-13491 | 28411 (09/29/2008) | 28467 (10/27/2008) |
| WisdomTree Trust, et al. | 812-13470 | 28147 (02/06/2008) | 28174 (02/27/2008) |
| Barclays Global Fund Advisors, et al. | 812-13485 | 28146 (02/06/2008) | 28173 (02/27/2008) |
| Bear Stearns Asset Management, Inc., et al. | 812-13352 | 28143 (02/06/2008) | 28172 (02/27/2008) |
| PowerShares Capital Management LLC, et al. | 812-13386 | 28140 (02/01/2008) | 28171 (02/27/2008) |
Exchange Traded Funds - Index |
|||
| Investment Company | File No. | Notice | Order |
| New Age Alpha Advisors, LLC and New Age Alpha Trust | 812-14998 | 33606 (08/21/2019) | 33628 (09/17/2019) |
| Zacks Investment Management, Inc. and Zacks Trust | 812-14983 | 33564 (07/23/2019) | 33592 (08/20/2019) |
| Northern Lights Fund Trust III, et al. | 812-15032 | 33551 (07/11/2019) | 33585 (08/09/2019) |
| WicShares Trust and Water Island Capital, LLC | 812-15039 | 33535 (06/27/2019) | 33584 (08/08/2019) |
| Wahed Invest LLC, et al. | 812-14994 | 33507 (06/12/2019) | 33549 (07/09/2019) |
| Toroso Investments, LLC and Tidal ETF Trust | 812-14996 | 33469 (05/08/2019) | 33499 (06/03/2019) |
| M-CAM International LLC, et al. | 812-14995 | 33450 (04/23/2019) | 33479 (05/21/2019) |
| Roundhill Financial LLC and Listed Funds Trust | 812-14981 | 33446 (04/12/2019) | 33471 (05/08/2019) |
| O'Shaughnessy Asset Management, LLC, et al. | 812-14929 | 33395 (03/11/2019) | 33443 (04/09/2019) |
| Infusive US Trust, et al. | 812-14938 | 33385 (03/01/2019) | 33430 (03/27/2019) |
| OBP Capital LLC, et al. | 812-14887 | 33381 (02/21/2019) | 33402 (03/19/2019) |
| Acquirers Funds, LLC, et al. | 812-14954 | 33380 (02/21/2019) | 33403 (03/19/2019) |
| Toroso Investments, LLC and Tidal ETF Trust | 812-14939 | 33378 (02/21/2019) | 33433 (03/29/2019) |
| Yleana Advisors, LLC and Yleana Trust | 812-14965 | 33368 (02/06/2019) | |
| AQR Trust and AQR Capital Management, LLC | 812-14812 | 33343 (12/21/2018) | 33346 (01/28/2019) |
| Timothy Plan and Timothy Partners, Ltd. | 812-14958 | 33331 (12/19/2018) | 33352 (01/29/2019) |
| Hoya Capital Real Estate, LLC, et al. | 812-14969 | 33325 (12/17/2018) | 33359 (01/29/2019) |
| Pacific Global ETF Trust and Cadence Capital Management LLC | 812-14934 | 33296 (11/19/2018) | 33326 (12/17/2018) |
| ABR Dynamic Funds, LLC, et al. | 812-14920 | 33295 (11/14/2018) | 33321 (12/11/2018) |
| Beyond Advisors IC, et al. | 812-14936 | 33277 (10/22/2018) | 33297 (11/19/2018) |
| Procure ETF Trust I, et al. | 812-14771 | 33274 (10/17/2018) | 33291 (11/07/2018) |
| Vident Advisory, LLC et al. | 812-14923 | 33263 (10/03/2018) | 33284 (10/30/2018) |
| Distillate Capital Partners LLC, et al. | 812-14906 | 33244 (09/24/2018) | 33276 (10/22/2018) |
| Wealthn LLC and TigerShares Trust | 812-14919 | 33223 (09/11/2018) | 33266 (10/10/2018) |
| Cushing Asset Management, LP et al. | 812-14918 | 33206 (08/21/2018) | 33264 (10/05/2018) |
| IndexIQ ETF Trust, et al. | 812-14889 | 33163 (07/19/2018) | 33200 (08/14/2018) |
| DMS ETF Trust I, et al. | 812-14886 | 33148 (07/06/2018) | 33189 (08/01/2018) |
| Defiance ETFs, LLC, et al. | 812-14879 | 33136 (06/27/2018) | 33165 (07/23/2018) |
| Impact Shares Trust I, et al. | 812-14846 | 33134 (06/21/2018) | 33160 (07/17/2018) |
| Sprott ETF Trust and Sprott Asset Management USA Inc. | 812-14872 | 33123 (06/15/2018) | 33155 (07/10/2018) |
| Redwood Investment Management, LLC and Two Roads Shared Trust | 812-14873 | 33076A (04/26/2018) | 33100 (05/21/2018) |
| BMO Exchange Traded Funds, et al. | 812-14521 | 33079 (04/24/2018) | 33102 (05/21/2018) |
| Destra Exchange-Traded Fund Trust, et al. | 812-14788 | 33048 (03/14/2018) | 33071 (04/10/2018) |
| Salt Financial, LLC, et al. | 812-14847 | 32974 (01/23/2018) | 33007 (02/21/2018) |
| Validea Capital Management, LLC, et al. | 812-14805 | 32952 (12/26/2017) | 33002 (02/06/2018) |
| Calvert Research and Management and Calvert ETF Trust | 812-14820 | 32935 (12/06/2017) | 32959 (01/03/2018) |
| CBOE Vest Financial, LLC, et al. | 812-14800 | 32933 (12/04/2017) | 32991 (01/25/2018) |
| Regents Park Funds, LLC and Two Roads Shared Trust | 812-14834 | 32931 (12/01/2017) | 32954 (12/27/2017) |
| American Century ETF Trust and American Century Investment Management, Inc. | 812-14794 | 32928 (11/29/2017) | 32955 (12/27/2017) 32955A (01/02/2018) |
| Motley Fool Asset Management, LLC, et al. | 812-14804 | 32899 (11/17/2017) | 32962 (01/03/2018) |
| Whitford Asset Management, LLC, et al. | 812-14817 | 32853 (10/04/2017) | 32890 (10/31/2017) |
| EntrepreneurShares Series Trust, et al. | 812-14803 | 32847 (10/03/2017) | 32887 (10/30/2017) |
| Wells Fargo Exchange-Traded Funds Trust, et al. | 812-14681 | 32836 (09/27/2017) | 32869 (10/24/2017) |
| Innovator ETFs Trust, et al. | 812-14782 | 32811 (09/11/2017) | 32856 (10/06/2017) |
| SL Advisors, LLC, et al. | 812-14802 | 32801 (08/30/2017) | 32832 (09/26/2017) |
| Sage Advisory Services LTD Co. and Northern Lights Fund Trust IV | 812-14792 | 32774 (08/04/2017) | 32806 (08/31/2017) |
| Northern Lights Fund Trust and Toews Corporation | 812-14761 | 32770 (08/01/2017) | 32800 (08/29/2017) |
| Change Finance, PBC, et al. | 812-14746 | 32763 (07/27/2017) | 32793 (08/23/2017) |
| Point Bridge Capital, LLC, et al. | 812-14763 | 32738 (07/21/2017) | 32781 (08/15/2017) |
| Nationwide Fund Advisors, et al. | 812-14751 | 32727 (07/06/2017) | 32771 (08/01/2017) |
| Transamerica ETF Trust, et al. | 812-14649 | 32718 (06/30/2017) | 32743 (07/26/2017) |
| Dreyfus ETF Trust | 812-14703 | 32666 (05/30/2017) | 32711 (06/26/2017) |
| PIMCO Equity Series, et al. | 812-14715 | 32661 (05/25/2017) | 32685 (06/20/2017) |
| TriLine Index Solutions, LLC, et al. | 812-14750 | 32608 (04/21/2017) | 32639 (05/17/2017) |
| Parker Global Strategies, LLC | 812-14709 | 32528 (03/10/2017) | 32595 (04/05/2017) |
| Morgan Stanley ETF Trust, et al. | 812-14656 | 32484 (02/21/2017) | 32539 (03/21/2017) |
| Tortoise Index Solutions, LLC, et al. | 812-14706 | 32512 (02/27/2017) | 32579 (03/28/2017) |
| USAA ETF Trust, et al. | 812-14692 | 32511 (02/27/2017) | 32576 (03/27/2017) |
| StrongVest ETF Trust, et al. | 812-14700 | 32453 (01/26/2017) | 32507 (02/22/2017) |
| Northern Lights Fund Trust IV and Blue Sky Asset Management, LLC | 812-14690 | 32401 (12/23/2016) | 32426 (01/18/2017) |
| Alpha Architect ETF Trust, et al. | 812-14663 | 32389 (12/12/2016) | 32418 (01/09/2017) |
| CWM Advisors, LLC, et al. | 812-14685 | 32375 (12/01/2016) | 32404 (12/28/2016) |
| OWLshares Trust, et al. | 812-14485 | 32363 (11/22/2016) | 32396 (12/20/2016) |
| Prudential ETF Trust, et al. | 812-14633 | 32351 (11/01/2016) | 32374 (11/30/2016) |
| Hartford Funds Exchange-Traded Trust, et. al. | 812-14592 | 32307 (10/06/2016) | 32350 (11/01/2016) |
| Foreside ETF Trust, et al. | 812-14660 | 32284 (09/26/2016) | 32323 (10/24/2016) |
| SerenityShares Investments LLC, et al. | 812-14641 | 32283 (09/26/2016) | 32325 (10/24/2016) |
| Global X Funds, et al. | 812-14549 | 32262 (09/14/2016) | 32311 (10/12/2016) |
| Dhandho ETF Trust and Dhandho Funds LLC | 812-14665 | 32255 (09/09/2016) | 32305 (10/05/2016) |
| Voya ETF Trust, et al. | 812-14572 | 32248 (08/30/2016) | 32288 (09/27/2016) |
| Rational Advisors, Inc. and Strategy Shares | 812-14657 | 32243 (08/30/2016) | 32292 (09/27/2016) |
| iShares Trust, et al. | 812-14678 | 32235 (08/24/2016) | 32268 (09/20/2016) |
| OSI ETF Trust, et al. | 812-14643 | 32204 (08/02/2016) | 32247 (08/30/2016) |
| CSat Investment Advisory, L.P., et al. | 812-14650 | 32196 (07/28/2016) | 32225 (08/23/2016) |
| Fidelity Commonwealth Trust, et al. | 812-14651 | 32166 (06/29/2016) | 32191 (07/26/2016) |
| Columbia ETF Trust I, et al. | 812-14552 | 32107 (05/05/2016) | 32134 (05/31/2016) |
| Franklin Templeton ETF Trust, et al. | 812-14566 | 32105 (05/05/2016) | 32133 (05/31/2016) |
| Aptus Capital Advisors, LLC, et al. | 812-14604 | 32071 (04/13/2016) | 32110 (05/10/2016) |
| Nuveen Fund Advisors, LLC, et al. | 812-14557 | 32069 (04/12/2016) | 32111 (05/10/2016) |
| Madison ETF Trust and Madison ETF Advisers, LLC | 812-14528 | 32065 (04/04/2016) | 32100 (05/02/2016) |
| Advisors Asset Management, Inc. and AAM ETF Trust | 812-14537 | 32063 (03/31/2016) | 32096 (04/26/2016) |
| FactorShares Trust, et al. | 812-14511 | 32062 (03/30/2016) | 32098 (04/26/2016) |
| Premise Capital, LLC | 812-14555 | 32033 (03/21/2016) | 32074 (04/18/2016) |
| Charles Schwab Investment Management, Inc., et al. | 812-14481 | 32014 (02/29/2016) | 32052 (03/25/2016) |
| CLS Investments, LLC, et al. | 812-14554 | 32011 (02/29/2016) | 32053 (03/25/2016) |
| Innovator Management LLC, et al. | 812-14532 | 31996 (02/12/2016) | 32026 (03/09/2016) |
| PowerShares Exchange-Traded Self-Indexed Fund Trust, et al. | 812-14574 | 31995 (02/11/2016) | 32025 (03/08/2016) |
| Recon Capital Series Trust, et al. | 812-14461 | 31945 (12/21/2015) | 31961 (01/19/2016) |
| Legg Mason Partners Fund Advisor, LLC, et al. | 812-14491 | 31895 (11/05/2015) | 31920 (12/01/2015) |
| Pointbreak Advisers LLC, et al. | 812-14499 | 31894 (11/05/2015) | 31921 (12/01/2015) |
| SPDR® Series Trust, et al. | 812-14512 | 31884 (10/28/2015) | 31917 (11/24/2015) |
| Good Hill Partners LP and Good Hill ETF Trust | 812-14506 | 31878 (10/22/2015) | 31904 (11/17/2015) |
| ARK ETF Trust, et al. | 812-14479 | 31864 (10/07/2015) | 31889 (11/02/2015) |
| Principal Exchange-Traded Funds, et al. | 812-14509 | 31834 (09/21/2015) | 31872 (10/19/2015) |
| AlphaClone, Inc., et al. | 812-14474 | 31820 (09/11/2015) | 31858 (10/05/2015) |
| Amplify Investments LLC and Amplify ETF Trust | 812-14424 | 31764 (08/17/2015) | 31822 (09/14/2015) |
| FFI Advisors, LLC, et al. | 812-14440 | 31669 (06/15/2015) | 31713 (07/13/2015) |
| Syntax, LLC and Syntax ETF Trust | 812-14385 | 31590 (04/30/2015) | 31650 (05/27/2015) |
| Highland Funds I, et al. | 812-14443 | 31579 (04/27/2015) | 31646 (05/26/2015) |
| John Hancock Exchange-Traded Fund Trust, et al. | 812-13683 | 31546 (04/02/2015) | 31581 (04/28/2015) |
| Janus ETF Trust, et al. | 812-14401 | 31544 (04/01/2015) | 31580 (04/28/2015) |
| Victory Capital Management Inc., et al. | 812-14409 | 31444 (02/03/2015) | 31493 (03/03/2015) |
| Diamond Hill Capital Management, Inc., et al. | 812-14398 | 31433 (01/28/2015) | 31472 (02/24/2015) |
| CSOP ETF Trust and CSOP Asset Management Limited | 812-14353 | 31432 (01/28/2015) | 31471 (02/24/2015) |
| Goldman Sachs ETF Trust, et al. | 812-14361 | 31428 (01/26/2015) | 31465 (02/23/2015) |
| Pacer Funds Trust, et al. | 812-14347 | 31394 (12/22/2014) | 31422 (01/20/2015) |
| Montage Managers Trust, et al. | 812-14393 | 31382 (12/17/2014) | 31410 (01/13/2015) |
| ETF Securities Advisors LLC, et al. | 812-14292 | 31346 (11/24/2014) | 31395 (12/22/2014) |
| Lattice Strategies, LLC, et al. | 812-14318 | 31343 (11/20/2014) | 31380 (12/16/2014) |
| DBX ETF Trust, et al. | 812-14177 | 31276 (10/06/2014) | 31326 (11/03/2014) |
| Northern Trust Investments, Inc., et al. | 812-14289 | 31264 (09/25/2014) | 31299 (10/21/2014) |
| TrimTabs Asset Management, LLC, et al. | 812-14298 | 31165 (07/22/2014) | 31214 (08/19/2014) |
| USCF Equity Trust, et al. | 812-14277 | 31133 (06/25/2014) | 31163 (07/22/2014) |
| Cohen & Steers ETF Trust, et al., | 812-14230 | 31090 (06/20/2014) | 31157 (07/15/2014) |
| Elkhorn Investments, LLC and Elkhorn ETF Trust | 812-14263 | 31085 (06/17/2014) | 31155 (07/15/2014) |
| Marketshares ETF Trust, et al. | 812-14209 | 31069 (06/02/2014) | 31135 (06/26/2014) |
| ALPS ETF Trust, ALPS Advisors, Inc., ALPS Distributors, Inc., and ALPS Portfolio Solutions Distributor, Inc. | 812-14225 | 31011 (04/08/2014) | 31039 (05/06/2014) |
| Emerging Global Advisors, LLC, et al. | 812-14205 | 30910 (02/10/2014) | 30975 (03/07/2014) |
| J.P. Morgan Exchange-Traded Fund Trust, et al. | 812-13760 | 30898 (01/30/2014) | 30927 (02/24/2014) |
| IndexIQ ETF Trust, et al. | 812-14053 | 30843 (12/23/2013) | 30888 (01/22/2014) |
| Compass Efficient Model Portfolios, LLC | 812-14154 | 30817 (12/04/2013) | 30852 (12/31/2013) |
| VTL Associates, LLC, et al. | 812-14201 | 30815 (12/02/2013) | 30849 (12/30/2013) |
| Arrow Investment Advisors, LLC and Arrow Investments Trust | 812-14157 | 30813 (11/26/2013) | 30846 (12/24/2013) |
| Horizons ETFs Management (USA) LLC and Horizons ETF Trust | 812-14179 | 30803 (11/21/2013) | 30833 (12/17/2013) |
| WisdomTree Trust, et al. | 812-14238 | 30790 (11/20/2013) | 30826 (12/11/2013) |
| ETFis Series Trust I, et al. | 812-14212 | 30786 (11/15/2013) | 30825 (12/11/2013) |
| Ranger Alternative Management, L.P. and Ranger Funds Investment Trust | 812-14131 | 30778 (11/12/2013) | 30824 (12/11/2013) |
| Cambria ETF Trust, et al. | 812-14202 | 30768 (10/28/2013) | 30806 (11/25/2013) |
| Guinness Atkinson Asset Management, Inc., et al. | 812-14137 | 30735 (09/26/2013) | 30751 (10/22/2013) |
| U.S. Global Investors, Inc., et al. | 812-14188 | 30723 (09/25/2013) | 30755 (10/23/2013) |
| ERNY Financial ETF Trust, et al. | 812-14145 | 30636 (07/30/2013) | 30678 (08/27/2013) |
| Exchange Traded Concepts, LLC, et al. | 812-13963 | 30634 (07/29/2013) | 30674 (08/26/2013) |
| NGAM Advisors, L.P., et al. | 812-13942 | 30630 (07/25/2013) | 30654 (08/20/2013) |
| ProShare Advisors LLC, et al. | 812-14087 | 30583 (06/27/2013) | 30605 (07/23/2013) |
| First Trust Exchange-Traded Fund, et al. | 812-14088 | 30582 (06/26/2013) | 30610 (07/23/2013) |
| Guggenheim Funds Investment Advisors, LLC, et al. | 812-13991 | 30560 (06/14/2013) | 30598 (07/10/2013) |
| Sigma Investment Advisors, LLC, et al. | 812-14046 | 30559 (06/14/2013) | 30597 (07/10/2013) |
| Transparent Value Trust, et al. | 812-14121 | 30558 (06/14/2013) | 30596 (07/10/2013) |
| LocalShares Investment Trust, et al. | 812-14085 | 30523 (05/15/2013) | 30555 (06/11/2013) |
| Millington Securities, Inc. and Millington Exchange Traded MAVINS Fund, LLC | 812-13887 | 30459 (04/10/2013) | 30506 (05/06/2013) |
| Sage Quant Management LLC, et al. | 812-14035 | 30439 (03/28/2013) | 30476 (04/23/2013) |
| Krane Funds Advisors LLC., et al. | 812-13989 | 30425 (03/14/2013) | 30452 (04/08/2013) |
| Renaissance Capital Greenwich Funds, et al. | 812-13976 | 30422 (03/11/2013) | 30451 (04/08/2013) |
| Market Vectors ETF Trust, et al. | 812-14125 | 30409 (02/27/2013) | 30433 (03/21/2013) |
| Fidelity Commonwealth Trust, et al. | 812-13984 | 30341 (01/07/2013) | 30375 (02/01/2013) |
| Yorkville ETF Trust and Yorkville ETF Advisors, LLC | 812-13874 | 30306 (12/17/2012) | 30349 (01/14/2013) |
| Foreside Advisor Services, LLC, et al. | 812-14023 | 30284 (11/29/2012) | 30318 (12/27/2012) |
| Northern Trust Investments, Inc., et al. | 812-13968 | 30211 (09/24/2012) | 30240 (10/23/2012) |
| Factor Advisors, LLC, et al. | 812-13934 | 30204 (09/17/2012) | 30230 (10/10/2012) |
| Emerging Global Advisors, LLC, et al. | 812-13954 | 30184 (08/28/2012) | 30212 (09/25/2012) |
| Precidian ETFs Trust, et al. | 812-13981 | 30101 (06/08/2012) | 30129 (07/05/2012) |
| Highland Capital Management, L.P., et al. | 812-13478 | 29890 (12/19/2011) | 29918 (01/17/2012) |
| Global X Funds, et al. | 812-13830 | 29829 (09/30/2011) | 29852 (10/28/2011) |
| NT ETF Trust | 812-13773 | 29752 (08/10/2011) | 29782 (09/06/2011) |
| FQF Trust | 812-13741 | 29720 (07/11/2011) | 29747 (08/05/2011) |
| Precidian ETFs Trust, et al. | 812-13818 | 29692 (06/09/2011) | 29712 (07/01/2011) |
| Russell Investment Management Company, et al. | 812-13669 | 29655 (04/20/2011) | 29671 (05/16/2011) |
| ETSpreads, LLC, et al. | 812-13774 | 29501 (11/18/2010) | 29525 (12/14/2010) |
| Claymore Exchange-Traded Fund Trust, et al. | 812-13657 | 29458 (10/07/2010) | 29494 (11/02/2010) |
| Van Eck Associates Corporation, et al. | 812-13624 | 29455 (10/01/2010) | 29490 (10/26/2010) |
| Pax World Funds Trust II | 812-13702 | 29257 (04/26/2010) | 29268 (05/17/2010) |
| ShariahShares Exchange-Traded Fund Trust, et al. | 812-13559 | 29127 (01/29/2010) | 29130 (02/22/2010) |
| FaithShares Trust, et al. | 812-13638 | 28991 (11/05/2009) | 29065 (12/01/2009) |
| Charles Schwab Investment Management, Inc., et al. | 812-13628 | 28933 (09/28/2009) | 28983 (10/23/2009) |
| Arrow Investment Advisers, LLC, and Arrow Funds Trust | 812-13405 | 28852 (08/25/2009) | 28910 (09/22/2009) |
| OOK, Inc., et al. | 812-13504 | 28851 (08/25/2009) | 28902 (09/17/2009) |
| Old Mutual Global Shares Trust, et al. | 812-13614 | 28847 (08/13/2009) | 28898 (09/09/2009) |
| Pax World Funds Trust II, et al. | 812-13503 | 28834 (07/22/2009) | 28846 (08/13/2009) |
| X Exchange-Traded Funds, Inc., et al. | 812-13449 | 28766 (06/11/2009) | 28814 (07/07/2009) |
| WisdomTree Investments, Inc., et al. | 812-13650 | 28755 (06/01/2009) | 28805 (06/29/2009) |
| Pacific Investment Management Company LLC | 812-13555 | 28723 (05/11/2009) | 28752 (06/01/2009) |
| INDEXIQ ETF Trust | 812-13441 | 28638 (02/27/2009) | 28653 (03/20/2009) |
| Global X Funds, et al. | 812-13517 | 28378 (09/10/2008) | 28443 (10/03/2008) |
| Javelin Exchange-Traded Trust | 812-13425 | 28350 (07/31/2008) | 28367 (08/26/2008) |
| Van Eck Associates Corporation, et al. | 812-13507 | 28349 (07/31/2008) | 28365 (08/25/2008) |
| ALPS Advisers, Inc., et al., | 812-13430 | 28235 (04/09/2008) | 28262 (05/02/2008) |
| NETS Trust, et al. | 812-13444 | 28166 (02/25/2008) | 28195 (03/17/2008) |
| The TIGERS Revenue Trust and VTL Associates LLC | 812-13363 | 28123 (01/18/2008) | 28151 (02/13/2008) |
| FocusShares f/n/a MyShares | 812-13376 | 28040 (10/31/2007) | 28066 (11/27/2007) |
| Van Eck Associates Corp. | 812-13426 | 28007 (09/28/2007) | 28021 (10/24/2007) |
| Claymore Exchange-Traded Fund | 812-13396 | 27982 (09/26/2007) | 28019 (10/23/2007) |
| Wisdom Tree Investments, Inc., et al. | 812-13417 | 27976 (09/21/2007) | 28015 (10/17/2007) |
| SPA ETF Trust, et al. | 812-13372 | 27963 (08/31/2007) | 27983 (09/26/2007) |
| Rydex ETF Trust, et al. | 812-13387 | 27958 (08/28/2007) | 27981 (09/25/2007) |
| HealthShares, Inc. | 812-13558 | 27916 (07/27/2007) | 27930 (08/20/2007) |
| HealthShares, Inc., et al. | 812-13358 | 27916 (07/27/2007) | 27930 (08/20/2007) |
| Ameristock ETF Trust | 812-13332 | 27847 (05/30/2007) | 27874 (06/26/2007) |
| PowerShares Exchange-Traded Fund Trust | 812-13335 | 27811 (04/30/2007) | 27841 (05/25/2007) |
| Ssga Funds Management, Inc. | 812-13356 | 27809 (04/30/2007) | 27839 (05/25/2007) |
| First Trust Exchange-Traded Fund, et al. | 812-13262 | 27772 (03/30/2007) | 27784 (04/25/2007) |
| Vanguard Bond Index Funds, et al. | 812-13336 | 27750 (03/09/2007) | 27773 (04/02/2007) |
| BLDRS Index Funds Trust, et al. | 812-13344 | 27745 (02/28/2007) | 27768 (03/21/2007) |
| NASDAQ-100 Trust, Series 1, et al. | 812-13345 | 27740 (02/27/2007) | 27753 (03/20/2007) |
| Van Eck Associates Corporation, et al. | 812-13339 | 27694 (01/31/2007) | 27742 (02/27/2007) |
| PowerShares Exchange-Traded Fund Trust, et al. | 812-13343 | 27693 (01/31/2007) | 27743 (02/27/2007) |
| Ziegler Exchange Traded Trust, et al. | 812-13224 | 27610 (12/22/2006) | 27664 (01/18/2007) |
| Barclays Global Fund Advisors, et al. | 812-13208 | 27608 (12/21/2006) | 27661 (01/17/2007) |
Exchange Traded Funds - Leveraged |
|||
| Investment Company | File No. | Notice | Order |
| Rafferty Asset Management, LLC, et al. | 812-13610 | 28889 (08/27/2009) | 28905 (09/22/2009) |
| ProShares Trust, et al. | 812-13400 | 28696 (04/14/2009) | 28724 (05/12/2009) |
| Rafferty Asset Management, LLC, et al. | 812-13483 | 28379 (09/12/2008) | 28434 (10/06/2008) |
| Rydex ETF Trust, et al. | 812-13390 | 28000 (09/27/2007) | 28018 (10/23/2007) |
| ProShares Trust, et al. | 812-13382 | 27975 (09/21/2007) | 28014 (10/17/2007) |
| Rydex ETF Trust, et al. | 812-13337 | 27703 (02/20/2007) | 27754 (03/20/2007) |
| ProShares Trust, et al. | 812-13329 | 27609 (12/22/2006) | 27666 (01/18/2007) |
Exchange-Traded Managed Funds |
|||
| Investment Company | File No. | Notice | Order |
| Brandes Investment Trust, et al. | 812-14809 | 32893 (11/02/2017) | 32925 (11/28/2017) |
| Nationwide Fund Advisors, et al. | 812-14783 | 32712 (06/27/2017) | 32740 (07/25/2017) |
| UBS ETMF Trust, et al. | 812-14727 | 32529 (03/10/2017) | 32594 (04/05/2017) |
| Causeway ETMF Trust, et al. | 812-14729 | 32435 (01/25/2017) | 32485 (02/22/2017) |
| Columbia Trust, et al. | 812-14553 | 31866 (10/13/2015) | 31898 (11/10/2015) |
| Nile Capital Investment Trust, et al. | 812-14500 | 31760 (08/13/2015) | 31813 (09/09/2015) |
| ALPS ETMF Trust, et al. | 812-14517 | 31759 (08/13/2015) | 31815 (09/09/2015) |
| Ivy NextShares, et al. | 812-14516 | 31757 (08/13/2015) | 31816 (09/09/2015) |
| Principal ETMF Trust, et al. | 812-14496 | 31746 (08/11/2015) | 31812 (09/09/2015) |
| Victory NextShares Trust, et al. | 812-14495 | 31745 (08/11/2015) | 31811 (09/09/2015) |
| Pioneer ETMF Series Trust I | 812-14504 | 31718 (07/16/2015) | 31756 (08/13/2015) |
| Broms Asset Management NextShares Trust, et al. | 812-14503 | 31717 (07/16/2015) | 31755 (08/13/2015) |
| Hartford Funds NextShares Trust, et al. | 812-14439 | 31576 (04/23/2015) | 31607 (05/19/2015) |
| Gabelli ETMF Trust, et al. | 812-14438 | 31575 (04/23/2015) | 31608 (05/19/2015) |
| American Beacon Nextshares Trust, et al. | 812-14417 | 31498 (03/06/2015) | 31542 (04/01/2015) |
| Eaton Vance Management, et al. | 812-14139 | 31333 (11/06/2014) | 31361 (12/02/2014) |
Finance Subsidiaries |
|||
| Investment Company | File No. | Notice | Order |
| General Electric Company and GE Capital International Funding Company | 812-14550 | 31833 (09/21/2015) | 31871 (10/19/2015) |
| Metlife, Inc., et al. | 812-13549 | 29101 (12/30/2009) | 29124 (01/26/2010) |
Fund of Funds - Direct Investment |
|||
| Investment Company | File No. | Notice | Order |
| Context Capital Advisers, LLC, et al. | 812-14392 | 31689 (06/24/2015) | 31720 (07/21/2015) |
| Van Eck Associates Corporation, et al. | 812-14400 | 31547 (04/06/2015) | 31596 (05/06/2015) |
| Trust for Professional Managers and William Blair & Company, L.L.C. | 812-14354 | 31543 (04/01/2015) | 31584 (04/28/2015) |
| SSgA Mastertrust and SSgA Funds Management, Inc. | 812-14291 | 31249 (09/11/2014) | 31278 (10/07/2014) |
| Northern Lights Fund Trust, et al. | 812-14297 | 31087 (06/18/2014) | 31154 (07/15/2014) |
| Goldman Sachs Trust, et al. | 812-14075 | 30471 (04/19/2013) | 30522 (05/15/2013) |
| Ivy Funds Variable Insurance Portfolios, et al. | 812-14114 | 30427 (03/15/2013) | 30458 (04/10/2013) |
| Allianz Variable Insurance Products Fund of Funds Trust, et al. | 812-14084 | 30371 (01/29/2013) | 30406 (02/26/2013) |
| Securian Funds Trust, et al. | 812-14091 | 30354 (01/22/2013) | 30387 (02/19/2013) |
| PNC Capital Advisors, LLC, et al. | 812-14055 | 30298 (12/06/2012) | 30333 (12/28/2012) |
| Lord, Abbett & Co. LLC, et al. | 812-14047 | 30297 (12/06/2012) | 30334 (12/28/2012) |
| The Hartford Mutual Funds, Inc., et al. | 812-14024 | 30164 (08/08/2012) | 30194 (09/05/2012) |
| Forward Funds, et al. | 812-13996 | 29982 (03/15/2012) | 30031 (04/10/2012) |
| Capital Research and Management Company, et al. | 812-14007 | 29981 (03/01/2012) | 30033 (03/23/2012) |
| Columbia Funds Master Investment Trust, LLC, et al. | 812-13955 | 29980 (03/13/2012) | 30030 (04/10/2012) |
| DoubleLine Capital LP and DoubleLine Funds Trust | 812-13983 | 29943 (02/02/2012) | 29971 (02/28/2012) |
| Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC | 812-13982 | 29939 (01/30/2012) | 29967 (02/27/2012) |
| American Century Strategic Asset Allocations, Inc., et al. | 812-13930 | 29883 (12/13/2011) | 29916 (01/10/2012) |
| Seasons Series Trust, et al. | 812-13952 | 29879 (12/08/2011) | 29914 (01/04/2012) |
| AllianceBernstein Cap Fund, Inc., et al. | 812-13939 | 29876 (11/29/2011) | 29892 (12/21/2011) |
| SEI Investments Management Corporation, et al. | 812-13929 | 29866 (11/18/2011) | 29884 (12/14/2011) |
| DFA Investment Dimensions Group, Inc., et al. | 812-13943 | 29820 (09/22/2011) | 29838 (10/18/2011) |
| Highland Capital Management, L.P. | 812-13890 | 29790 (09/15/2011) | 29832 (10/12/2011) |
| Legg Mason Partners Equity Trust, et al. | 812-13892 | 29789 (09/15/2011) | 29835 (10/12/2011) |
| Stone Harbor Investment | 812-13931 | 29784 (09/07/2011) | 29830 (10/04/2011) |
| HighMark Funds, et al. | 812-13843 | 29694 (06/16/2011) | 29721 (07/12/2011) |
| Russell Investment Company, et al. | 812-13870 | 29623 (04/06/2011) | 29664 (05/03/2011) |
| Nuveen Asset Management, et al. | 812-13839 | 29522 (12/08/2010) | 29546 (12/30/2010) |
| Northern Lights Fund Trust, et al. | 812-13786 | 29452 (09/30/2010) | 29487 (10/26/2010) |
| FFCM, LLC and FQF Trust | 812-13748 | 29292 (06/02/2010) | 29335 (06/29/2010) |
| Kinetics Mutual Funds, Inc., et al. | 812-13745 | 29270 (05/17/2010) | 29297 (06/14/2010) |
| Calvert Social Investment | 812-13718 | 29209 (04/19/2010) | 29268 (05/17/2010) |
| Pioneer Bond Fund | 812-13727 | 29198 (03/31/2010) | 29259 (04/27/2010) |
| Rydex Series Funds | 812-13685 | 29179 (03/23/2010) | 29212 (04/20/2010) |
| Columbia Funds Series Trust, et al. | 812-13631 | 28896 (09/04/2009) | 28936 (09/20/2009) |
| WisdomTree Asset Management, Inc. and WisdomTree Trust | 812-13642 | 28804 (06/29/2009) | 28836 (07/24/2009) |
| PowerShares Exchange-Traded Fund Trust, et al. | 812-13604 | 28760 (06/08/2009) | 28813 (07/07/2009) |
| First American Strategy Funds, Inc. | 812-13602 | 28683 (03/31/2009) | 28715 (04/28/2009) |
| ING Investments, LLC | 812-13538 | 28650 (03/17/2009) | 28693 (04/14/2009) |
| Wells Fargo Funds Trust, et al. | 812-13548 | 28482 (10/31/2008) | 28524 (11/26/2008) |
| Aberdeen Asset Management | 812-13531 | 28407 (09/25/2008) | 28443 (10/21/2008) |
| Delaware Management Business Trust, et al. | 812-13521 | 28405 (09/24/2008) | 28445 (10/20/2008) |
| Morgan Stanley Series Funds, et al. | 812-13529 | 28388 (09/23/2008) | 28444 (10/21/2008) |
| Fidelity Aberdeen Street Trust, et al. | 812-13505 | 28376 (09/05/2008) | 28425 (09/30/2008) |
| Advanced Series Trust, et al. | 812-13537 | 28355 (08/08/2008) | 28374 (09/03/2008) |
| PIMCO Funds, et al. | 812-13513 | 28331 (07/17/2008) | 28356 (08/12/2008) |
| Thrivent Mutual Funds, et al., | 812-13508 | 28252 (04/28/2008) | 28267 (05/20/2008) |
| Franklin California Tax-Free Income Fund, et al. | 812-13500 | 28229 (03/31/2008) | 28257 (04/24/2008) |
| J.P. Morgan Trust I, et al. | 812-13418 | 28183 (03/04/2008) | 28230 (04/01/2008) |
| Eaton Vance Mutual Fund, et al. | 812-13481 | 28170 (02/26/2008) | 28202 (03/25/2008) |
| Schroder Series Trust, et al. | 812-13457 | 28133 (01/24/2008) | 28167 (02/25/2008) |
| Schroder Series Trust, et al. | 812-13467 | 28133 (01/24/2008) | 28167 (02/25/2008) |
| Vanguard STAR Funds | 812-13412 | 28009 (09/28/2007) | 28024 (10/24/2007) |
| DWS Advisor Funds, et al. | 812-13383 | 27919 (07/31/2007) | 27954 (08/27/2007) |
Fund of Funds - Multi-Group |
|||
| Investment Company | File No. | Notice | Order |
| MassMutual Select Funds, et al. | 812-15052 | 33675 (10/23/2019) | 33686 (11/18/2019) |
| ETFis Series Trust I, et al. | 812-15031 | 33622 (09/11/2019) | 33655 (10/08/2019) |
| Forum Funds, et al. | 812-15041 | 33587 (08/12/2019) | 33618 (09/09/2019) |
| Symmetry Panoramic Trust and Symmetry Partners, LLC | 812-14942 | 33317 (12/06/2018) | 33364 (02/01/2019) |
| Ares Credit and Income Trust and Ares Capital Management III LLC | 812-14892 | 33243 (09/21/2018) | 33275 (10/17/2018) |
| Innovator ETFs Trust, et al. | 812-14837 | 33214 (08/24/2018) | 33238 (09/19/2018) |
| Goldman Sachs Trust, et al. | 812-14764 | 33137 (06/27/2018) | 33166 (07/24/2018) |
| Morningstar Funds Trust, et al. | 812-14808 | 33005A (02/15/2018) | 33044 (03/13/2018) |
| Morningstar Funds Trust, et al. | 812-14808 | 33005 (02/14/2018) | |
| Northern Lights Fund Trust and Pacific Financial Group, LLC | 812-14810 | 32973 (01/23/2018) | 33008 (02/21/2018) |
| Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC | 812-14779 | 32940 (12/15/2017) | 32966 (01/09/2018) |
| Ausdal Unit Investment Trust and Ausdal Financial Partners, Inc. | 812-14786 | 32922 (11/27/2017) | 32953 (12/26/2017) |
| Meeder Funds Trust, et al. | 812-14775 | 32898 (11/08/2017) | 32934 (12/05/2017) |
| Princeton Fund Advisors, LLC. et al. | 812-14776 | 32894 (11/02/2017) | 32930 (11/30/2017) |
| Olden Lane Securities LLC and Olden Lane Trust | 812-14726 | 32845 (09/29/2017) | 32872 (10/25/2017) |
| Active Weighting Funds ETF Trust and Active Weighting Advisors LLC | 812-14697 | 32808 (09/06/2017) | 32848 (10/03/2017) |
| American Century International Bond Funds, et al. | 812-14754 | 32805 (08/31/2017) | 32833 (09/26/2017) |
| Advanced Series Trust, et al. | 812-14748 | 32778 (08/15/2017) | 32817 (09/12/2017) |
| Franklin Fund Allocator Series, et al. | 812-14611 | 32669 (06/05/2017) | 32722 (07/03/2017) |
| Aspiriant Trust, et al. | 812-14467 | 32634 (05/11/2017) | 32672 (06/06/2017) |
| Allianz Funds Multi-Strategy Trust and Allianz Global Investors U.S. LLC | 812-14255 | 32533 (03/15/2017) | 32598 (04/11/2017) |
| Brinker Capital Destinations Trust, et al. | 812-14724 | 32478 (02/14/2017) | 32534 (03/16/2017) |
| USAA Asset Management Company, et al. | 812-14693 | 32474 (02/09/2017) | 32525 (03/07/2017) |
| ALAIA Market Linked Trust and Beech Hill Securities, Inc. | 812-14543 | 32384 (12/08/2016) | 32410 (01/04/2017) |
| Destra Capital Advisors LLC, et al. | 812-14628 | 32308 (10/07/2016) | 32459 (01/30/2017) |
| Guggenheim Funds Trust, et al. | 812-14525 | 32140 (06/06/2016) | 32170 (07/05/2016) |
| PowerShares Exchange-Traded Fund Trust, et al. | 812-14442 | 32006 (02/25/2016) | 32035 (03/22/2016) |
| State Farm Associates' Funds Trust, et al. | 812-14558 | 31988 (02/08/2016) | 32357 (11/10/2016) |
| Good Hill Partners LP and Good Hill ETF Trust | 812-14505 | 31986 (02/05/2016) | 32021 (03/02/2016) |
| Columbia Funds Series Trust I, et al. | 812-14411 | 31953 (01/07/2016) | 31981 (02/03/2016) |
| Northern Lights Fund Trust, et al. | 812-14519 | 31952 (01/04/2016) | 31978 (02/02/2016) |
| Advisors Asset Management, Inc. and AAM ETF Trust | 812-14536 | 31870 (10/19/2015) | 31902 (11/16/2015) |
| Janus Investment Fund, et al. | 812-14412 | 31753 (08/13/2015) | 31808 (09/09/2015) |
| Amplify Investments LLC and Amplify ETF Trust | 812-14425 | 31683 (06/18/2015) | 31716 (07/15/2015) |
| American Funds Insurance Series, et al. | 812-14325 | 31677 (06/17/2015) | 31715 (07/14/2015) |
| Realty Capital Income Funds Trust, et al. | 812-14341 | 31458 (02/18/2015) | 31506 (03/17/2015) |
| Forum Funds II, et al. | 812-14355 | 31407 (01/06/2015) | 31443 (02/03/2015) |
| Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions | 812-14381 | 31404 (01/05/2015) | 31438 (01/30/2015) |
| Wilshire Mutual Funds, Inc., et al. | 812-14350 | 31381 (12/16/2014) | 31456 (02/12/2015) |
| Elkhorn Investments, LLC and Elkhorn ETF Trust | 812-14264 | 31363 (12/02/2014) | 31401 (12/29/2014) |
| AllianceBernstein Cap Fund, Inc., et al. | 812-14236 | 31332 (11/06/2014) | 31364 (12/03/2014) |
| Great-West Funds, Inc., et al. | 812-14252 | 31262 (09/24/2014) | 31295 (10/20/2014) |
| BNY Mellon Funds Trust, et al. | 812-14240 | 31245 (09/09/2014) | 31279 (10/07/2014) |
| FundVantage Trust, et al. | 812-14253 | 31161 (07/17/2014) | 31207 (08/12/2014) |
| Absolute Shares Trust, et al. | 812-14274 | 31079 (06/12/2014) | 31150 (07/08/2014) |
| BMO Funds, Inc., et al. | 812-14273 | 31064 (05/30/2014) | 31132 (06/25/2014) |
| Elkhorn Securities, LLC and Elkhorn Unit Trust | 812-14261 | 31022 (04/17/2014) | 31043 (05/13/2014) |
| FundVantage Trust, et al | 812-14197 | 31003 (04/03/2014) | 31033 (04/29/2014) |
| RiverNorth Funds, et al. | 812-14160 | 30919 (02/18/2014) | 30983 (03/18/2014) |
| The Ohio National Life Insurance Company, et al. | 812-14182 | 30895 (01/28/2014) | 30925 (02/24/2014) |
| American Pension Investors Trust, et al. | 812-14181 | 30885 (01/16/2014) | 30914 (02/11/2014) |
| ALPS Series Trust, Brinker Capital, Inc. and ALPS Distributors, Inc. | 812-14218 | 30858 (01/15/2014) | 30917 (02/11/2014) |
| IndexIQ ETF Trust, et al. | 812-14153 | 30844 (12/23/2013) | 30889 (01/22/2014) |
| Forethought Variable Insurance Trust, et al. | 812-14198 | 30840 (12/19/2013) | 30857 (01/14/2014) |
| Altegris Advisors, L.L.C., et al. | 812-14130 | 30779 (11/12/2013) | 30823 (12/09/2013) |
| KP Funds, et al. | 812-14142 | 30545 (06/03/2013) | 30586 (07/01/2013) |
| Financial Investors Trust and Hanson McClain Strategic Advisors, Inc. | 812-14098 | 30521 (05/15/2013) | 30554 (06/11/2013) |
| Global X Funds, et al. | 812-14079 | 30426 (03/14/2013) | 30454 (04/09/2013) |
| AIP Series Trust and Morgan Stanley AIP GP LP | 812-14092 | 30420 (03/11/2013) | 30450 (04/08/2013) |
| The Advisors’ Inner Circle Fund, et al. | 812-14065 | 30412 (03/04/2013) | 30443 (04/01/2013) |
| Forward Funds, et al. | 812-14043 | 30411 (02/28/2013) | 30437 (03/26/2013) |
| Symetra Life Insurance Company, et al. | 812-14082 | 30353 (01/22/2013) | 30386 (02/19/2013) |
| First Trust Exchange-Traded Fund, et al. (Notice) | 812-13895 | 30345 (01/08/2013) | 30377 (02/05/2013) |
| Credit Suisse Opportunity Funds, et al. | 812-14015 | 30342 (01/07/2013) | 30376 (02/04/2013) |
| PNC Capital Advisors, LLC, et al. | 812-14056 | 30239 (10/23/2012) | 30271 (11/20/2012) |
| Neuberger Berman Alternative Funds, et al. | 812-14050 | 30236 (10/22/2012) | 30267 (11/19/2012) |
| PowerShares Exchange-Traded Fund Trust, et al. | 812-13820 | 30222 (09/26/2012) | 30238 (10/23/2012) |
| Financial Investors Trust, et al. | 812-13985 | 30205 (09/18/2012) | 30233 (10/16/2012) |
| Wells Fargo Funds Trust, et al. | 812-13967 | 30201 (09/12/2012) | 30231 (10/10/2012) |
| Prudential Investment Portfolios 3, et al. | 812-13993 | 30200 (09/11/2012) | 30229 (10/09/2012) |
| Credit Suisse Asset Management, LLC, et al. | 812-13966 | 30144 (07/20/2012) | 30169 (08/15/2012) |
| The Dreyfus Corporation, et al. | 812-13906 | 30137 (07/12/2012) | 30163 (08/07/2012) |
| AQR Capital Management, LLC, et al. | 812-13833 | 30128 (07/03/2012) | 30153 (07/26/2012) |
| Federated Investment Management Company and Federated ETF Trust | 812-13946 | 30093 (06/01/2012) | 30123 (06/26/2012) |
| Hennion & Walsh, Inc. and Smart Trust | 812-14001 | 30092 (06/04/2012) | 30122 (06/26/2012) |
| Van Eck VIP Trust, et al. | 812-13846 | 30063 (05/10/2012) | 30096 (06/05/2012) |
| GPS Funds I, et al. | 812-13986 | 30044 (04/24/2012) | 30067 (05/22/2012) |
| Huntington Asset Advisors, Inc., et al. | 812-13785 | 30032 (04/10/2012) | 30061 (05/08/2012) |
| Pacific Life Insurance Company, et al. | 812-13962 | 29944 (02/13/2012) | 29979 (03/12/2012) |
| Henderson Global Funds, et al. | 812-13950 | 29942 (02/01/2012) | 29970 (02/28/2012) |
| Highland Capital Management, L.P., et al. | 812-13478 | 29890 (12/19/2011) | 29918 (01/17/2012) |
| RiverPark Advisors, LLC, et al. | 812-13755 | 29840 (10/19/2011) | 29863 (11/17/2011) |
| Global X Funds, et al. | 812-13830 | 29829 (09/30/2011) | 29852 (10/28/2011) |
| Incapital LLC, et al. | 812-13922 | 29828 (09/30/2011) | 29850 (10/26/2011) |
| Destracom Investments LLC | 812-13575 | 29825 (09/29/2011) | 29842 (10/25/2011) |
| Fifth Third Funds and Fifth | 812-13893 | 29819 (09/22/2011) | 29839 (10/18/2011) |
| NT ETF Trust | 812-13773 | 29752 (08/10/2011) | 29782 (09/06/2011) |
| FQF Trust | 812-13741 | 29720 (07/11/2011) | 29747 (08/05/2011) |
| Russell Exchange Traded Funds Trust, et al. | 812-13815 | 29706 (06/22/2011) | 29727 (07/19/2011) |
| Precidian ETFs Trust, et al. | 812-13818 | 29692 (06/09/2011) | 29712 (07/01/2011) |
| Russell Investment Management Company, et al. | 812-13669 | 29655 (04/20/2011) | 29671 (05/16/2011) |
| Eaton Vance Management, et al. | 812-13759 | 29591 (03/01/2011) | 29620 (03/30/2011) |
| ETSpreads, LLC, et al. | 812-13774 | 29501 (11/18/2010) | 29525 (12/14/2010) |
| SSgA Funds Management, Inc., et al. | 812-13487 | 29499 (11/17/2010) | 29524 (12/13/2010) |
| Van Eck Associates Corporation, et al. | 812-13605 | 29459 (10/07/2010) | 29496 (11/03/2010) |
| Claymore Exchange-Traded Fund Trust, et al. | 812-13657 | 29458 (10/07/2010) | 29494 (11/02/2010) |
| Jackson National Life Insurance Company, et al. | 812-13765 | 29442 (09/27/2010) | 29484 (10/25/2010) |
| Transamerica Asset Management, Inc., et al. | 812-13661 | 29410 (09/03/2010) | 29447 (09/28/2010) |
| Aston Funds, et al. | 812-13775 | 29400 (08/26/2010) | 29443 (09/27/2010) |
| Millington Securities, Inc., et al. | 812-13709 | 29375 (07/30/2010) | 29386 (08/25/2010) |
| Virtus Opportunities Trust | 812-13751 | 29370 (07/27/2010) | 29383 (08/23/2010) |
| DWS Advisor Funds, et al. | 812-13539 | 29295 (06/09/2010) | 29339 (07/07/2010) |
| EQ Advisors Trust, et al. | 812-13706 | 29294 (06/04/2010) | 29336 (06/20/2010) |
| AdvisorShares Investment | 812-13677 | 29264 (05/06/2010) | 29291 (05/28/2010) |
| Claymore Exchange-Traded Fund Trust 3 | 812-13534 | 29256 (04/23/2010) | 29271 (05/18/2010) |
| Legg Mason Partners | 812-13681 | 29192 (03/26/2010) | 29255 (04/21/2010) |
| Lincoln Variable Insurance | 812-13660 | 29168 (03/05/2010) | 29196 (03/31/2010) |
| iShares Trust, et al. | 812-13570 | 29129 (02/16/2010) | 29172 (03/10/2010) |
| ShariahShares Exchange-Traded Fund Trust, et al. | 812-13559 | 29127 (01/29/2010) | 29130 (02/22/2010) |
| Madison Asset Management, LLC | 812-13653 | 29068 (12/07/2009) | 29099 (12/29/2009) |
| FaithShares Trust, et al. | 812-13638 | 28991 (11/05/2009) | 29065 (12/01/2009) |
| Pacific Investment Management Company LLC and PIMCO ETF Trust | 812-13571 | 28949 (10/20/2009) | 28993 (11/10/2009) |
| Charles Schwab Investment Management, Inc., et al. | 812-13628 | 28933 (09/28/2009) | 28983 (10/23/2009) |
| Arrow Investment Advisers, LLC, and Arrow Funds Trust | 812-13405 | 28852 (08/25/2009) | 28910 (09/22/2009) |
| OOK, Inc., et al. | 812-13504 | 28851 (08/25/2009) | 28902 (09/17/2009) |
| Old Mutual Global Shares Trust, et al. | 812-13614 | 28847 (08/13/2009) | 28898 (09/09/2009) |
| Pax World Funds Trust II, et al. | 812-13503 | 28834 (07/22/2009) | 28846 (08/13/2009) |
| WisdomTree Investments, Inc., et al. | 812-13650 | 28755 (06/01/2009) | 28805 (06/29/2009) |
| Phoenix Life Insurance Company, et al. | 812-13564 | 28686 (04/03/2009) | 28714 (04/28/2009) |
| Massachusetts Financial Services Company, et al. | 812-13519 | 28649 (03/17/2009) | 28694 (04/14/2009) |
| INDEXIQ ETF Trust | 812-13441 | 28638 (02/27/2009) | 28653 (03/20/2009) |
| DFA Investment Dimensions Group Inc. | 812-13541 | 28637 (02/26/2009) | 28654 (03/24/2009) |
| Allstate Financial Investment Trust, et al. | 812-13523 | 28581 (01/12/2009) | 28614 (02/09/2009) |
| Aberdeen Asset Management, Inc. | 812-13530 | 28429 (09/30/2008) | 28475 (10/28/2008) |
| WisdomTree Investments, Inc. et al. | 812-13458 | 28419 (09/28/2008) | 28471 (10/27/2008) |
| Van Kampen Retirement Strategy Trust, et al. | 812-13506 | 28406 (09/25/2008) | 28440 (10/17/2008) |
| Javelin Exchange-Traded Trust | 812-13425 | 28350 (07/31/2008) | 28367 (08/26/2008) |
| Goldman Sachs Trust, et al. | 812-13456 | 28347 (07/31/2008) | 28366 (08/26/2008) |
| The RBB Fund, et al. | 812-13496 | 28260 (04/30/2008) | 28288 (05/28/2008) |
| Fidelity Rutland Square Trust, et al. | 812-13476 | 28259 (04/30/2008) | 28287 (05/28/2008) |
| MLIG Variable Insurance Trust and Rozel Advisors LLC | 812-13436 | 28139 (01/31/2008) | 28169 (02/26/2008) |
| Northern Institutional Funds, et al. | 812-13424 | 28119 (01/06/2008) | 28149 (02/12/2008) |
| The UBS Funds, et al. | 812-13453 | 28080 (12/19/2007) | 28122 (01/16/2008) |
| Rafferty Asset Management | 812-13416 | 28039 (10/30/2007) | 28067 (11/27/2007) |
| Fidelity Rutland Square | 812-13232 | 28008 (09/28/2007) | 28023 (10/24/2007) |
| Wisdom Tree Investments, Inc., et al. | 812-13417 | 27976 (09/21/2007) | 28015 (10/17/2007) |
| DWS Advisor Funds | 812-13364 | 27919 (07/31/2007) | 27954 (08/27/2007) |
| John Hancock Trust | 812-13341 | 27848 (05/30/2007) | 27873 (06/26/2007) |
| HealthShares, Inc. | 812-13288 | 27844 (05/29/2007) | 27871 (06/21/2007) |
| Van Eck Worldwide Insurance Trust | 812-13304 | 27820 (05/09/2007) | 27849 (06/01/2007) |
| First Trust Exchange-Traded Fund, et al. | 812-13340 | 27812 (04/30/2007) | 27845 (05/30/2007) |
| The RBB Fund, Inc. and Abundance Technologies, Inc. | 812-13295 | 27749 (03/08/2007) | 27775 (04/03/2007) |
| Van Eck Associates Corporation, et al. | 812-13339 | 27694 (01/31/2007) | 27742 (02/27/2007) |
| PowerShares Exchange-Traded Fund Trust, et al. | 812-13343 | 27693 (01/31/2007) | 27743 (02/27/2007) |
| ProFunds, et al. | 812-13029 | 27599 (12/14/2006) | 27658 (01/09/2007) |
| NexBank Securities, Inc. and NexBank Series | 812-13278 | 27602 (12/18/2006) | 27659 (01/16/2007) |
| Members Mutual Funds, et al. | 812-13133 | 27598 (12/13/2006) | 27657 (01/09/2007) |
Inadvertent Investment Companies - 3(b)(2) |
|||
| Investment Company | File No. | Notice | Order |
| Lyft, Inc. | 812-15009 | 33399 (03/14/2019) | 33442 (04/08/2019) |
| Exact Sciences Corporation | 812-14875 | 33228 (09/14/2018) | 33267 (10/11/2018) |
| National Securities Clearing Corporation | 812-14818 | 32839 (09/28/2017) | 32868 (10/24/2017) |
| ACS Wireless, Inc | 812-14066 | 30567 (06/25/2013) | 30602 (07/19/2013) |
| Rio Tinto plc and Rio Tinto Limited | 812-13777 | 29889 (12/19/2011) | 29921 (01/17/2012) |
| Dolby Laboratories, Inc. | 812-13582 | 29454 (10/01/2010) | 29492 (10/27/2010) |
| SeaCo. Ltd. | 812-13753 | 29176 (03/17/2010) | 29206 (04/09/2010) |
| RealNetworks, Inc. | 812-13399 | 27877 (06/28/2007) | 27888 (07/24/2007) |
| Hill Physicians Medical Group, Inc. | 812-13255 | 27804 (04/26/2007) | 27824 (05/02/2007) |
Inadvertent Investment Companies - 6(c) |
|||
| Investment Company | File No. | Notice | Order |
| General Electric Company and GE Capital International Holdings Limited | 812-14743 | 32477 (02/13/2017) | 32532 (03/13/2017) |
| Beverly Hills Bancorp Inc. | 812-14280 | 31054 (05/21/2014) | 31083 (06/16/2014) |
| Beverly Hills Bancorp Inc. | 812-14135 | 30497 (04/30/2013) | 30541 (05/24/2013) |
| Steel Partners Holdings L.P. | 812-13793 | 30056 (04/27/2012) | 30070 (05/23/2012) |
| Beverly Hills Bancorp Inc. | 812-13767 | 30036 (04/18/2012) | 30064 (05/15/2012) |
| Korea Finance Corp. | 812-13752 | 29332 (06/25/2010) | 29343 (07/20/2010) |
| Hill Physicians Medical Group, Inc. | 812-13255 | 27804 (04/26/2007) | 27824 (05/02/2007) |
Inadvertent Investment Companies - Foreign Banks/Insurance |
|||
| Investment Company | File No. | Notice | Order |
| Türkiye Sinai Kalkinma Bankasi A.S. | 812-14514 | 32066 (04/06/2016) | 32101 (05/03/2016) |
| Korea Finance Corp. | 812-13752 | 29332 (06/25/2010) | 29343 (07/20/2010) |
| Compagnie de Financement Foncier | 812-13573 | 28835 (07/22/2009) | 28848 (08/13/2009) |
Inadvertent Investment Companies - Other |
|||
| Investment Company | File No. | Notice | Order |
| Sunwest Rollover Member LLC | 812-13778 | 30014 (03/29/2012) | 30046 (04/24/2012) |
Ineligible - Disqualified Firm |
|||
| Investment Company | File No. | Notice | Order |
| Wells Fargo Securities, LLC, et al. | 812-15011 | 33404 (03/20/2019) | 33448 (04/16/2019) |
| Charles Schwab & Co. Inc. and Charles Schwab Investment Management, Inc. | 812-14926 | 33157 (07/10/2018) | 33195 (08/07/2018) |
| BNP Paribas USA, Inc., et al. | 812-14874 | 32995 (01/26/2018) | 33033 (02/23/2018) |
| Stifel, Nicolaus & Company, Inc., et al. | 812-14721 | 32379 (12/06/2016) | 32408 (01/04/2017) |
| Macquarie Capital (USA) Inc., et al. | 812-14460 | 31704 (07/06/2015) | 31734 (08/03/2015) See also: 31602 |
| The Royal Bank of Scotland plc, et al. | 812-14469 | 31642 (05/20/2015) | 31673 (06/16/2015) |
| Citicorp, et al. | 812-14468 | 31615 (05/20/2015) | 31675 (06/16/2015) |
| J.P. Morgan Chase & Co., et al. | 812-14466 | 31613 (05/20/2015) | 31674 (06/16/2015) |
| UBS AG, et al. | 812-14465 | 31612 (05/20/2015) | 31672 (06/16/2015) |
| Macquarie Capital (USA) Inc., et al. | 812-14460 | 31602 (05/15/2015) | |
| Deutsche Bank AG, et al. | 812-14448 | 31577 (04/23/2015) | 31606 (05/19/2015) |
| Royal Bank of Canada, et al. | 812-14403 | 31388 (12/19/2014) | 31411 (01/13/2015) |
| Banc of America Mortgage Securities, Inc, et al. | 812-14390 | 31359 (11/25/2014) | 31397 (12/23/2014) |
| Citigroup Global Markets Inc., et al. | 812-13970 | 31199 (08/06/2014) | 31238 (09/03/2014) |
| BNP Paribas S.A., et al. | 812-14327 | 31140 (06/30/2014) | 31188 (07/28/2014) |
| Credit Suisse Asset Management, LLC, et al. | 812-14313 | 31051 (05/19/2014) | 31082 (06/16/2014) |
| RBS Securities Inc. and Citizens Investment Advisors | 812-14232 | 30808 (11/25/2013) | 30842 (12/23/2013) |
| Wells Fargo Bank, N.A., et al. | 812-14176 | 30644 (08/06/2013) | 30685 (09/04/2013) |
| The Royal Bank of Scotland plc, et al. | 812-14148 | 30462 (04/12/2013) | 30509 (05/08/2013) |
| UBS AG, et al. | 812-14105 | 30383 (02/15/2013) | 30424 (03/13/2013) See also: 30311 |
| J.P. Morgan Securities LLC, et al. | 812-14094 | 30347 (01/09/2013) | 30380 (02/06/2013) |
| UBS AG, et al. | 812-14105 | 30311 (12/19/2012) | |
| Wells Fargo Bank, N.A., et al. | 812-14074 | 30266 (11/16/2012) | 30303 (12/12/2012) See also: 30210 |
| ReconTrust Company, N.A., et al. | 812-14068 | 30174 (08/20/2012) | 30203 (09/17/2012) |
| GE Asset Management Incorporated, et al. | 812-13994 | 29926 (01/24/2012) | 29952 (02/22/2012) |
| Wells Fargo Bank, N.A., et al. | 812-13987 | 29881 (12/09/2011) | 29914 (01/04/2012) |
| BAC Home Loan Servicing, LP | 812-13910 | 29726 (07/18/2011) | 29753 (08/15/2011) |
| J.P. Morgan Securities LLC, et al. | 812-13919 | 29719 (07/11/2011) | 29749 (08/05/2011) |
| J.P. Morgan Securities LLC, et al. | 812-13914 | 29711 (06/29/2011) | 29737 (07/26/2011) |
| UBS AG, et al. | 812-13902 | 29666 (05/09/2011) | 29690 (06/06/2011) |
| Citigroup Global Markets Inc., et al. | 812-13808 | 29464 (10/19/2010) | 29498 (11/15/2010) |
| GE Asset Management Incorporated, et al. | 812-13807 | 29374 (07/30/2010) | 29385 (08/25/2010) |
| Goldman Sachs & Co., et al. | 812-13796 | 29366 (07/21/2010) | 29382 (08/18/2010) |
| Assurant, Inc. | 812-13746 | 29125 (01/26/2010) | 29133 (02/23/2010) |
| Investools | 812-13728 | 29093 (12/16/2009) | 29110 (01/12/2010) |
| GE Asset Management Incorporated and GE Investment Distributors, Inc. | 812-13680 | 28845 (08/11/2009) | 28899 (09/09/2009) |
| Banc of America Securities LLC, et al. | 812-13662 | 28764 (06/09/2009) | 28810 (07/07/2009) |
| Deutsche Bank Securities Inc., et al. | 812-13664 | 28763 (06/09/2009) | 28811 (07/07/2009) |
| RBC Capital Markets Corporation, et al. | 812-13663 | 28762 (06/09/2009) | 28812 (07/07/2009) |
| UBS AG | 812-13645 | 28652 (03/19/2009) | 28695 (04/14/2009) |
| Citigroup, Inc. | 812-13641 | 28647 (03/12/2009) | 28688 (04/07/2009) |
| E*Trade Financial Corporation | 812-13639 | 28645 (03/12/2009) | 28689 (04/07/2009) |
| Wachovia Securities, LLC, et al. | 812-13632 | 28618 (02/18/2009) | 28648 (03/17/2009) |
| Citigroup Global | 812-13615 | 28572 (12/23/2008) | 28605 (01/16/2009) |
| UBS Securities LLC | 812-13609 | 28569 (12/23/2008) | 28606 (01/16/2009) |
| Prudential Financial, Inc., et al. | 812-13572 | 28377 (09/05/2008) | 28430 (10/01/2008) |
| The BISYS Group, Inc. | 812-13394 | 27978 (09/24/2007) | 28017 (10/22/2007) |
| American International Group, Inc. | 812-13259 | 27931 (08/20/2007) | 27970 (09/17/2007) |
| Barclays Global Fund Advisors | 812-13391 | 27851 (06/06/2007) | 27882 (07/05/2007) |
Insurance Products - Bonus Recapture |
|||
| Investment Company | File No. | Notice | Order |
| Minnesota Life Insurance Company, et al. | 812-14158 | 30821 (12/06/2013) | 30850 (12/30/2013) |
| Transamerica Life Insurance Company, et al. | 812-14133 | 30776 (11/06/2013) | 30816 (12/03/2013) |
| American General Life Insurance Company, et al. | 812-13973 | 30681 (08/29/2013) | 30699 (09/24/2013) |
| Jackson National Life Insurance Company, et al. | 812-13841 | 29621 (03/31/2011) | 29658 (04/25/2011) |
| Nationwide Life Insurance Company, et al. | 812-13756 | 29337 (07/02/2010) | 29369 (07/27/2010) |
| Pruco Life Insurance Company, et al. | 812-13713 | 29302 (06/18/2010) | 29342 (07/15/2010) |
| Jackson National Life Insurance Company of New York, et al. | 812-13710 | 29265 (05/10/2010) | 29293 (06/03/2010) |
| Jackson National Life Insurance Company, et al. | 812-13703 | 29205 (04/07/2010) | 29262 (04/30/2010) |
| Annuity Investors Life, et al. | 812-13612 | 28909 (09/22/2009) | 28948 (10/20/2009) |
| Jackson Nat’l Life Ins. Company, et al. | 812-13584 | 28890 (08/27/2009) | 28907 (09/22/2009) |
| ING USA Annuity & Life Ins. Co., et al. | 812-13600 | 28646 (03/13/2009) | 28687 (04/03/2009) |
| Prudential Annuities Life Assurance Co., et al. | 812-13532 | 28354 (08/08/2008) | 28373 (09/03/2008) |
| Minnesota Life Insurance Co., et al. | 812-13457 | 28321 (06/26/2008) | 28334 (07/22/2008) |
| CUNA Mutual Insurance Society, et al. | 812-13423 | 28181 (03/04/2008) | 28232 (04/01/2008) |
| Pruco Life Insurance Company, et al. | 812-13437 | 28180 (03/04/2008) | 28231 (04/01/2008) |
| Prudential Annuities Life Assurance Corp., et al. | 812-13446 | 28179 (03/04/2008) | 28233 (04/01/2008) |
| Minnesota Life Insurance Company, et al. | 812-13365 | 27960 (08/30/2007) | 27979 (09/25/2007) |
| Jackson National Life Insurance Co., et al. | 812-13320 | 27603 (12/19/2006) | 27660 (01/16/2007) |
Insurance Products - Exchange Offer |
|||
| Investment Company | File No. | Notice | Order |
| AXA Equitable Life Insurance Company, et al. | 812-14734 | 33126 (06/19/2018) | 33161 (07/17/2018) |
| Minnesota Life Insurance Company, et al. | 812-14606 | 32393 (12/14/2016) | 32419 (01/09/2017) |
| Prudential Retirement Insurance and Annuity Co., et al. | 812-13455 | 28263 (05/07/2008) | 28297 (06/06/2008) |
| Hartford Life Insurance Co., et al. | 812-13267 | 27933 (08/22/2007) | 27972 (09/18/2007) |
Insurance Products - Fund Substitution |
|||
| Investment Company | File No. | Notice | Order |
| Allianz Life Insurance Company of North America, et al See also: requests and additional information |
812-14722 | 33721 (12/20/2019) | |
| Mutual of America Life Insurance Company, et al. | 812-15033 | 33654 (10/02/2019) | 33679 (10/29/2019) |
| The Guardian Insurance & Annuity Company, Inc., et al. | 812-14911 | 33566 (07/23/2019) | 33594 (08/20/2019) |
| Voya Retirement Insurance and Annuity Company et al. | 812-14856 | 33554 (07/15/2019) | 33586 (08/09/2019) |
| American Fidelity Assurance Company, et al. | 812-14822 | 33309 (11/29/2018) | 33345 (01/28/2019) |
| AXA Equitable Life Insurance Company, et al. | 812-14831 | 33201 (08/15/2018) | 33224 (09/11/2018) |
| The Guardian Insurance & Annuity Company, Inc., et al. | 812-14714 | 32967 (01/10/2018) | 33003 (02/07/2018) |
| Commonwealth Annuity and Life Insurance Company, et al. | 812-14646 | 32615 (04/27/2017) | 32644 (05/23/2017) |
| Transamerica Life Insurance Company, et al. | 812-14490 | 32574 (03/24/2017) | 32603 (04/19/2017) |
| Transamerica Advisors Life Insurance Company, et al. | 812-14489 | 32573 (03/24/2017) | 32604 (04/19/2017) |
| Transamerica Life Insurance Company, et al. | 812-14488 | 32572 (03/24/2017) | 32605 (04/19/2017) |
| Transamerica Financial Life Insurance Company, et al. | 812-14487 | 32571 (03/24/2017) | 32606 (04/19/2017) |
| Hartford Life Insurance Company, et al See also: requests and additional information |
812-14447 | 32386 (12/08/2016) | 32570 (03/23/2017) |
| Hartford Life Insurance Company, et al See also: requests and additional information |
812-14446 | 32385 (12/08/2016) | 32569 (03/23/2017) |
| Allianz Life Insurance Company of North America, et al | 812-14580 | 32207 (08/03/2016) | 32242 (08/29/2016) |
| New York Life Insurance and Annuity Corporation, et al. | 812-14589 | 32193 (07/26/2016) | 32227 (08/23/2016) |
| Principal Life Insurance Company, et al. | 812-14586 | 32030 (03/17/2016) | 32067 (04/08/2016) |
| Principal Life Insurance Company, et al. | 812-14600 | 32029 (03/17/2016) | 32068 (04/08/2016) |
| The Guardian Insurance & Annuity Company, Inc., et al | 812-14449 | 31958 (01/15/2016) | 31993 (02/10/2016) |
| Horace Mann Life Insurance Company, et al | 812-14336 | 31714 (07/13/2015) | 31744 (08/07/2015) |
| Voya Retirement Insurance and Annuity Company, et al. | 812-14302 | 31552 (04/15/2015) | 31599 (05/12/2015) |
| Pacific Life Insurance Company, Et Al | 812-14359 | 31451 (02/09/2015) | 31499 (03/06/2015) |
| American Fidelity Assurance Company, et al. | 812-14288 | 31217 (08/19/2014) | 31251 (09/16/2014) |
| MetLife Insurance Company of Connecticut, et al. | 812-14221 | 31000 (03/31/2014) | 31023 (04/22/2014) |
| Minnesota Life Insurance Company, et al. | 812-14203 | 30999 (03/28/2014) | 31028 (04/24/2014) |
| Ameritas Life Insurance Corp., et al. | 812-14189 | 30764 (10/25/2013) | 30787 (11/15/2013) |
| Pacific Life Insurance Company, et al | 812-14141 | 30744 (10/17/2013) | 30777 (11/08/2013) |
| The Northwestern Mutual Life Insurance Company, et al. | 812-14128 | 30671 (08/22/2013) | 30690 (09/18/2013) |
| American Family Life Insurance Company, et al. | 812-14109 | 30564 (06/20/2013) | 30601 (07/16/2013) |
| Lincoln National Life Insurance Company, et al | 812-14063 | 30468 (04/18/2013) | 30517 (05/14/2013) |
| ING Life Insurance and Annuity Company, et al. | 812-14033 | 30431 (03/21/2013) | 30461 (04/12/2013) |
| AXA Equitable Life Insurance Company, et al. | 812-14036 | 30373 (01/31/2013) | 30405 (02/26/2013) |
| Mutual of America Life Insurance Company, et al. | 812-14059 | 30292 (12/05/2012) | 30335 (12/31/2012) |
| Pruco Life Insurance Company, et al. | 812-13990 | 30186 (08/29/2012) | 30209 (09/20/2012) |
| New York Life Insurance & Annuity Company, et al. | 812-13903 | 29923 (01/19/2012) | 29947 (02/14/2012) |
| TIAA-CREF Life Insurance Company, et al. | 812-13791 | 29709 (06/28/2011) | 29687 (06/01/2011) |
| Allianz Life Insurance Company of North America, et al. | 812-13821 | 29693 (06/10/2011) | 29716 (07/06/2011) |
| Country Investors Life Assurance Co., et al. | 812-13865 | 29691 (06/09/2011) | 29717 (07/07/2011) |
| National Life Insurance Company, et al. | 812-13806 | 29662 (04/29/2011) | 29627 (04/07/2011) |
| American Family Life Insurance Company, et al. | 812-13842 | 29617 (03/24/2011) | 29656 (04/21/2011) |
| Met Life Insurance Company of CT, et al. | 812-13816 | 29544 (12/28/2010) | 29570 (01/24/2011) |
| American Life Insurance Company, et al. | 812-13780 | 29521 (11/30/2010) | 29545 (12/29/2010) |
| Nationwide Life Insurance Company, et al. | 812-13648 | 29486 (10/25/2010) | 29505 (11/22/2010) |
| AXA Equitable Life Insurance Company, et al. | 812-13686 | 29338 (07/07/2010) | 29372 (07/29/2010) |
| MetLife Insurance Company of Connecticut, et al. | 812-13700 | 29190 (03/25/2010) | 29211 (04/20/2010) |
| Integrity Life Insurance Company, et al. | 812-13690 | 29171 (03/10/2010) | 29204 (04/07/2010) |
| Nationwide Life Ins. Co., et al. | 812-13495 | 28767 (06/12/2009) | 28815 (07/08/2009) |
| MetLife Ins. Co. of Connecticut, et al. | 812-13588 | 28678 (03/25/2009) | 28699 (04/20/2009) |
| Sun Life Assurance Company of Canada (U.S.), et al. | 812-13402 | 28570 (12/23/2008) | 28607 (01/22/2009) |
| Riversource Life Insurance Co., et al. | 812-13492 | 28527 (12/04/2008) | 28575 (12/30/2008) |
| Allianz Life Insurance Co. of North America, et al. | 812-13474 | 28480 (10/30/2008) | 28521 (11/25/2008) |
| Allianz Life Insurance Co. of North America, et al. | 812-13451 | 28369 (08/28/2008) | 28384 (09/19/2008) |
| The Penn Mutual Life Insurance Company, et al. | 812-13401 | 28328 (07/02/2008) | 28342 (07/25/2008) |
| ING USA Annuity & Life Insurance Co., et al. | 812-13466 | 28256 (04/28/2008) | 28285 (05/23/2008) |
| American Family Life Insurance Co., et al. | 812-13445 | 28197 (03/19/2008) | 28237 (04/16/2008) |
| Jefferson National Life Insurance Co., et al. | 812-13452 | 28191 (03/10/2008) | 28234 (04/03/2008) |
| MetLife Insurance Co. of Connecticut, et al. | 812-13439 | 28190 (03/10/2008) | 28236 (04/16/2008) |
| MetLife Insurance Company of Connecticut, et al. | 812-13380 | 28013 (10/12/2007) | 28044 (11/07/2007) |
| MONY Life Insurance Co. of America, et al. | 812-13346 | 27909 (07/24/2007) | 27929 (08/17/2007) |
| ING Life Insurance and Annuity Company, et al. | 812-13361 | 27869 (06/20/2007) | 27885 (07/16/2007) |
| Lincoln Variable Insurance Products Trust, et al. | 812-13287 | 27821 (05/11/2007) | 27850 (06/04/2007) |
| Jefferson National Life Insurance Co., et al. | 812-13342 | 27779 (04/06/2007) | 27813 (04/30/2007) |
| MetLife Insurance Co. of Connecticut, et al. | 812-13347 | 27778 (04/06/2007) | 27810 (04/30/2007) |
| John Hancock Life Insurance Co., et al. | 812-13318 | 27752 (03/19/2007) | 27781 (04/16/2007) |
| Country Investors Life Assurance Co., et al. | 812-13325 | 27695 (02/02/2007) | 27744 (02/28/2007) |
| Integrity Life Insurance Co., et al. | 812-13321 | 27677 (01/24/2007) | 27738 (02/23/2007) |
| Sun Life Assurance Co. of Canada (U.S.), et al. | 812-13282 | 27651 (12/29/2006) | 27688 (01/25/2007) |
Insurance Products - Substitution Related Affiliated Securities Transactions |
|||
| Investment Company | File No. | Notice | Order |
| Minnesota Life Insurance Company, et al. | 812-14203 | 30999 (03/28/2014) | 31028 (04/24/2014) |
| Lincoln National Life Insurance Company, et al | 812-14063 | 30468 (04/18/2013) | 30517 (05/14/2013) |
| New York Life Insurance & Annuity Company, et al. | 812-13903 | 29923 (01/19/2012) | 29947 (02/14/2012) |
| Allianz Life Insurance Company of North America, et al. | 812-13821 | 29693 (06/10/2011) | 29716 (07/06/2011) |
| Met Life Insurance Company of CT, et al. | 812-13816 | 29544 (12/28/2010) | 29570 (01/24/2011) |
| Nationwide Life Insurance Company, et al. | 812-13648 | 29486 (10/25/2010) | 29505 (11/22/2010) |
| AXA Equitable Life Insurance Company, et al. | 812-13686 | 29338 (07/07/2010) | 29372 (07/29/2010) |
| MetLife Insurance Company of Connecticut, et al. | 812-13700 | 29190 (03/25/2010) | 29211 (04/20/2010) |
| Nationwide Life Ins. Co., et al. | 812-13495 | 28767 (06/12/2009) | 28815 (07/08/2009) |
| MetLife Ins. Co. of Connecticut, et al. | 812-13588 | 28678 (03/25/2009) | 28699 (04/20/2009) |
| Sun Life Assurance Company of Canada (U.S.), et al. | 812-13402 | 28570 (12/23/2008) | 28607 (01/22/2009) |
| Riversource Life Insurance Co., et al. | 812-13492 | 28527 (12/04/2008) | 28575 (12/30/2008) |
| Allianz Life Insurance Co. of North America, et al. | 812-13474 | 28480 (10/30/2008) | 28521 (11/25/2008) |
| Allianz Life Insurance Co. of North America, et al. | 812-13451 | 28369 (08/28/2008) | 28384 (09/19/2008) |
| The Penn Mutual Life Insurance Company, et al. | 812-13401 | 28328 (07/02/2008) | 28342 (07/25/2008) |
| Jefferson National Life Insurance Co., et al. | 812-13452 | 28191 (03/10/2008) | 28234 (04/03/2008) |
| MetLife Insurance Co. of Connecticut, et al. | 812-13439 | 28190 (03/10/2008) | 28236 (04/16/2008) |
| John Hancock Life Insurance Company, et al. | 812-13414 | 28065 (11/26/2007) | 28081 (12/21/2007) |
| MetLife Insurance Company of Connecticut, et al. | 812-13380 | 28013 (10/12/2007) | 28044 (11/07/2007) |
| MONY Life Insurance Co. of America, et al. | 812-13346 | 27909 (07/24/2007) | 27929 (08/17/2007) |
| ING Life Insurance and Annuity Company, et al. | 812-13361 | 27869 (06/20/2007) | 27885 (07/16/2007) |
| Lincoln Variable Insurance Products Trust, et al. | 812-13287 | 27821 (05/11/2007) | 27850 (06/04/2007) |
| Jefferson National Life Insurance Co., et al. | 812-13342 | 27779 (04/06/2007) | 27813 (04/30/2007) |
| MetLife Insurance Co. of Connecticut, et al. | 812-13347 | 27778 (04/06/2007) | 27810 (04/30/2007) |
| Sun Life Assurance Co. of Canada (U.S.), et al. | 812-13282 | 27651 (12/29/2006) | 27688 (01/25/2007) |
Insurance Products - Mixed and Shared Funding |
|||
| Investment Company | File No. | Notice | Order |
| BlackRock Variable Series Funds, Inc., et al. | 812-14901 | 33119 (06/06/2018) | 33145 (07/03/2018) |
| The RBB Fund, Inc., et al. | 812-14206 | 31648 (05/27/2015) | 31687 (06/23/2015) |
| SunAmerica Series Trust, et al. | 812-14226 | 31281 (10/10/2014) | 31331 (11/05/2014) |
| Managed Portfolio Series, et al. | 812-14250 | 31268A (10/15/2014) | 31323 (10/31/2014) |
| Managed Portfolio Series, et al. | 812-14250 | 31268 (09/29/2014) | 31323 (10/31/2014) |
| Arden Investment Series Trust, et al. | 812-14152 | 30745 (10/17/2013) | 30781 (11/12/2013) |
| Variable Insurance Trust, et al. | 812-14108 | 30700 (09/24/2013) | 30749 (10/22/2013) |
| Hatteras Variable Trust, et al. | 812-14040 | 30296 (12/06/2012) | 30338 (01/02/2013) |
| Northern Lights Var. Trust, et al. | 812-13863 | 29729 (07/19/2011) | 29757 (08/16/2011) |
| Fairholme VP Series Fund, Inc., et al. | 812-13854 | 29619 (03/28/2011) | 29661 (04/26/2011) |
| MML Series Investment Fund, et al. | 812-13611 | 28849 (08/20/2009) | 28901 (09/15/2009) |
| Mainstay VP Series Fund, Inc., et al. | 812-13515 | 28619 (02/20/2009) | 28651 (03/18/2009) |
| TIAA-CREF Life Funds, et al. | 812-13563 | 28530 (12/10/2008) | 28577 (01/06/2009) |
| Financial Investors Variable Insurance Trust, et al. | 812-13359 | 27965 (09/04/2007) | 27999 (09/27/2007) |
| Sentinel Variable Products Trust, et al. | 812-13353 | 27921 (08/03/2007) | 27959 (08/29/2007) |
| Delaware VI P Trust, et al. | 812-13333 | 27886 (07/16/2007) | 27926 (08/09/2007) |
| Principal Variable Contracts Fund, Inc., et al. | 812-13338 | 27852 (06/18/2007) | 27887 (07/17/2007) |
| XTF Advisors Trust, et al. | 812-13334 | 27783 (04/25/2007) | 27825 (05/22/2007) |
| Wilshire Variable Insurance Trust, et al. | 812-13272 | 27701 (02/16/2007) | 27751 (03/15/2007) |
Interfund Lending |
|||
| Investment Company | File No. | Notice | Order |
| Blackstone Alternative Alpha Fund, et al. | 812-15021 | 33703 (11/22/2019) | 33720 (12/18/2019) |
| Diamond Hill Funds and Diamond Hill Capital Management, Inc. | 812-14988 | 33616 (09/04/2019) | 33652 (10/02/2019) |
| Eaton Vance Growth Trust, et al. | 812-14868 | 33447 (04/15/2019) | 33473 (05/13/2019) |
| Franklin Alternative Strategies Funds, et al. | 812-14819 | 33095 (05/10/2018) | 33117 (06/05/2018) |
| Aquila Funds Trust, et al. | 812-14321 | 33061 (03/28/2018) | 33078 (04/24/2018) |
| Columbia Funds Series Trust, et al. | 812-14842 | 32998 (01/30/2018) | 33036 (02/27/2018) |
| Harbor Funds and Harbor Capital Advisors, Inc. | 812-14784 | 32965 (01/09/2018) | 33000 (02/05/2018) |
| PIMCO Funds, et al. | 812-14756 | 32867 (10/23/2017) | 32903 (11/20/2017) |
| AQR Funds, et al. | 812-14741 | 32821 (09/18/2017) | 32863 (10/19/2017) |
| TIAA-CREF Funds, et al. | 812-14723 | 32779 (08/15/2017) | 32814 (09/12/2017) |
| Allianz Funds, et al. | 812-14455 | 32631 (05/10/2017) | 32671 (06/06/2017) |
| Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC | 812-14636 | 32584 (03/30/2017) | 32611 (04/25/2017) |
| AB Bond Fund Inc., et al. | 812-14677 | 32540 (03/22/2017) | 32600 (04/18/2017) |
| Advanced Series Trust, et al. | 812-14608 | 32523 (03/07/2017) | 32593 (04/05/2017) |
| Victory Portfolios, et al. | 812-14719 | 32519 (03/02/2017) | 32577 (03/28/2017) |
| Touchstone Investment Trust, et al. | 812-14612 | 32515 (02/28/2017) | 32580 (03/28/2017) |
| Neuberger Berman Investment Advisers LLC, et al. | 812-14563-11 | 32513 (02/27/2017) | 32578 (03/28/2017) |
| Transamerica Funds, et al. | 812-14676 | 32400 (12/21/2016) | 32424 (01/18/2017) |
| Virtus Alternative Solutions Trust, et al. | 812-14603 | 32398 (12/21/2016) | 32425 (01/18/2017) |
| The Boston Trust & Walden Funds, et al. | 812-14654 | 32353 (11/07/2016) | 32377 (12/02/2016) |
| Hartford Mutual Funds Inc., et al. | 812-14652 | 32338 (10/26/2016) | 32364 (11/22/2016) |
| Nuveen Fund Advisors, LLC, et al. | 812-14619 | 32322 (10/21/2016) | 32359 (11/16/2016) |
| First Investors Equity Funds, et al. | 812-14594 | 32318 (10/14/2016) | 32355 (11/09/2016) |
| Harris Associates Investment Trust, et al. | 812-14609 | 32306 (10/05/2016) | 32347 (11/01/2016) |
| Legg Mason Global Asset Management Trust, et al. | 812-14583 | 32300 (10/03/2016) | 32354A (11/07/2016) |
| Calvert Social Investment Fund, et al. | 812-14529 | 32234 (08/24/2016) | 32270 (09/20/2016) |
| Blackrock Funds, et al. | 812-14497 | 32209 (08/08/2016) | 32252 (09/06/2016) |
| Lord Abbett Family of Funds and Lord, Abbett & Co. LLC | 812-14502 | 32167 (06/29/2016) | 32192 (07/26/2016) |
| MainStay Funds Trust, et al. | 812-14523 | 32163 (06/27/2016) | 32190 (07/25/2016) |
| Nationwide Mutual Funds, et al. | 812-14573 | 32115 (05/16/2016) | 32148 (06/13/2016) |
| TCW Alternative Funds, et al. | 812-14561 | 32113 (05/11/2016) | 32141 (06/07/2016) |
| Bridge Builder Trust, et al. | 812-14492 | 32103 (05/04/2016) | 32135 (06/01/2016) |
| AMCAP Fund, et al. | 812-14384 | 32049 (03/24/2016) | 32077 (04/19/2016) |
| PNC Funds, et al. | 812-14530 | 31976 (02/01/2016) | 32010 (02/29/2016) |
| JNL Series Trust, et al. | 812-14270 | 31261 (09/24/2014) | 31297 (10/20/2014) |
| BMO Funds, Inc., et al. | 812-14217 | 31146 (07/02/2014) | 31193 (07/30/2014) |
| Ivy Funds, et al. | 812-14216 | 31068 (06/02/2014) | 31138 (06/30/2014) |
| Vanguard Admiral Funds, et al. | 812-13597 | 31021 (04/17/2014) | 31044 (05/13/2014) |
| DFA Investment Dimensions Group Inc., et al. | 812-14208 | 30976 (03/07/2014) | 31001 (04/02/2014) |
| Fidelity Aberdeen Street Trust, et al. | 812-13731 | 30258 (11/06/2012) | 30288 (12/03/2012) |
| John Hancock Variable Insurance Trust, et al. | 812-13621 | 29865 (11/18/2011) | 29885 (12/14/2011) |
| MFS Series Trust I, et al. | 812-13606 | 29827 (09/30/2011) | 29849 (10/26/2011) |
| Principal Funds Inc. | 812-13869 | 29824 (09/29/2011) | 29843 (10/25/2011) |
| Northern Funds | 812-13707 | 29368 (07/23/2010) | 29381 (08/18/2010) |
| The Alger Funds, et al. | 812-13578 | 28819 (07/16/2009) | 28844 (08/11/2009) |
| The Managers Funds, et al. | 812-13551 | 28748 (05/28/2009) | 28770 (06/23/2009) |
| Dodge & Cox Funds | 812-13480 | 28409 (09/29/2008) | 28470 (10/27/2008) |
| Pioneer Bond Fund, et al. | 812-13427 | 28144 (02/05/2008) | 28182 (03/04/2008) |
Interval Funds |
|||
| Investment Company | File No. | Notice | Order |
| Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC | 812-14832 | 33101 (05/21/2018) | 33124 (06/18/2018) |
| Blackstone / GSO Floating Rate Enhanced Income Fund, et al. | 812-14796 | 32866 (10/23/2017) | 32902 (11/20/2017) |
| BTOP50 CTA Index Fund | 812-12984 | 28045 (11/08/2007) | 28074 (12/04/2007) |
Joint Transaction |
|||
| Investment Company | File No. | Notice | Order |
| Terra Capital Partners, LLC, et al. | 812-14645 | 32097 (04/26/2016) | 32117 (05/18/2016) |
| ING Investments, LLC, et al. | 812-14013 | 30295 (12/06/2012) | 30337 (01/02/2013) |
| Main Street Capital Corporation, et al. | 812-13804 | 29922 (01/17/2012) | 29946 (02/14/2012) |
| TIAA-CREF Funds, et al. | 812-13831 | 29707 (06/24/2011) | 29728 (07/19/2011) |
| Forward Funds, et al. | 812-13543 | 28640 (03/03/2009) | 28682 (03/30/2009) |
| The Franklin, Templeton and Mutual Series Funds, et al. | 812-13499 | 28574 (12/29/2008) | 28608 (01/26/2009) |
| MFS Series Trust X, et al. | 812-13234 | 27662 (01/13/2007) | 27698 (02/13/2007) |
Multi-Class |
|||
| Investment Company | File No. | Notice | Order |
| Goldman Sachs Real Estate Diversified Income Fund, et al. | 812-15081 | 33743 (01/09/2020) | |
| CIM Real Assets & Credit Fund, et al. | 812-15001 | 33630 (09/23/2019) | 33659 (10/22/2019) |
| Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC | 812-15004 | 33610 (08/27/2019) | 33632 (09/24/2019) |
| 1WS Credit Income Fund and 1WS Capital Advisers, LLC | 812-14964 | 33556 (07/16/2019) | 33589 (08/14/2019) |
| Lord Abbett Credit Opportunities Fund, et al. | 812-14962 | 33513 (06/19/2019) | 33558 (07/16/2019) |
| Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC | 812-14854 | 33509 (06/13/2019) | 33547 (07/09/2019) |
| Axonic Alternative Income Fund and Axonic Capital LLC | 812-14968 | 33508 (06/13/2019) | 33553 (07/15/2019) |
| Cresset Private Markets Opportunity Fund and Cresset SPG, LLC | 812-14915 | 33497 (05/31/2019) | 33536 (06/27/2019) |
| Ellington Income Opportunities Fund, et al. | 812-14975 | 33470 (05/08/2019) | 33501 (06/04/2019) |
| Principal Diversified Select Income Fund, et al. | 812-14932 | 33441 (04/08/2019) | 33466 (05/06/2019) |
| American Beacon Sound Point Enhanced Income Fund, et al. | 812-14959 | 33393 (03/08/2019) | 33439 (04/03/2019) |
| BlackRock Credit Strategies Fund, et al. | 812-14956 | 33388 (03/05/2019) | 33437 (04/02/2019) |
| Cliffwater Corporate Lending Fund and Cliffwater LLC | 812-14902 | 33318 (12/06/2018) | 33365 (02/01/2019) |
| Stone Ridge Trust II, et al. | 812-14900 | 33315 (12/04/2018) | 33363 (02/01/2019) |
| Destra International & Event-Driven Credit Fund and Destra Capital Advisors LLC | 812-14903 | 33268 (10/11/2018) | 33293 (11/09/2018) |
| Hedge Fund Guided Portfolio Solution, et al. | 812-14899 | 33255 (09/26/2018) | 33278 (10/23/2018) |
| Variant Alternative Income Fund and Variant Investments, LLC | 812-14895 | 33242 (09/20/2018) | 33269 (10/12/2018) |
| Broadstone Real Estate Access Fund, et al. | 812-14928 | 33220 (09/07/2018) | 33258 (09/28/2018) |
| PIMCO Flexible Credit Income Fund, et al. | 812-14767 | 33219 (09/06/2018) | 33262 (10/02/2018) |
| OFI Carlyle Private Credit Fund and OC Private Capital, LLC | 812-14853 | 33168 (07/24/2018) | 33204 (08/20/2018) |
| Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc. | 812-14662 | 33108 (05/24/2018) | 33127 (06/19/2018) |
| Angel Oak Strategic Credit Fund and Angel Oak Capital Advisors, LLC | 812-14851 | 33066 (04/05/2018) | 33089 (05/01/2018) |
| The Relative Value Fund et al. | 812-14683 | 32884 (10/26/2017) | 32904 (11/21/2017) |
| Blackstone / GSO Floating Rate Enhanced Income Fund, et al. | 812-14795 | 32865 (10/23/2017) | 32901 (11/20/2017) |
| Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC | 812-14725 | 32860 (10/12/2017) | 32897 (11/07/2017) |
| PREDEX and PREDEX Capital Management, LLC | 812-14770 | 32837 (09/27/2017) | 32870 (10/24/2017) |
| Sharespost 100 Fund and SP Investments Management, LLC | 812-14759 | 32768 (07/31/2017) | 32799 (08/28/2017) |
| USQ Core Real Estate Fund and Union Square Capital Partners, LLC | 812-14733 | 32767 (07/31/2017) | 32798 (08/28/2017) |
| Vertical Capital Income Fund and Oakline Advisors, LLC | 812-14716 | 32723 (07/03/2017) | 32766 (07/31/2017) |
| Triloma EIG Energy Income Fund, et al. | 812-14435 | 32679 (06/13/2017) | 32730 (07/11/2017) |
| CION Ares Diversified Credit Fund, et al. | 812-14711 | 32678 (06/13/2017) | 32731 (07/11/2017) |
| Sierra Total Return Fund, et al. | 812-14713 | 32632 (05/10/2017) | 32670 (06/06/2017) |
| Winton Diversified Opportunities Fund and Winton Capital US LLC | 812-14694 | 32585 (03/30/2017) | 32614 (04/26/2017) |
| NorthStar/Townsend Institutional Real Estate Fund Inc., et al. | 812-14708 | 32472 (02/07/2017) | 32524 (03/07/2017) |
| FS Global Credit Opportunities Fund, et al. | 812-14567 | 32221 (08/17/2016) | 32257 (09/12/2016) |
| Ramius Archview Credit and Distressed Fund and Ramius Advisors, LLC | 812-14501 | 32139 (06/06/2016) | 32168 (07/05/2016) |
| ABS Long/Short Strategies Fund and ABS Investment Management LLC | 812-14587 | 32090 (04/21/2016) | 32116 (05/18/2016) |
| Susa Registered Fund, L.L.C., et al. | 812-14518 | 31975 (01/29/2016) | 32004 (02/24/2016) |
| Altegris KKR Commitments Master Fund, et al. | 812-14415 | 31944 (12/17/2015) | 31955 (01/12/2016) |
| Wildermuth Endowment Strategy Fund, et al. | 812-14534 | 31896 (11/05/2015) | 31922 (12/01/2015) |
| CLA Strategic Allocation Fund and CLA Asset Management, LLC | 812-14533 | 31863 (10/07/2015) | 31890 (11/03/2015) |
| Pomona Investment Fund, et al. | 812-14416 | 31819 (09/11/2015) | 31862 (10/07/2015) |
| Archstone Alternative Solutions Fund and A.P. Management Company, LLC | 812-14434 | 31761 (08/14/2015) | 31817 (09/10/2015) |
| FEG Absolute Access TEI Fund LLC and FEG Investors, LLC | 812-14352 | 31758 (08/13/2015) | 31814 (09/09/2015) |
| AMG Pantheon Private Equity Fund, LLC, et al. | 812-14337 | 31728 (07/29/2015) | 31767 (08/24/2015) |
| Little Harbor MultiStrategy Composite Fund and Little Harbor Advisors, LLC | 812-14395 | 31726 (07/28/2015) | 31768 (08/25/2015) |
| Griffin Institutional Access Real Estate Fund and Griffin Capital Advisor, LLC | 812-14373 | 31509 (03/23/2015) | 31559 (04/20/2015) |
| Princeton Private Equity Fund and Princeton Fund Advisors, LLC | 812-14367 | 31512 (03/25/2015) | 31562 (04/22/2015) |
| Corsair Opportunity Fund, et al. | 812-14326 | 31454 (02/10/2015) | 31501 (03/10/2015) |
| ACAP Strategic Fund and SilverBay Capital Management LLC | 812-14333 | 31372 (12/11/2014) | 31406 (01/06/2015) |
| Morgan Creek Global Equity Long/Short Institutional Fund, et al. | 812-14093 | 31369 (12/11/2014) | 31405 (01/06/2015) |
| Alternative Strategies Fund and Ladenburg Thalmann Asset Management, Inc. | 812-14328 | 31360 (12/01/2014) | 31400 (12/24/2014) |
| Alliancebernstein Multi-Manager Alternative Fund, et al. | 812-14227 | 31322 (10/31/2014) | 31345 (11/24/2014) |
| Evanston Alternative Opportunities Fund and Evanston Capital Management, LLC. | 812-14293 | 31250 (09/15/2014) | 31285 (10/14/2014) |
| Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc. | 812-14244 | 31093 (06/23/2014) | 31162 (07/22/2014) |
| College Retirement Equities Fund, et al. | 812-14305 | 31092 (06/23/2014) | 31204 (08/11/2014) |
| Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc. | 812-14147 | 31046 (05/13/2014) | 31075 (06/10/2014) |
| Steben Select Multi-Strategy Fund and Steben & Company, Inc. | 812-14144 | 31029 (04/25/2014) | 31052 (05/21/2014) |
| Multi-Strategy Growth & Income Fund, et al. | 812-14228 | 30860 (01/15/2014) | 30911 (02/11/2014) |
| Total Income+ Real Estate Fund, et al. | 812-14184 | 30859 (01/15/2014) | 30912 (02/11/2014) |
| CPG Carlyle Private Equity Fund, LLC, et al. | 812-14089 | 30512 (05/09/2013) | 30547 (06/04/2013) |
| Blackstone Alternative Alpha Fund, et al. | 812-14026 | 30280 (11/26/2012) | 30317 (12/26/2012) |
| Permal Hedge Strategies Fund, et al. | 812-14011 | 30228 (10/09/2012) | 30257 (11/05/2012) |
| Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC | 812-14008 | 30103 (06/14/2012) | 30133 (07/10/2012) |
| BlackRock Preferred Partners LLC, et al. | 812-13964 | 30160 (08/02/2012) | 30182 (08/28/2012) |
| ASGI Agility Income Fund | 812-13866 | 29793 (09/19/2011) | 29837 (10/15/2011) |
| Highland Capital Management, L.P., et al. | 812-13221 | 28888 (08/27/2009) | 28908 (09/22/2009) |
| Allianz RCM Global EcoTrends Fund | 812-13364 | 27936 (08/23/2007) | 27971 (09/18/2007) |
Multi-Manager - Voting |
|||
| Investment Company | File No. | Notice | Order |
| Innovator ETFS Trust and Innovator Capital Management, LLC | 812-14780 | 32813 (09/11/2017) | 32855 (10/06/2017) |
| Homestead Funds, Inc. and RE Advisers Corporation | 812-14664 | 32602 (04/19/2017) | 32636 (05/16/2017) |
| Aspiration Funds and Aspiration Fund Adviser, LLC | 812-14389 | 32432 (01/24/2017) | 32504 (02/22/2017) |
| Academy Funds Trust and Innovator Management LLC | 812-14358 | 31679 (06/17/2015) | 31711 (07/09/2015) |
| Crow Point Partners, LLC and Northern Lights Fund Trust | 812-13858 | 31431 (01/28/2015) | 31470 (02/24/2015) |
| Persimmon Capital Management LP and Northern Lights Fund Trust III | 812-14251 | 31218 (08/19/2014) | 31284 (10/01/2014) |
| Altegris Advisors L.L.C. and Northern Lights Fund Trust | 812-14196 | 31221 (08/22/2014) | 31189 (07/28/2014) |
| Valmark Advisers, Inc. and Northern Lights Variable Trust | 812-13951 | 31071 (06/04/2014) | 31142 (07/01/2014) |
| Catalyst Capital Advisors LLC and Mutual Fund Series Trust | 812-14101 | 30832 (12/16/2013) | 30854 (01/13/2014) |
| Compass Efficient Model Portfolios, LLC, et al. | 812-13881 | 30550 (06/04/2013) | 30588 (07/02/2013) |
| Highland Associates, Inc. and Financial Investors Trust | 812-14006 | 30259 (11/09/2012) | 30291 (12/05/2012) |
| LoCorr Fund Management, LLC and LoCorr Investment Trust | 812-13913 | 30168 (08/14/2012) | 30199 (09/11/2012) |
| Franklin Advisers, Inc. and Franklin Templeton International Trust | 812-13900 | 30105 (06/18/2012) | 30138 (07/17/2012) |
| Hirtle Callaghan & Co., LLC and HC Capital Trust | 812-13859-01 | 30102 (06/11/2012) | 30132 (07/10/2012) |
| Preservation Trust Advisors, LLC and Northern Lights Fund Trust | 812-13965 | 29937 (01/26/2012) | 29951 (02/22/2012) |
| Genesis Capital, LLC and Northern Lights Fund Trust | 812-13935 | 29867 (11/21/2011) | 29888 (12/19/2011) |
| Bandon Capital Management, LLC and Northern Lights Fund Trust | 812-13936 | 29864 (11/17/2011) | 29882 (12/13/2011) |
| Curian Series Trust, et al. | 812-13855 | 29794 (09/19/2011) | 29836 (10/17/2011) |
| RidgeWorth Funds | 812-13860 | 29743 (08/03/2011) | 29773 (08/30/2011) |
| HIGHMARK Funds, et al. | 812-13143 | 29723 (07/12/2011) | 29750 (08/08/2011) |
| Altegris Advisors, L.L.C., et al. | 812-13851 | 29689 (06/01/2011) | 29710 (06/28/2011) |
| The Integrity Funds, et al. | 812-13763 | 29399 (08/25/2010) | 29418 (09/21/2010) |
| WisdomTree Asset Management, Inc. and WisdomTree Trust | 812-13733 | 29380 (08/13/2010) | 29412 (09/08/2010) |
| Members Mutual Funds, et al. | 812-13654 | 29062 (11/23/2009) | 29096 (12/22/2009) |
| AdvisorOne Funds and CLS Investments, LLC | 812-13643 | 28894 (08/31/2009) | 28932 (09/28/2009) |
| Forward Funds, et al. | 812-13533 | 28420 (09/29/2008) | 28469 (10/27/2008) |
| Phoenix Equity Trust, et al. | 812-13526 | 28375 (09/03/2008) | 28410 (09/29/2008) |
| AARP Funds | 812-13251 | 27918 (07/31/2007) | 27956 (08/28/2007) |
| First Investors Equity Funds | 812-13350 | 27826 (05/23/2007) | 27868 (06/20/2007) |
| Forward Funds, et al. | 812-13249 | 27777 (04/05/2007) | 27814 (05/01/2007) |
| Liberty All-Star Equity Fund, et al. | 812-13327 | 27741 (02/27/2007) | 27769 (03/27/2007) |
Multi-Manager - Voting & Disclosure |
|||
| Investment Company | File No. | Notice | Order |
| North Square Investments Trust, et al. | 812-14957 | 33702 (11/21/2019) | 33719 (12/17/2019) |
| OSI ETF Trust, et al. | 812-15060 | 33678 (10/29/2019) | 33705 (11/26/2019) |
| Collaborative Investment Series Trust and Tactical Fund Advisors, LLC | 812-15012 | 33588 (08/12/2019) | 33619 (09/09/2019) |
| PFS Funds and Castle Investment Management, LLC. | 812-15010 | 33563 (07/23/2019) | 33595 (08/20/2019) |
| Columbia Funds Series Trust, et al. | 812-14791 | 33495 (05/30/2019) | 33519 (06/26/2019) |
| ALPS Variable Investment Trust, et al. | 812-14894 | 33468 (05/07/2019) | 33500 (06/03/2019) |
| Carillon Series Trust, et al. | 812-14194-03 | 33464 (05/02/2019) | 33494 (05/29/2019) |
| Symmetry Panoramic Trust and Symmetry Partners, LLC | 812-14943 | 33452 (04/23/2019) | 33478 (05/21/2019) |
| Monteagle Funds and Nashville Capital Corporation | 812-14881 | 33379 (02/21/2019) | 33463 (04/30/2019) |
| Victory Capital Management Inc. et al. | 812-14986 | 33369 (02/06/2019) | 33387 (03/05/2019) |
| TigerShares Trust, et al. | 812-14947 | 33334 (12/20/2018) | 33350 (01/29/2019) |
| Investment Managers Series Trust and 361 Capital, LLC | 812-14893 | 33323 (12/14/2018) | 33349 (01/29/2019) |
| Cushing Asset Management, LP and Cushing ETF Trust | 812-14945 | 33285 (10/30/2018) | 33307 (11/27/2018) |
| Natixis Funds Trust I, et al. | 812-14883 | 33265 (10/05/2018) | 33287 (10/31/2018) |
| Advisors Asset Management, Inc. and ETF Series Solutions | 812-14833 | 33169 (07/24/2018) | 33207 (08/21/2018) |
| TriLine Index Solutions, LLC and ETF Series Solutions | 812-14829 | 33159 (07/11/2018) | 33192 (08/06/2018) |
| SL Advisors, LLC and ETF Series Solutions | 812-14828 | 33158 (07/11/2018) | 33193 (08/06/2018) |
| DMS ETF Trust I, et al. | 812-14884 | 33156 (07/10/2018) | 33196 (08/07/2018) |
| PFM Multi-Manager Series Trust and PFM Asset Management LLC | 812-14815 | 33098 (05/15/2018) | 33121 (06/13/2018) |
| FS Series Trust and FS Fund Advisor, LLC | 812-14762 | 32992 (01/25/2018) | 33006 (02/20/2018) |
| Northern Lights Fund Trust and AlphaCore Capital, LLC | 812-14806 | 32961 (01/03/2018) | 32997 (01/30/2018) |
| Oppenheimer Capital Appreciation Fund et al. | 812-14749 | 32956 (12/27/2017) | 32972 (01/23/2018) |
| The Hartford Mutual Funds, Inc., et al. | 812-14564 | 32944 (12/20/2017) | 32971 (01/17/2018) |
| Northern Lights Fund Trust IV and Measured Risk Portfolios, Inc. | 812-14797 | 32803 (08/31/2017) | 32835 (09/26/2017) |
| Eagle Series Trust, et al. | 812-14777-01 | 32802A (09/18/2017) | 32861 (10/16/2017) |
| Eagle Series Trust, et al. | 812-14777 | 32802 (08/31/2017) | |
| Morningstar Funds Trust and Morningstar Investment Management LLC | 812-14753 | 32736 (07/18/2017) | 32780 (08/15/2017) |
| Westcore Trust and Denver Investment Advisors LLC | 812-14728 | 32682 (06/16/2017) | 32732 (07/12/2017) |
| Series Portfolios Trust and Highmore Group Advisors, LLC | 812-14717 | 32660 (05/24/2017) | 32684 (06/20/2017) |
| Investment Managers Series Trust II and Vivaldi Asset Management, LLC | 812-14710 | 32536 (03/20/2017) | 32599 (04/17/2017) |
| The RBB Fund, Inc. and Altair Advisers LLC | 812-14386 | 32483 (02/21/2017) | 32538 (03/21/2017) |
| Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC | 812-14590 | 32481 (02/16/2017) | 32530 (03/13/2017) |
| Brinker Capital Destinations Trust, et al. | 812-14718 | 32479 (02/14/2017) | 32535 (03/16/2017) |
| Destra Capital Advisors LLC, et al. | 812-14629 | 32458 (01/30/2017) | 32510 (02/27/2017) |
| Guardian Variable Products Trust and Park Avenue Institutional Advisers LLC | 812-14627 | 32420 (01/09/2017) | 32468 (02/06/2017) |
| DFA Investment Dimensions Group Inc., et al. | 812-14622 | 32406 (12/29/2016) | 32433 (01/24/2017) |
| Delaware Management Business Trust, et al. | 812-14595 | 32395 (12/19/2016) | 32423 (01/17/2017) |
| ETF Managers Group, et al. | 812-14508 | 32317 (10/13/2016) | 32358 (11/10/2016) |
| Virtus Alternative Solutions Trust, et al. | 812-14538 | 32293 (09/28/2016) | 32327 (10/25/2016) |
| Northern Lights Fund Trust and Dearborn Capital Management, LLC | 812-14432 | 32264 (09/16/2016) | 32313 (10/12/2016) |
| Starboard Investment Trust and Cavalier Investments, Inc | 812-14630 | 32241 (08/29/2016) | 32282 (09/26/2016) |
| American Independence Funds Trust, et al. | 812-14666 | 32206 (08/03/2016) | 32237 (08/25/2016) |
| Managed Portfolio Series and Port Street Investments, LLC | 812-14585 | 32201 (08/02/2016) | 32245 (08/30/2016) |
| Investment Managers Series Trust, et al. | 812-14635 | 32195 (07/28/2016) | 32224 (08/23/2016) |
| Mutual Fund Series Trust, et al. | 812-14597 | 32189 (07/20/2016) | 32220 (08/16/2016) |
| Northern Lights Fund Trust and Princeton Fund Advisors, LLC | 812-14285 | 32032 (03/21/2016) | 32079 (04/19/2016) |
| Amplify ETF Trust and Amplify Investments LLC | 812-14591 | 32022 (03/03/2016) | 32054 (03/29/2016) |
| LoCorr Fund Management, LLC and LoCorr Investment Trust | 812-14540 | 32005 (02/24/2016) | 32036 (03/22/2016) |
| MassMutual Premiere Funds, et al., | 812-14376 | 31982 (02/03/2016) | 32013 (02/29/2016) |
| Investment Managers Series Trust, et al. | 812-14478 | 31954 (01/11/2016) | 31989 (02/08/2016) |
| ETF Series Solutions and AlphaClone, Inc. | 812-14475 | 31906 (11/19/2015) | 31938 (12/15/2015) |
| U.S. Global Investors, Inc., et al. | 812-14451 | 31905 (11/18/2015) | 31937 (12/15/2015) |
| Forum Funds and Exceed Advisory LLC | 812-14531 | 31893 (11/05/2015) | 31919 (12/01/2015) |
| The RBB Fund, Inc. and Abbey Capital Limited | 812-14372 | 31766 (08/21/2015) | 31827 (09/16/2015) |
| Pulteney Street Capital Management, LLC and PSP Family of Funds | 812-14356 | 31754 (08/13/2015) | 31809 (09/09/2015) |
| BPV Capital Management, LLC and BPV Family of Funds | 812-14413 | 31721 (07/21/2015) | 31765 (08/18/2015) |
| BMO Funds, Inc. and BMO Asset Management Corp. | 812-14370 | 31603 (05/15/2015) | 31666 (06/10/2015) |
| The MainStay Funds, et al. | 812-14360 | 31597 (05/11/2015) | 31663 (06/08/2015) |
| Starboard Investment Trust and Foliometrix, LLC | 812-14170 | 31587 (04/30/2015) | 31647 (05/27/2015) |
| ETFS Trust and ETF Securities Advisors LLC | 812-14346 | 31511 (03/25/2015) | 31557 (04/20/2015) |
| Exchange Traded Concepts, LLC et al. | 812-14334 | 31453 (02/10/2015) | 31502 (03/10/2015) |
| AB Cap Fund, Inc., et al. | 812-14235 | 31449 (02/06/2015) | 31496 (03/03/2015) |
| The Saratoga Advantage Trust and James Alpha Management, LLC | 812-14351 | 31447 (02/05/2015) | 31495 (03/03/2015) |
| Trust for Professional Managers and William Blair & Company L.L.C. | 812-14349 | 31435 (01/28/2015) | 31464 (02/23/2015) |
| Context Capital Advisers, LLC and Context Capital Funds | 812-14266 | 31408 (01/06/2015) | 31445 (02/03/2015) |
| Forum Funds II and CVR Portfolio Funds LLC | 812-14344 | 31386 (12/18/2014) | 31414 (01/13/2015) |
| Forum Funds II and Acuitas Investments, LLC | 812-14345 | 31385 (12/18/2014) | 31413 (01/13/2015) |
| SSgA Funds Management, Inc., et al. | 812-13961 | 31384 (12/18/2014) | 31412 (01/13/2015) |
| Advanced Series Trust, et al. | 812-14159 | 31342 (11/20/2014) | 31377 (12/16/2014) |
| American Century Capital Portfolios, Inc. and American Century Investment Management, Inc. | 812-14329 | 31328 (11/04/2014) | 31362 (12/02/2014) |
| Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC | 812-14332 | 31302 (10/22/2014) | 31339 (11/18/2014) |
| BlackRock Advisors, LLC, et al. | 812-13784 | 31291 (10/16/2014) | 31335 (11/12/2014) |
| Eagle Capital Appreciation Fund, et al. | 812-14173 | 31239 (09/03/2014) | 31269 (09/29/2014) |
| Advisors Series Trust and Vivaldi Asset Management, LLC See also requests and additional information |
812-14299 | 31226 (08/27/2014) | 32378 (12/05/2016; Order Permitting Withdrawal of Application) |
| Northern Lights Fund Trust II and North Peak Asset Management LLC | 812-14032 | 31222 (08/26/2014) | 31254 (09/23/2014) |
| Principal Funds, Inc., et al. | 812-14138 | 31203 (08/11/2014) | 31244 (09/08/2014) |
| Steben Alternative Investment Funds and Steben & Company, Inc. | 812-14314 | 31186 (07/24/2014) | 31215 (08/19/2014) |
| Janus Investment Fund, et al. | 812-14294 | 31145 (07/02/2014) | 31192A (07/29/2014) |
| KraneShares Trust and Krane Funds Advisors, LLC | 812-14284 | 31144 (07/02/2014) | 31190 (07/29/2014) |
| Rothschild Larch Lane Management Company LLC and The Advisors' Inner Circle Fund III | 812-14265 | 31134 (06/25/2014) | 31164 (07/22/2014) |
| Ivy Funds, et al. | 812-14210 | 31013 (04/10/2014) | 31040 (05/06/2014) |
| Professionally Managed Portfolios and Balter Liquid Alternatives, LLC | 812-14243 | 31010 (04/08/2014) | 31038 (05/05/2014) |
| Virtus Alternative Solutions Trust and Virtus Alternative Investment Advisers, Inc. | 812-14231 | 30986 (03/19/2014) | 31014 (04/15/2014) |
| Hatteras Alternative Mutual Funds Trust, et al. | 812-14282 | 30969 (02/26/2014) | 30991 (03/25/2014) |
| Legg Mason Partners Equity Trust, et al. | 812-14127 | 30923 (02/24/2014) | 30990 (03/24/2014) |
| KKR Series Trust and Prisma Capital Partners LP | 812-14124 | 30905 (02/04/2014) | 30973 (03/04/2014) |
| T. Rowe Price Global Allocation Fund, Inc. et al. | 812-14224 | 30901 (01/31/2014) | 30967 (02/26/2014) |
| Cornerstone Advisors Inc. and The Advisors’ Inner Circle Fund | 812-14060 | 30884 (01/16/2014) | 30916 (02/11/2014) |
| Wells Fargo Funds Trust, et al. | 812-14090 | 30830 (12/13/2013) | 30853 (01/08/2014) |
| American Beacon Funds, et al. | 812-13825 | 30819 (12/05/2013) | 30848 (12/30/2013) |
| AIM Growth Series (Invesco Growth Series), et al. | 812-14204 | 30785 (11/15/2013) | 30827 (12/11/2013) |
| Forethought Variable Insurance Trust, et al. | 812-14183 | 30716 (09/25/2013) | 30750 (10/22/2013) |
| The KP Funds and Callan Associates Inc. | 812-14143 | 30693 (09/23/2013) | 30748 (10/21/2013) |
| Franklin Templeton International Trust, et al. | 812-14167 | 30679 (08/27/2013) | 30698 (09/24/2013) |
| Equinox Funds Trust, et al. | 812-14129 | 30673 (08/23/2013) | 30691 (09/19/2013) |
| Aspiriant Global Equity Trust and Aspiriant, LLC | 812-14155 | 30640 (08/05/2013) | 30684 (09/03/2013) |
| Grosvenor Alternative Funds Master Trust, et al. | 812-14110 | 30599 (07/15/2013) | 30648 (08/12/2013) |
| Bridge Builder Trust, et al. | 812-14118 | 30592 (07/09/2013) | 30641 (08/06/2013) |
| The Dreyfus Corporation, et al. | 812-13637 | 30580 (06/26/2013) | 30608 (07/23/2013) |
| ING Investments, LLC, et al. | 812-14111 | 30566 (06/24/2013) | 30603 (07/22/2013) |
| First Trust Exchange-Traded Fund, et al. | 812-14070 | 30546 (06/03/2013) | 30587 (07/01/2013) |
| Frank Russell Company, et al. | 812-13783 | 30524 (05/17/2013) | 30556 (06/12/2013) |
| Goldman Sachs Trust II, et al. | 812-14078 | 30496 (04/29/2013) | 30542 (05/29/2013) |
| Symetra Mutual Funds Trust, et al. | 812-14081 | 30472 (04/19/2013) | 30516 (05/14/2013) |
| Trust for Professional Managers and Aurora Investment Management L.L.C. | 812-14113 | 30460 (04/12/2013) | 30510 (05/08/2013) |
| Munder Series Trust, et al. | 812-14099 | 30441 (03/29/2013) | 30493 (04/24/2013) |
| Blackstone Alternative Investment Funds, et al. | 812-14076 | 30416 (03/07/2013) | 30444 (04/02/2013) |
| Cohen & Steers Real Assets Fund, Inc., et al. | 812-14003 | 30413 (03/04/2013) | 30442 (03/29/2013) |
| AdvisorShares Investments, LLC and AdvisorShares Trust | 812-14027 | 30381 (02/12/2013) | 30421 (03/11/2013) |
| Arden Investment Series Trust and Arden Asset Management LLC | 812-14062 | 30255 (11/02/2012) | 30283 (11/28/2012) |
| Trust for Professional Managers, et al. | 812-14012 | 30235 (10/18/2012) | 30263 (11/14/2012) |
| PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. | 812-14000 | 30224 (09/27/2012) | 30241 (10/23/2012) |
| Neuberger Berman Alternative Funds, et al. | 812-13988-01 | 30206 (09/18/2012) | 30232 (10/15/2012) |
| Cash Account Trust, et al. | 812-13512 | 30151 (07/25/2012) | 30172 (08/20/2012) |
| Capital Research and Management Company, et al. | 812-13616-09 | 30150 (07/25/2012) | 30173 (08/20/2012) |
| IndexIQ Advisors LLC, et al. | 812-13957 | 30130 (07/09/2012) | 30161 (08/03/2012) |
| Advisors Series Trust and Orinda Asset Management, LLC | 812-13889 | 30043 (04/23/2012) 32254 (09/08/2016; Intention to Rescind a Prior Order) |
30065 (05/21/2012) 32302 (10/04/16; Order Rescinding a Prior Order) |
| Domini Social Investment Trust and Domini Social Investments LLC | 812-13971 | 29984 (03/21/2012) | 30035 (04/17/2012) |
| Investment Managers Ser | 812-13891 | 29787 (09/13/2011) | 29833 (10/12/2011) |
| Pax World Funds Series Trust, et al. | 812-13883 | 29751 (08/10/2011) | 29783 (09/07/2011) |
| Sterling Capital Funds, et al. | 812-13834 | 29713 (07/01/2011) | 29738 (07/26/2011) |
| Simple Alternatives, LLC, et al. | 812-13801 | 29616 (03/24/2011) | 29629 (04/19/2011) |
| Highland Capital Management, L.P. and Highland Funds I | 812-13770 | 29445 (09/27/2010) | 29488 (10/26/2010) |
| American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company | 812-13708 | 29444 (09/27/2010) | 29483 (10/25/2010) |
| Northern Lights Fund Trust | 812-13651 | 29208 (04/16/2010) | 29267 (05/12/2010) |
| Lincoln Variable Insurance | 812-13732 | 29170 (03/09/2010) | 29197 (03/31/2010) |
| Cash Account Trust, et al. | 812-13678 | 29094 (12/16/2009) | 29109 (01/12/2010) |
| Strategic Funds, Inc., et al. | 812-13712 | 29064 (11/30/2009) | 29097 (12/23/2009) |
| Grail Advisors LLC and Grail Advisors ETF Trust | 812-13516 | 28900 (09/14/2009) | 28944 (10/08/2009) |
| GE Funds, et al. | 812-13545 | 28808 (07/02/2009) | 28839 (07/28/2009) |
| Embarcadero Funds, Inc., et al. | 812-13633 | 28769 (06/22/2009) | 28820 (07/20/2009) |
| Trust for Professional Managers, et al. | 812-11351 | 28382 (09/19/2008) | 28439 (10/15/2008) |
| Aberdeen Asset Management Inc. | 812-13528 | 28364 (08/25/2008) | 28385 (09/22/2008) |
| Advisors Series Trust, et al. | 812-13473 | 28175 (02/27/2008) | 28201 (03/25/2008) |
| Unified Series Trust | 812-13450 | 28071 (11/30/2007) | 28117 (12/27/2007) |
| JNF Advisors, Inc. | 812-13419 | 28010 (10/02/2007) | 28038 (10/29/2007) |
| Trust for Professional Managers, Inc. | 812-13408 | 27964 (08/31/2007) | 27995 (09/26/2007) |
| Aston Funds | 812-13375 | 27879 (06/29/2007) | 27910 (07/25/2007) |
| First American Investment Funds, Inc. | 812-13268 | 27818 (05/04/2007) | 27846 (05/30/2007) |
| Old Westbury Funds, Inc. and Bessemer Investment Management LLC | 812-13286 | 27807 (04/27/2007) | 27837 (05/23/2007) |
| New River Funds and New River Advisers LLC | 812-13319 | 27653 (01/03/2007) | 27690 (01/31/2007) |
| Forum Funds, et al. | 812-13265 | 27605 (12/20/2006) | 27665 (01/18/2007) |
| The MainStay Funds, et al. | 812-13257 | 27595 (12/11/2006) | 27656 (01/08/2007) |
Other |
|||
| Investment Company | File No. | Notice | Order |
| Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC | 812-15007 | 33748 (01/21/2020) | |
| Jeffrey LLC | 812-14624 | 32526 (03/07/2017) | 32590 (04/04/2017) |
| Goldman, Sachs & Co. | 812-14702 | 32460 (01/31/2017) | 32514 (02/28/2017) |
| Allstate Assurance Company, et al | 812-14149 | 32457 (01/27/2017) | 32506 (02/22/2017) |
| The Bank of New York Mellon Trust Company, National Association and The Bank of New York Mellon | 812-14680-01 | 32309 (10/07/2016) | 32348 (11/01/2016) |
| Harris & Harris Group, Inc. | 812-14669 | N/A | 32285 (09/26/2016) |
| Wells Fargo Bank, National Association, et al. | 812-14599 | 32218 (08/16/2016) | 32253 (09/07/2016) |
| Leaning Pine II, L.L.C. | 812-14473 | 31959 (01/15/2016) | 31992 (02/10/2016) |
| Third Avenue Trust and Third Avenue Management LLC | 812-14593 | N/A | 31943 (12/16/2015) |
| Harris & Harris Group, Inc. | 812-14515 | N/A | 31891 (11/04/2015) |
| U.S. Bank National Association | 812-14404 | 31886 (10/29/2015) | 31916 (11/24/2015) |
| The Adams Express Company and Petroleum & Resources Corporation | 812-14300 | 31452 (02/09/2015) | |
| MUFG Union Bank, N.A. | 812-14331 | 31347 (11/24/2014) | 31396 (12/23/2014) |
| Harris & Harris Group, Inc. | 812-14317 | N/A | 31271 (09/30/2014) |
| Copley Fund, Inc. | 811-02815 | 34-72173 (05/15/2014) See also Application and Exhibits |
31088 (06/19/2014) |
| Matthews A Share Selections Fund, LLC, et al. | 812-14058 | 31020 (04/17/2014) | 31045 (05/13/2014) |
| Special Opportunities Fund, Inc. | 811-07528 | 30647 (08/08/2013) See also Application |
31213 (08/15/2014) |
| Harris & Harris Group, Inc. | 812-14164 | N/A | 30604 (07/22/2013) |
| ASA Gold and Precious Metals Limited | 812-13877 | 30539 (05/22/2013) | 30561 (06/18/2013) |
| Harris & Harris Group, Inc. | 812-14029 | N/A | 30104 (06/15/2012) |
| Central Securities Corporation | 812-13857 | 29915 (01/06/2012) | 29940 (02/01/2012) |
| Harris & Harris Group, Inc. | 812-13896 | N/A | 29736 (07/22/2011) |
| Harris & Harris Group, Inc. | 812-13768 | N/A | 29289 (05/28/2010) |
| PNC Bank, National Association | 812-13640 | 29066 (12/03/2009) | 29100 (12/29/2009) |
| Pioneer Floating Rate Trust and Pioneer High Income Trust | 812-13636 | 28998 (11/20/2009) | 29070 (12/15/2009) |
| DNP Select Income Fund Inc., et al. | 812-13617 | 28891 (08/27/2009) | 28906 (09/22/2009) |
| Federated Core Trust III, et al. | 812-13421 | 28806 (06/30/2009) | 28834 (07/27/2009) |
| Harris & Harris Group, Inc. | 812-13655 | 28761 (06/09/2009) | 28761 (06/09/2009) |
| Nuveen Tax-Advantaged Total Return Strategy Fund, et al. | 812-13619 | 28758 (06/04/2009) | 28893 (08/28/2009) |
| Flaherty & Crumrine Preferred Income Fund Incorporated, et al. | 812-13598 | 28722 (05/08/2009) | 28754 (06/01/2009) |
| Cohen & Steers Advantage Income Realty Fund, Inc., et al. | 812-13594 | 28721 (05/08/2009) | 28753 (06/01/2009) |
| Citibank, N.A., et al. | 812-13618 | 28717 (04/29/2009) | 28746 (05/26/2009) |
| Bridgeway Capital Management, Inc. | 812-13525 | 28685 (04/01/2009) | 28716 (04/28/2009) |
| Calamos Convertible Opportunities and Income Fund, et al. | 812-13552 | 28603 (01/14/2009) | 28615 (02/10/2009) |
| Reserve Municipal Money-Market Trust, et al. | 812-13585 | N/A | 28466 (10/24/2008) |
| The Reserve Fund | 812-13576 | N/A | 28386 (09/22/2008) |
| Eaton Vance Floating Rate-Income Trust | 812-13540 | 28431 (10/02/2008) | 28464 (10/23/2008) |
| Harris & Harris Group, Inc. | 812-13520 | N/A | 28294 (05/30/2008) |
| MMA PRAXIS Mutual Funds | 812-13413 | 27977 (09/24/2007) | 28016 (10/22/2007) |
| Harris & Harris Group, Inc. | 812-13374 | N/A | 27870 (06/20/2007) |
| HSBC Securities (USA) Inc. | 812-13186 | 27805 (04/26/2007) | 27822 (05/22/2007) |
| Deutsche Bank Trust Company Americas | 812-13212 | 27644 (12/28/2006) | 27673 (01/23/2007) |
Securities Lending (Withdrawn) |
|||
| Investment Company | File No. | Notice | Order |
| U.S. Bank National Association, et al. | 812-13246 | 28238 (04/16/2008) | 28264 (05/07/2008) |
Two-Tier Real Estate Partnerships |
|||
| Investment Company | File No. | Notice | Order |
| WNC Tax Credits 40, LLC, et al. | 812-13885 | 29715 (07/06/2011) | 29742 (08/02/2011) |
| WNC Tax Credits 38, LLC | 812-13687 | 29202 (04/02/2010) | 29260 (04/27/2010) |
Unit Investment Trusts - Other |
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| Investment Company | File No. | Notice | Order |
| Ausdal Financial Partners, Inc. and Ausdal Unit Investment Trust | 812-14785 | 32939 (12/14/2017) | 32964 (01/09/2018) |
| Olden Lane Securities LLC and Olden Lane Trust | 812-14436-01 | 32589 (04/03/2017) | 32619 (05/01/2017) |
| ALAIA Market Linked Trust and Beech Hill Securities, Inc. | 812-14542 | 32324 (10/24/2016) | 32361 (11/18/2016) |
| Eaton Vance Distributors, Inc. and Eaton Vance Unit Trust | 812-14304 | 31280 (10/08/2014) | 31327 (11/04/2014) |
| Morgan Stanley Smith Barney LLC and Morgan Stanley Global Investment Solutions | 812-14276 | 31062 (05/21/2014) | 31086 (06/17/2014) |
| Elkhorn Securities, LLC and Elkhorn Unit Trust | 812-14260 | 30902 (02/03/2014) | 30974 (03/05/2014) |
| TSC Distributors LLC and TSC UITS | 812-14054 | 30449 (04/04/2013) | 30501 (04/30/2013) |
| AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. | 812-14005 | 30134 (07/10/2012) | 30162 (08/06/2012) |
| Destra Capital Investments LLC and Destra Unit Investment Trust | 812-13574-01 | 30059 (05/03/2012) | 30087 (05/30/2012) |
| Incapital LLC and Incapital Unit Trust | 812-13921 | 29924 (01/24/2012) | 29949 (02/21/2012) |
| Millington Securities, Inc. | 812-13595 | 29160 (02/25/2010) | 29177 (03/22/2010) |
| Advisors Asset Management, Inc. | 812-13536 | 28613 (02/06/2009) | 28641 (03/04/2009) |
| Matrix Capital Group, Inc. | 812-13475 | 28284 (05/22/2008) | 28300 (06/17/2008) |
| NexBank Securities, Inc. and NexBank Series | 812-13279 | 27655 (01/04/2007) | 27691 (01/30/2007) |