812-14899 Oct. 23, 2018
Hedge Fund Guided Portfolio Solution, et al. Investment Company Act Order
33278
Multi-Class
812-14860 Oct. 23, 2018
BC Partners Lending Corporation, et al. Investment Company Act Order
33279
Co-Investment
812-14906 Oct. 22, 2018
Distillate Capital Partners LLC, et al. Investment Company Act Order
33276
Exchange Traded Funds - Index
812-14936 Oct. 22, 2018
Beyond Advisors IC, et al. Investment Company Act Notice
33277
Exchange Traded Funds - Index
812-14892 Oct. 17, 2018
Ares Credit and Income Trust and Ares Capital Management III LLC Investment Company Act Order
33275
Fund of Funds - Multi-Group
812-14771 Oct. 17, 2018
Procure ETF Trust I, et al. Investment Company Act Notice
33274
Exchange Traded Funds - Index
812-14772 Oct. 17, 2018
Procure Active ETF Trust, et al. Investment Company Act Notice
33273
Exchange Traded Funds - Active
812-14931 Oct. 16, 2018
Blackstone Real Estate Income Fund, et al. Investment Company Act Notice
33271
Co-Investment
812-14895 Oct. 12, 2018
Variant Alternative Income Fund and Variant Investments, LLC Investment Company Act Order
33269
Multi-Class
812-14862 Oct. 12, 2018
Audax Credit BDC Inc., et al. Investment Company Act Notice
33270
Co-Investment
812-14875 Oct. 11, 2018
Exact Sciences Corporation Investment Company Act Order
33267
Inadvertent Investment Companies - 3b2
812-14903 Oct. 11, 2018
Destra International & Event-Driven Credit Fund and Destra Capital Advisors LLC Investment Company Act Notice
33268
Multi-Class
812-14919 Oct. 10, 2018
Wealthn LLC and TigerShares Trust Investment Company Act Order
33266
Exchange Traded Funds - Index
812-14918 Oct. 5, 2018
Cushing Asset Management, LP et al. Investment Company Act Order
33264
Exchange Traded Funds - Index
812-14883 Oct. 5, 2018
Natixis Funds Trust I, et al. Investment Company Act Notice
33265
Multi-Manager - Voting & Disclosure
812-14923 Oct. 3, 2018
Vident Advisory, LLC et al. Investment Company Act Notice
33263
Exchange Traded Funds - Index
812-14767 Oct. 2, 2018
PIMCO Flexible Credit Income Fund, et al. Investment Company Act Order
33262
Multi-Class
812-14928 Sept. 28, 2018
Broadstone Real Estate Access Fund, et al. Investment Company Act Order
33258
Multi-Class
812-14899 Sept. 26, 2018
Hedge Fund Guided Portfolio Solution, et al. Investment Company Act Notice
33255
Multi-Class
812-14860 Sept. 26, 2018
BC Partners Lending Corporation, et al. Investment Company Act Notice
33256
Co-Investment
812-14906 Sept. 24, 2018
Distillate Capital Partners LLC, et al. Investment Company Act Notice
33244
Exchange Traded Funds - Index
812-14892 Sept. 21, 2018
Ares Credit and Income Trust and Ares Capital Management III LLC Investment Company Act Notice
33243
Fund of Funds - Multi-Group
812-14895 Sept. 20, 2018
Variant Alternative Income Fund and Variant Investments, LLC Investment Company Act Notice
33242
Multi-Class
812-14837 Sept. 19, 2018
Innovator ETFs Trust, et al. Investment Company Act Order
33238
Fund of Funds - Multi-Group
812-14807 Sept. 19, 2018
THL Credit, Inc., et al. Investment Company Act Order
33239
Co-Investment
812-14839 Sept. 18, 2018
Tortoise Capital Advisors, L.L.C., et al. Investment Company Act Order
33237
Co-Investment
812-14875 Sept. 14, 2018
Exact Sciences Corporation Investment Company Act Notice
33228
Inadvertent Investment Companies - 3b2
812-14831 Sept. 11, 2018
AXA Equitable Life Insurance Company, et al. Investment Company Act Order
33224
Insurance Products - Fund Substitution
812-14919 Sept. 11, 2018
Wealthn LLC and TigerShares Trust Investment Company Act Notice
33223
Exchange Traded Funds - Index
812-14928 Sept. 7, 2018
Broadstone Real Estate Access Fund, et al. Investment Company Act Notice
33220
Multi-Class
812-14767 Sept. 6, 2018
PIMCO Flexible Credit Income Fund, et al. Investment Company Act Notice
33219
Multi-Class
812-14838 Sept. 5, 2018
Thrivent Financial for Lutherans, et al. Investment Company Act Order
33217
Co-Investment
812-14837 Aug. 24, 2018
Innovator ETFs Trust, et al. Investment Company Act Notice
33214
Fund of Funds - Multi-Group
812-14807 Aug. 24, 2018
THL Credit, Inc., et al. Investment Company Act Notice
33213
Co-Investment
812-14833 Aug. 21, 2018
Advisors Asset Management, Inc. and ETF Series Solutions Investment Company Act Order
33207
Multi-Manager - Voting & Disclosure
812-14918 Aug. 21, 2018
Cushing Asset Management, LP et al. Investment Company Act Notice
33206
Exchange Traded Funds - Index
812-14839 Aug. 21, 2018
Tortoise Capital Advisors, L.L.C., et al. Investment Company Act Notice
33205
Co-Investment
812-14853 Aug. 20, 2018
OFI Carlyle Private Credit Fund and OC Private Capital, LLC Investment Company Act Order
33204
Multi-Class
812-14831 Aug. 15, 2018
AXA Equitable Life Insurance Company, et al. Investment Company Act Notice
33201
Insurance Products - Fund Substitution
812-14889 Aug. 14, 2018
IndexIQ ETF Trust, et al. Investment Company Act Order
33200
Exchange Traded Funds - Index
812-14838 Aug. 9, 2018
Thrivent Financial for Lutherans, et al. Investment Company Act Notice
33197
Co-Investment
812-14884 Aug. 7, 2018
DMS ETF Trust I, et al. Investment Company Act Order
33196
Multi-Manager - Voting & Disclosure
812-14926 Aug. 7, 2018
Charles Schwab & Co. Inc. and Charles Schwab Investment Management, Inc. Investment Company Act Order
33195
Ineligible - Disqualified Firm
812-14828 Aug. 6, 2018
SL Advisors, LLC and ETF Series Solutions Investment Company Act Order
33193
Multi-Manager - Voting & Disclosure
812-14829 Aug. 6, 2018
TriLine Index Solutions, LLC and ETF Series Solutions Investment Company Act Order
33192
Multi-Manager - Voting & Disclosure
812-14925 Aug. 6, 2018
AB Private Credit Investors Corp., et al. Investment Company Act Order
33191
Co-Investment
812-14886 Aug. 1, 2018
DMS ETF Trust I, et al. Investment Company Act Order
33189
Exchange Traded Funds - Index
812-14896 July 31, 2018
Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC Investment Company Act Order
33185
Distributions
812-14835 July 31, 2018
Blackstone / GSO Floating Rate Enhanced Income Fund, et al. Investment Company Act Order
33186
Co-Investment
812-14921 July 31, 2018
Altaba Inc. Investment Company Act Order
33187
Affiliated Sales & Purchases - In-Kind
812-14764 July 24, 2018
Goldman Sachs Trust, et al. Investment Company Act Order
33166
Fund of Funds - Multi-Group
812-14888 July 24, 2018
Motley Fool Asset Management, LLC and The RBB Fund, Inc. Investment Company Act Order
33167
Exchange Traded Funds - Active
812-14833 July 24, 2018
Advisors Asset Management, Inc. and ETF Series Solutions Investment Company Act Notice
33169
Multi-Manager - Voting & Disclosure
812-14853 July 24, 2018
OFI Carlyle Private Credit Fund and OC Private Capital, LLC Investment Company Act Notice
33168
Multi-Class
812-14879 July 23, 2018
Defiance ETFs, LLC, et al. Investment Company Act Order
33165
Exchange Traded Funds - Index
812-14889 July 19, 2018
IndexIQ ETF Trust, et al. Investment Company Act Notice
33163
Exchange Traded Funds - Index
812-14734 July 17, 2018
AXA Equitable Life Insurance Company, et al. Investment Company Act Order
33161
Insurance Products - Exchange Offer
812-14846 July 17, 2018
Impact Shares Trust I, et al. Investment Company Act Order
33160
Exchange Traded Funds - Index
812-14828 July 11, 2018
SL Advisors, LLC and ETF Series Solutions Investment Company Act Notice
33158
Multi-Manager - Voting & Disclosure
812-14829 July 11, 2018
TriLine Index Solutions, LLC and ETF Series Solutions Investment Company Act Notice
33159
Multi-Manager - Voting & Disclosure
812-14872 July 10, 2018
Sprott ETF Trust and Sprott Asset Management USA Inc. Investment Company Act Order
33155
Exchange Traded Funds - Index
812-14880 July 10, 2018
Aptus Capital Advisors, LLC and ETF Series Solutions Investment Company Act Order
33154
Exchange Traded Funds - Active
812-14884 July 10, 2018
DMS ETF Trust I, et al. Investment Company Act Notice
33156
Multi-Manager - Voting & Disclosure
812-14926 July 10, 2018
Charles Schwab & Co. Inc. and Charles Schwab Investment Management, Inc. Investment Company Act Notice
33157
Ineligible - Disqualified Firm
812-14925 July 9, 2018
AB Private Credit Investors Corp., et al. Investment Company Act Notice
33152
Co-Investment
812-14886 July 6, 2018
DMS ETF Trust I, et al. Investment Company Act Notice
33148
Exchange Traded Funds - Index
812-14835 July 6, 2018
Blackstone / GSO Floating Rate Enhanced Income Fund, et al. Investment Company Act Notice
33149
Co-Investment
812-14901 July 3, 2018
BlackRock Variable Series Funds, Inc., et al. Investment Company Act Order
33145
Insurance Products - Mixed and Shared Funding
812-14896 July 3, 2018
Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC Investment Company Act Notice
33147
Distributions
812-14921 July 3, 2018
Altaba Inc. Investment Company Act Notice
33146
Affiliated Sales & Purchases - In-Kind
812-14871 June 28, 2018
Sprott ETF Trust and Sprott Asset Management USA Inc. Investment Company Act Order
33138
Exchange Traded Funds - Active
812-14888 June 28, 2018
Motley Fool Asset Management, LLC and The RBB Fund, Inc. Investment Company Act Notice
33141
Exchange Traded Funds - Active
812-14764 June 27, 2018
Goldman Sachs Trust, et al. Investment Company Act Notice
33137
Fund of Funds - Multi-Group
812-14879 June 27, 2018
Defiance ETFs, LLC, et al. Investment Company Act Notice
33136
Exchange Traded Funds - Index
812-14846 June 21, 2018
Impact Shares Trust I, et al. Investment Company Act Notice
33134
Exchange Traded Funds - Index
812-14662 June 19, 2018
Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc. Investment Company Act Order
33127
Multi-Class
812-14885 June 19, 2018
DMS ETF Trust I, et al. Investment Company Act Order
33125
Exchange Traded Funds - Active
812-14734 June 19, 2018
AXA Equitable Life Insurance Company, et al. Investment Company Act Notice
33126
Insurance Products - Exchange Offer
812-14832 June 18, 2018
Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC Investment Company Act Order
33124
Interval Funds
812-14872 June 15, 2018
Sprott ETF Trust and Sprott Asset Management USA Inc. Investment Company Act Notice
33123
Exchange Traded Funds - Index
812-14815 June 13, 2018
PFM Multi-Manager Series Trust and PFM Asset Management LLC Investment Company Act Order
33121
Multi-Manager - Voting & Disclosure
812-14880 June 12, 2018
Aptus Capital Advisors, LLC and ETF Series Solutions Investment Company Act Notice
33120
Exchange Traded Funds - Active
812-14901 June 6, 2018
BlackRock Variable Series Funds, Inc., et al. Investment Company Act Notice
33119
Insurance Products - Mixed and Shared Funding
812-14819 June 5, 2018
Franklin Alternative Strategies Funds, et al. Investment Company Act Order
33117
Interfund Lending
812-14869 June 5, 2018
U.S. Global Investors, Inc. et al. Investment Company Act Order
33118
Exchange Traded Funds - Active
812-14871 June 1, 2018
Sprott ETF Trust and Sprott Asset Management USA Inc. Investment Company Act Notice
33112
Exchange Traded Funds - Active
812-14765 May 30, 2018
TCW Direct Lending LLC, et al. Investment Company Act Order
33110
Affiliated Sales & Purchases - In-Kind
812-14662 May 24, 2018
Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc. Investment Company Act Notice
33108
Multi-Class
812-14885 May 22, 2018
DMS ETF Trust I, et al. Investment Company Act Notice
33103
Exchange Traded Funds - Active
812-14521 May 21, 2018
BMO Exchange Traded Funds, et al. Investment Company Act Order
33102
Exchange Traded Funds - Index
812-14873 May 21, 2018
Redwood Investment Management, LLC and Two Roads Shared Trust Investment Company Act Order
33100
Exchange Traded Funds - Index
812-14857 May 21, 2018
The Swiss Helvetia Fund, Inc., et al. Investment Company Act Order
33099
Distributions
812-14832 May 21, 2018
Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC Investment Company Act Notice
33101
Interval Funds
812-14815 May 15, 2018
PFM Multi-Manager Series Trust and PFM Asset Management LLC Investment Company Act Notice
33098
Multi-Manager - Voting & Disclosure
812-14819 May 10, 2018
Franklin Alternative Strategies Funds, et al. Investment Company Act Notice
33095
Interfund Lending
812-14869 May 9, 2018
U.S. Global Investors, Inc. et al. Investment Company Act Notice
33092
Exchange Traded Funds - Active
812-14765 May 9, 2018
TCW Direct Lending LLC, et al. Investment Company Act Notice
33094
Affiliated Sales & Purchases - In-Kind
812-14851 May 1, 2018
Angel Oak Strategic Credit Fund and Angel Oak Capital Advisors, LLC Investment Company Act Order
33089
Multi-Class
812-14601 May 1, 2018
Benefit Street Partners BDC, Inc., et al. Investment Company Act Order
33090
Co-Investment
812-14873 April 26, 2018
Redwood Investment Management, LLC and Two Roads Shared Trust Investment Company Act Notice
33076A
Exchange Traded Funds - Index
