Investment Company Act Notices and Orders
| File Number | Date | Investment Company | Type | Release Number | Category |
|---|---|---|---|---|---|
| 812-15932 | AMG Pantheon Master Fund, LLC, et al | Investment Company Act Notice | IC-35905
|
Co-Investment | |
| 812-15800 | Barings Corporate Investors, et al. | Investment Company Act Order | IC-35904
|
Co-Investment | |
| 812-15775 | TCW Direct Lending VIII LLC, et al. | Investment Company Act Notice | IC-35824A
|
Affiliated Sales & Purchases - In-Kind | |
| 812-15888 | Hamilton Lane Private Assets Fund, et al. | Investment Company Act Notice | IC-35903
|
Co-Investment | |
| 812-15907 | Forum Real Estate Income Fund, et al. | Investment Company Act Notice | IC-35899
|
Co-Investment | |
| 812-15819 | Sardis Credit Opportunities Fund, et al. | Investment Company Act Order | IC-35902
|
Multi-Class | |
| 812-15856 | Onex Direct Lending Bdc Fund, et al. | Investment Company Act Order | IC-35901
|
Co-Investment | |
| 812-15619 | Virtus Alternative Solutions Trust, et al. | Investment Company Act Order | IC-35898
|
Exchange Traded Funds - Multi-Class | |
| 812-15875 | Victory Portfolios, et al. | Investment Company Act Order | IC-35897
|
Exchange Traded Funds - Multi-Class | |
| 812-15812 | Tweedy, Browne Fund Inc., et al | Investment Company Act Order | IC-35896
|
Exchange Traded Funds - Multi-Class | |
| 812-15582 | Touchstone Funds Group Trust, et al. | Investment Company Act Order | IC-35895
|
Exchange Traded Funds - Multi-Class | |
| 812-15688 | Thornburg Investment Trust, et al. | Investment Company Act Order | IC-35894
|
Exchange Traded Funds - Multi-Class | |
| 812-15589 | The Charles Schwab Family of Funds, et al. | Investment Company Act Order | IC-35893
|
Exchange Traded Funds - Multi-Class | |
| 812-15556 | TCW Metropolitan West Funds, et al | Investment Company Act Order | IC-35892
|
Exchange Traded Funds - Multi-Class | |
| 812-15653 | SPDR Series Trust, et al. | Investment Company Act Order | IC-35891
|
Exchange Traded Funds - Multi-Class | |
| 812-15641 | Segall Bryant & Hamill Trust, et al. | Investment Company Act Order | IC-35890
|
Exchange Traded Funds - Multi-Class | |
| 812-15626 | Shelton Funds, et al. | Investment Company Act Order | IC-35889
|
Exchange Traded Funds - Multi-Class | |
| 812-15708 | PIMCO Funds, et al. | Investment Company Act Order | IC-35888
|
Exchange Traded Funds - Multi-Class | |
| 812-15636 | PFS Funds et al. | Investment Company Act Order | IC-35887
|
Exchange Traded Funds - Multi-Class | |
| 812-15908 | Parnassus Funds, et al. | Investment Company Act Order | IC-35886
|
Exchange Traded Funds - Multi-Class | |
| 812-15644 | Nushares ETF Trust, et al. | Investment Company Act Order | IC-35885
|
Exchange Traded Funds - Multi-Class | |
| 812-15839 | New York Life Investments Active ETF Trust, et al. | Investment Company Act Order | IC-35884
|
Exchange Traded Funds - Multi-Class | |
| 812-15751 | Neuberger Berman Investment Advisers LLC, et al. | Investment Company Act Order | IC-35883
|
Exchange Traded Funds - Multi-Class | |
| 812-15542 | Morgan Stanley Institutional Fund Trust, et al. | Investment Company Act Order | IC-35882
|
Exchange Traded Funds - Multi-Class | |
| 812-15680 | Lord, Abbett & Co. LLC, et al. | Investment Company Act Order | IC-35881
|
Exchange Traded Funds - Multi-Class | |
| 812-15662 | J.P. Morgan Investment Management Inc., et al. | Investment Company Act Order | IC-35880
|
Exchange Traded Funds - Multi-Class | |
| 812-15637 | John Hancock Investment Trust and John Hancock Investment Management LLC | Investment Company Act Order | IC-35879
|
Exchange Traded Funds - Multi-Class | |
| 812-15843 | Kayne Anderson Energy Infrastructure Fund, Inc., et al. | Investment Company Act Order | IC-35878
|
Co-Investment | |
| 812-15831 | NB Private Markets Access Fund LLC, et al. | Investment Company Act Order | IC-35877
|
Co-Investment | |
| 812-15760 | Harbor Funds, Harbor ETF Trust and Harbor Capital Advisors, Inc. | Investment Company Act Order | IC-35876
|
Exchange Traded Funds - Multi-Class | |
| 812-15640 | Guinness Atkinson Funds, et al | Investment Company Act Order | IC-35875
|
Exchange Traded Funds - Multi-Class | |
| 812-15577 | Grantham, Mayo, Van Otterloo & Co. LLC and GMO Trust | Investment Company Act Order | IC-35874
|
Exchange Traded Funds - Multi-Class | |
| 812-15501 | F/m Investments LLC and The RBB Fund, Inc. | Investment Company Act Order | IC-35873
|
Exchange Traded Funds - Multi-Class | |
| 812-15517 | Fidelity Hastings Street Trust, et al. | Investment Company Act Order | IC-35872
|
Exchange Traded Funds - Multi-Class | |
| 812-15679-01 | Deutsche DWS Asset Allocation Trust | Investment Company Act Order | IC-35871
|
Exchange Traded Funds - Multi-Class | |
| 812-15652 | BlackRock Funds, et al. | Investment Company Act Order | IC-35870
|
Exchange Traded Funds - Multi-Class | |
| 812-15793 | Baron Investment Funds Trust, et al. | Investment Company Act Order | IC-35869
|
Exchange Traded Funds - Multi-Class | |
| 812-15591 | Allspring Funds Trust, et al. | Investment Company Act Order | IC-35868
|
Exchange Traded Funds - Multi-Class | |
| 812-15570 | AB Municipal Income Fund, Inc., et al. | Investment Company Act Order | IC-35867
|
Exchange Traded Funds - Multi-Class | |
| 812-15916 | ETF Series Solutions and Defiance ETFs, LLC | Investment Company Act Notice | IC-35866
|
Multi-Manager - Voting & Disclosure | |
| 812-15838 | MML Bay State Life Insurance Company, et al. | Investment Company Act Notice | IC-35863
|
Insurance Products - Substitution Related Affiliated Securities Transactions | |
| 812-15826 | AB Private Credit Investors Corporation, et al. | Investment Company Act Notice | IC-35862
|
Co-Investment | |
| 812-15868 | AOG Institutional Fund, et al. | Investment Company Act Notice | IC-35861
|
Co-Investment | |
| 812-15840 | Oxford Square Capital Corp., et al. | Investment Company Act Order | IC-35860
|
Co-Investment | |
| 812-15849 | Prospect Capital Corporation, et al. | Investment Company Act Order | IC-35859
|
Co-Investment | |
| 812-15930 | Denali Structured Return Strategy Fund, et al. | Investment Company Act Notice | IC-35858
|
Multi-Class | |
| 812-15901 | Elevation Series Trust and Truemark Investments LLC | Investment Company Act Notice | IC-35857
|
Multi-Manager - Voting & Disclosure | |
| 812-15882 | Source Capital /DE/, et al. | Investment Company Act Notice | IC-35849
|
Co-Investment | |
| 812-15949 | Oppenheimer & Co. Inc., et al. | Investment Company Act Order | IC-35848
|
Ineligible - Disqualified Firm | |
| 812-15824 | Shelton Funds, et al. | Investment Company Act Order | IC-35847
|
Multi-Manager - Voting & Disclosure | |
| 812-15792 | Antares Private Credit Fund, et al. | Investment Company Act Order | IC-35846
|
Co-Investment | |
| 812-15925 | The RBB Fund Trust and Gladius Capital Management LP | Investment Company Act Notice | IC-35845
|
Multi-Manager - Voting & Disclosure | |
| 812-15940 | Aristotle Pacific Enhanced CLO Income Fund and Aristotle Pacific | Investment Company Act Notice | IC-35844
|
Multi-Class | |
| 812-15937 | RBC BlueBay Enhanced Income Fund and RBC Global Asset Management (U.S.) Inc. | Investment Company Act Notice | IC-35843
|
Multi-Class | |
| 812-15863 | Lafayette Square USA, Inc., et al. | Investment Company Act Notice | IC-35842
|
Co-Investment | |
| 812-15902 | ARK ETF Trust and ARK Investment Management LLC | Investment Company Act Order | IC-35841
|
Non-In-Person Board Meetings | |
| 812-15903 | ARK ETF Trust and ARK Investment Management LLC | Investment Company Act Order | IC-35840
|
Multi-Manager - Voting & Disclosure | |
| 812-15844 | The RBB Fund Trust and Clearbrook Investment Consulting, LLC | Investment Company Act Order | IC-35839
|
Multi-Manager - Voting & Disclosure | |
| 812-15818 | Bain Capital Credit, LP, et al. | Investment Company Act Order | IC-35838
|
Co-Investment | |
| 812-15779 | Credit Suisse Services AG, et al. | Investment Company Act Order | IC-35837
See Also - Response Letter, Response from United Against Money Laundering, Request for Hearing from United Against Money Laundering |
Ineligible - Disqualified Firm | |
| 812-15809 | The RBB Fund Trust and Twin Oak ETF Company | Investment Company Act Notice | IC-35836
|
Multi-Manager - Voting & Disclosure | |
| 812-15843 | Kayne Anderson Energy Infrastructure Fund, Inc., et al. | Investment Company Act Notice | IC-35835
|
Co-Investment | |
| 812-15875 | Victory Portfolios, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15812 | Tweedy, Browne Fund Inc., et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15619 | Virtus Alternative Solutions Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15556 | TCW Metropolitan West Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15589 | The Charles Schwab Family of Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15688 | Thornburg Investment Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15582 | Touchstone Funds Group Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15653 | SPDR Series Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15641 | Segall Bryant & Hamill Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15626 | Shelton Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15908 | Parnassus Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15636 | PFS Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15708 | PIMCO Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15839 | New York Life Investments Active ETF Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15644 | Nushares ETF Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15751 | Neuberger Berman Investment Advisers LLC, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15542 | Morgan Stanley Institutional Fund Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15680 | Lord, Abbett & Co. LLC, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15662 | J.P. Morgan Investment Management Inc., et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15637 | John Hancock Investment Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15760 | Harbor Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15640 | Guinness Atkinsons Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15577 | GMO Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15501 | F/m Investments LLC, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15517 | Fidelity Hastings Street Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15679-01 | Deutsche DWS Asset Allocation Trust | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15652 | BlackRock Funds, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15591 | Allspring Funds Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15793 | Baron Investment Funds Trust, et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15570 | AB Municipal Income Fund, Inc., et al. | Investment Company Act Notice | IC-35834
|
Exchange Traded Funds - Multi-Class | |
| 812-15837 | Wilshire Private Assets Fund, et al. | Investment Company Act Order | IC-35833
|
Multi-Class | |
| 812-15855 | Star Mountain Lower Middle-Market Capital Corp., et al. | Investment Company Act Order | IC-35832
|
Co-Investment | |
| 812-15685 | Columbia Credit Income Opportunities Fund, et al. | Investment Company Act Order | IC-35831
|
Co-Investment | |
| 812-15798 | Monroe Capital Corporation, et al. | Investment Company Act Order | IC-35830
|
Co-Investment | |
| 812-15796 | 1WS Credit Income Fund, et al. | Investment Company Act Order | IC-35829
|
Co-Investment | |
| 812-15819 | Sardis Credit Opportunities Fund, et al. | Investment Company Act Notice | IC-35828
|
Multi-Class | |
| 812-15831 | NB Private Markets Access Fund LLC, et al. | Investment Company Act Notice | IC-35827
|
Co-Investment | |
| 812-15800 | Barings Corporate Investors, et al. | Investment Company Act Notice | IC-35826
|
Co-Investment |