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Investment Company Act Notices and Orders
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12(d)(3) - Other | |||
| Investment Company | File No. | Notice | Order |
|---|---|---|---|
| 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 | |||
| Investment Company | File No. | Notice | Order |
| 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 | |||
| Investment Company | File No. | Notice | Order |
| 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 | |||
| Investment Company | File No. | Notice | Order |
| 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 | |||
| Investment Company | File No. | Notice | Order |
| 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 | |||
| Investment Company | File No. | Notice | Order |
| 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 | |||
| Investment Company | File No. | Notice | Order |
| 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 | |||
| Investment Company | File No. | Notice | Order |
| 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 |
| 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 |
| ALPS ETF Trust, ALPS Advisors, Inc., ALPS Distributors, Inc., and ALPS Portfolio Solutions Distributor, Inc. | 812-14225 | 31011 (04/08/2014) | |
| ARK ETF Trust, et al. | 812-14172 | 31009 (04/07/2014) | |
| Direxion Shares ETF Trust, et al | 812-14269 | 31002 (04/03/2014) | |
| 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 |
| 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) |
Finance Subsidiaries | |||
| Investment Company | File No. | Notice | Order |
| 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 |
| 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) |
| Credit Suisse Opportunity Funds, et al. | 812-14015 | 30342 (01/07/2013) | 30376 (02/04/2013) |
| 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 |
| FundVantage Trust, et al | 812-14197 | 31003 (04/03/2014) | |
| 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) |
| 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 | 28948 (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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| MetLife Insurance Company of Connecticut, et al. | 812-14221 | 31000 (03/31/2014) | |
| Minnesota Life Insurance Company, et al. | 812-14203 | 30999 (03/28/2014) | |
| 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) | |
| 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 |
| 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 |
| 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 |
| BTOP50 CTA Index Fund | 812-12984 | 28045 (11/08/2007) | 28074 (12/04/2007) |
Joint Transaction | |||
| Investment Company | File No. | Notice | Order |
| 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 |
| 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 |
| 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 |
| Ivy Funds, et al. | 812-14210 | 31013 (04/10/2014) | |
| Professionally Managed Portfolios and Balter Liquid Alternatives, LLC | 812-14243 | 31010 (04/08/2014) | |
| 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) | 30065 (05/21/2012) |
| 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 |
| Special Opportunities Fund, Inc. | 811-07528 | 30647 (08/08/2013) See also Application |
|
| 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 | |||
| Investment Company | File No. | Notice | Order |
| 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) |
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