|
|
Home | Jobs |
Fast Answers | Site Map | Search
|
|
||
|
|
||||
|
|||||
|
|
||||
|
|||||
|
Investment Company Act Notices and Orders
|
||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
12(d)(3) - Other |
|||
| 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 |
|||
| 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 |
|||
| 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 |
|||
| Investment Company | File No. | Notice | Order |
| 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 |
|||
| 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 |
|||
| Investment Company | File No. | Notice | Order |
| 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 |
|||
| Investment Company | File No. | Notice | Order |
| Blackstone Real Estate Income Fund, et al. | 812-14931 | 33271 (10/16/2018) | |
| Audax Credit BDC Inc., et al. | 812-14862 | 33270 (10/12/2018) | |
| BC Partners Lending Corporation, et al. | 812-14860 | 33256 (09/26/2018) | |
| 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 |
|||
| Investment Company | File No. | Notice | Order |
| 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 |
| 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 |
| Procure ETF Trust I, et al. | 812-14771 | 33274 (10/17/2018) | |
| 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 |
| Procure Active ETF Trust, et al. | 812-14772 | 33273 (10/17/2018) | |
| Vident Advisory, LLC et al. | 812-14923 | 33263 (10/03/2018) | |
| Distillate Capital Partners LLC, et al. | 812-14906 | 33244 (09/24/2018) | |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| Destra International & Event-Driven Credit Fund and Destra Capital Advisors LLC | 812-14903 | 33268 (10/11/2018) | |
| Hedge Fund Guided Portfolio Solution, et al. | 812-14899 | 33255 (09/26/2018) | |
| 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 |
| Natixis Funds Trust I, et al. | 812-14883 | 33265 (10/05/2018) | |
| 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 |
| 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 |
|||
| 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) |
http://www.sec.gov/rules/icreleases.shtml
| Contact | Employment | Links | FOIA | Forms | Privacy Policy | Modified: 10/17/2018 |
