Investment Company Act Notices and Orders
See also Investment Company Act Deregistration Notices and Orders.
Investment Company Act Notices and Orders Table
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Release Number
|
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|---|---|---|---|---|---|
| File Number:812-15038 | Date: | Investment Company:Yieldstreet Prism Fund Inc., et al. | Type:Investment Company Act Order |
Release Number:34090
|
Category:Co-Investment |
| File Number:812-15177 | Date: | Investment Company:Upstart Holdings, Inc. | Type:Investment Company Act Notice |
Release Number:34088
|
Category:Inadvertent Investment Companies - 6c |
| File Number:812-15070 | Date: | Investment Company:Invesco Capital Management LLC, et al. | Type:Investment Company Act Notice |
Release Number:34087
|
Category:Exchange Traded Funds - Active |
| File Number:812-15159 | Date: | Investment Company:Snowflake, Inc. | Type:Investment Company Act Order |
Release Number:34085
|
Category:Inadvertent Investment Companies - 3b2 |
| File Number:812-15083 | Date: | Investment Company:Principal Diversified Select Real Asset Fund, et al. | Type:Investment Company Act Notice |
Release Number:34086
|
Category:Co-Investment |
| File Number:812-15164 | Date: | Investment Company:Development Bank of Japan Inc. | Type:Investment Company Act Order |
Release Number:34083
|
Category:Inadvertent Investment Companies - Foreign Banks/Insurance |
| File Number:812-15144 | Date: | Investment Company:First Eagle Credit Opportunities Fund, et al. | Type:Investment Company Act Notice |
Release Number:34080
|
Category:Multi-Class |
| File Number:812-15121 | Date: | Investment Company:New York Life Insurance and Annuity Corporation, Et Al | Type:Investment Company Act Notice |
Release Number:34079
|
Category:Insurance Products - Fund Substitution |
| File Number:812-15089 | Date: | Investment Company:Horizon Funds and Horizon Investments, LLC | Type:Investment Company Act Order |
Release Number:34077
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15142 | Date: | Investment Company:Frost Family of Funds and Frost Investment Advisors, LLC | Type:Investment Company Act Order |
Release Number:34074
|
Category:Interfund Lending |
| File Number:812-15141 | Date: | Investment Company:Invesco Capital Management LLC, et al. | Type:Investment Company Act Order |
Release Number:34076
|
Category:Exchange Traded Funds - Active |
| File Number:812-15100 | Date: | Investment Company:Investment Managers Series Trust II and AXS Investments LLC | Type:Investment Company Act Notice |
Release Number:34075
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15116 | Date: | Investment Company:Managed Portfolio Series and Tortoise Index Solutions, LLC | Type:Investment Company Act Notice |
Release Number:34072
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15172 | Date: | Investment Company:Goldman Sachs (Malaysia) Sdn. Bhd., et al. | Type:Investment Company Act Notice |
Release Number:34071
|
Category:Ineligible - Disqualified Firm |
| File Number:812-15145 | Date: | Investment Company:Arca U.S. Treasury Fund and Arca Capital Management, LLC | Type:Investment Company Act Order |
Release Number:34055
|
Category:Interval Funds |
| File Number:812-15163 | Date: | Investment Company:Deutsche Bank AG, et al. | Type:Investment Company Act Order |
Release Number:34053
|
Category:Ineligible - Disqualified Firm |
| File Number:812-15139 | Date: | Investment Company:Primark Private Equity Investments Fund and Primark Advisors LLC | Type:Investment Company Act Notice |
Release Number:34054
|
Category:Multi-Class |
| File Number:812-15104 | Date: | Investment Company:361 Social Infrastructure Fund and 361 Infrastructure Partners, LLC | Type:Investment Company Act Notice |
Release Number:34051
|
Category:Multi-Class |
| File Number:812-15038 | Date: | Investment Company:Yieldstreet Prism Fund Inc., et al. | Type:Investment Company Act Notice |
Release Number:34050
|
Category:Co-Investment |
| File Number:812-15159 | Date: | Investment Company:Snowflake, Inc. | Type:Investment Company Act Notice |
Release Number:34049
|
Category:Inadvertent Investment Companies - 3b2 |
| File Number:812-15108 | Date: | Investment Company:Rand Capital Corporation, et al. | Type:Investment Company Act Order |
Release Number:34046
|
Category:Co-Investment |
| File Number:812-15114 | Date: | Investment Company:GSO Asset Management LLC and Blackstone Private Credit Fund | Type:Investment Company Act Order |
Release Number:34044
|
Category:Multi-Class |
| File Number:812-15164 | Date: | Investment Company:Development Bank of Japan Inc. | Type:Investment Company Act Notice |
Release Number:34043
|
Category:Inadvertent Investment Companies - Foreign Banks/Insurance |
| File Number:812-15055 | Date: | Investment Company:Federated Hermes Adviser Series, et al. | Type:Investment Company Act Order |
Release Number:34040
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15089 | Date: | Investment Company:Horizon Funds and Horizon Investments, LLC | Type:Investment Company Act Notice |
Release Number:34039
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15141 | Date: | Investment Company:Invesco Capital Management LLC, et al. | Type:Investment Company Act Notice |
Release Number:34041
|
Category:Exchange Traded Funds - Active |
| File Number:812-14997 | Date: | Investment Company:1WS Credit Income Fund, et al. | Type:Investment Company Act Order |
Release Number:34036
|
Category:Co-Investment |
| File Number:812-15147 | Date: | Investment Company:Resource Credit Income Fund and Sierra Crest Investment Management LLC | Type:Investment Company Act Order |
Release Number:34033
|
Category:Multi-Class |
| File Number:812-15142 | Date: | Investment Company:Frost Family of Funds and Frost Investment Advisors, LLC | Type:Investment Company Act Notice |
Release Number:34031
|
Category:Interfund Lending |
| File Number:812-15133 | Date: | Investment Company:Blackrock ETF Trust III, et al. | Type:Investment Company Act Order |
Release Number:34030
|
Category:Exchange Traded Funds - Active |
| File Number:812-15145 | Date: | Investment Company:Arca U.S. Treasury Fund and Arca Capital Management, LLC | Type:Investment Company Act Notice |
Release Number:34026
|
Category:Interval Funds |
| File Number:812-15163 | Date: | Investment Company:Deutsche Bank AG, et al. | Type:Investment Company Act Notice |
Release Number:34025
|
Category:Ineligible - Disqualified Firm |
| File Number:812-15123 | Date: | Investment Company:Spinnaker ETF Series, et al. | Type:Investment Company Act Order |
Release Number:34018
|
Category:Exchange Traded Funds - Active |
| File Number:812-15057 | Date: | Investment Company:Morgan Stanley Direct Lending Fund, et al. | Type:Investment Company Act Order |
Release Number:34016
|
Category:Co-Investment |
| File Number:812-15115 | Date: | Investment Company:Principal Funds, Inc., et al. | Type:Investment Company Act Order |
Release Number:34013
|
Category:Non-In-Person Board Meetings |
| File Number:812-15095 | Date: | Investment Company:Owl Rock Capital Corporation II, et al. | Type:Investment Company Act Order |
Release Number:34012
|
Category:Multi-Class |
| File Number:812-15114 | Date: | Investment Company:GSO Asset Management LLC and Blackstone Private Credit Fund | Type:Investment Company Act Notice |
Release Number:34011
|
Category:Multi-Class |
| File Number:812-15108 | Date: | Investment Company:Rand Capital Corporation, et al. | Type:Investment Company Act Notice |
Release Number:34006
|
Category:Co-Investment |
| File Number:812-14997 | Date: | Investment Company:1WS Credit Income Fund, et al. | Type:Investment Company Act Notice |
Release Number:33959A
|
Category:Co-Investment |
| File Number:812-15055 | Date: | Investment Company:Federated Hermes Adviser Series, et al. | Type:Investment Company Act Notice |
Release Number:34002
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15147 | Date: | Investment Company:Resource Credit Income Fund and Sierra Crest Investment Management LLC | Type:Investment Company Act Notice |
Release Number:34001
|
Category:Multi-Class |
| File Number:812-15133 | Date: | Investment Company:Blackrock ETF Trust III, et al. | Type:Investment Company Act Notice |
Release Number:34000
|
Category:Exchange Traded Funds - Active |
| File Number:812-15123 | Date: | Investment Company:Spinnaker ETF Series, et al. | Type:Investment Company Act Notice |
Release Number:33998
|
Category:Exchange Traded Funds - Active |
| File Number:812-15057 | Date: | Investment Company:Morgan Stanley Direct Lending Fund, et al. | Type:Investment Company Act Notice |
Release Number:33958A
|
Category:Co-Investment |
| File Number:812-15115 | Date: | Investment Company:Principal Funds, Inc., et al. | Type:Investment Company Act Notice |
Release Number:33973
|
Category:Non-In-Person Board Meetings |
| File Number:812-15095 | Date: | Investment Company:Owl Rock Capital Corporation II, et al. | Type:Investment Company Act Notice |
Release Number:33972
|
Category:Multi-Class |
| File Number:812-15122 | Date: | Investment Company:Spinnaker ETF Series, et al. | Type:Investment Company Act Order |
Release Number:33969
|
Category:Exchange Traded Funds - Active |
| File Number:812-14987 | Date: | Investment Company:FS Global Credit Opportunities Fund, et al. | Type:Investment Company Act Order |
Release Number:33968
|
Category:Co-Investment |
| File Number:812-15105 | Date: | Investment Company:Runway Growth Credit Fund, Inc., et al. | Type:Investment Company Act Order |
Release Number:33967
|
Category:Co-Investment |
| File Number:812-15093 | Date: | Investment Company:J.P. Morgan Exchange-Traded Fund Trust, et al. | Type:Investment Company Act Order |
Release Number:33965
|
Category:Exchange Traded Funds - Active |
| File Number:812-14909 | Date: | Investment Company:OFS Capital Corp., et al. | Type:Investment Company Act Order |
Release Number:33962
|
Category:Co-Investment |
| File Number:812-15051 | Date: | Investment Company:Aspiriant Defensive Allocation Fund and Aspiriant LLC | Type:Investment Company Act Order |
Release Number:33961
|
Category:Interval Funds |
| File Number:812-15073 | Date: | Investment Company:Keystone Private Income Fund and Keystone National Group, LLC | Type:Investment Company Act Order |
Release Number:33957
|
Category:Multi-Class |
| File Number:812-15057 | Date: | Investment Company:Morgan Stanley Direct Lending Fund, et al. | Type:Investment Company Act Notice |
Release Number:33958
|
Category:Co-Investment |
| File Number:812-14997 | Date: | Investment Company:1WS Credit Income Fund, et al. | Type:Investment Company Act Notice |
Release Number:33959
|
Category:Co-Investment |
| File Number:812-15072 | Date: | Investment Company:Conversus Stepstone Private Markets, et al. | Type:Investment Company Act Order |
Release Number:33930
|
Category:Co-Investment |
| File Number:812-15122 | Date: | Investment Company:Spinnaker ETF Series, et al. | Type:Investment Company Act Notice |
Release Number:33929
|
Category:Exchange Traded Funds - Active |
| File Number:812-14987 | Date: | Investment Company:FS Global Credit Opportunities Fund, et al. | Type:Investment Company Act Notice |
Release Number:33927
|
Category:Co-Investment |
| File Number:812-15098 | Date: | Investment Company:Hamilton Lane Private Assets Fund and Hamilton Lane Advisors, L.L.C. | Type:Investment Company Act Order |
Release Number:33926
|
Category:Multi-Class |
| File Number:812-15105 | Date: | Investment Company:Runway Growth Credit Fund, Inc., et al. | Type:Investment Company Act Notice |
Release Number:33925
|
Category:Co-Investment |
| File Number:812-15051 | Date: | Investment Company:Aspiriant Defensive Allocation Fund and Aspiriant LLC | Type:Investment Company Act Notice |
Release Number:33924
|
Category:Interval Funds |
| File Number:812-15093 | Date: | Investment Company:J.P. Morgan Exchange-Traded Fund Trust, et al. | Type:Investment Company Act Notice |
Release Number:33923
|
Category:Exchange Traded Funds - Active |
| File Number:812-14909 | Date: | Investment Company:OFS Capital Corp., et al. | Type:Investment Company Act Notice |
Release Number:33922
|
Category:Co-Investment |
| File Number:812-14722 | Date: | Investment Company:Allianz Life Insurance Company of North America, et al | Type:Investment Company Act Order |
Release Number:33916
|
Category:Insurance Products - Fund Substitution |
| File Number:812-15073 | Date: | Investment Company:Keystone Private Income Fund and Keystone National Group, LLC | Type:Investment Company Act Notice |
Release Number:33917
|
Category:Multi-Class |
| File Number:812-15072 | Date: | Investment Company:Conversus Stepstone Private Markets, et al. | Type:Investment Company Act Notice |
Release Number:33913
|
Category:Co-Investment |
| File Number:812-15098 | Date: | Investment Company:Hamilton Lane Private Assets Fund and Hamilton Lane Advisors, L.L.C. | Type:Investment Company Act Notice |
Release Number:33896
|
Category:Multi-Class |
| File Number:812-15076 | Date: | Investment Company:Sutter Rock Capital Corp. | Type:Investment Company Act Order |
Release Number:33894
|
Category:Business Development Companies - Compensation |
| File Number:812-15059 | Date: | Investment Company:Varagon Capital Corporation, et al. | Type:Investment Company Act Order |
Release Number:33892
|
Category:Co-Investment |
| File Number:812-15051 | Date: | Investment Company:Aspiriant Defensive Allocation Fund and Aspiriant LLC | Type:Investment Company Act Notice |
Release Number:33893
|
Category:Interval Funds |
| File Number:812-14774-02 | Date: | Investment Company:USCF Advisers LLC, et al. | Type:Investment Company Act Order |
Release Number:33887
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15075 | Date: | Investment Company:First Trust Series Fund, et. al. | Type:Investment Company Act Order |
Release Number:33888
|
Category:Interfund Lending |
| File Number:812-15008 | Date: | Investment Company:Legg Mason Partners Equity Trust, et al. | Type:Investment Company Act Order |
Release Number:33873
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-14866 | Date: | Investment Company:Principal Funds, Inc. et al. | Type:Investment Company Act Order |
Release Number:33886
|
Category:Affiliated Sales & Purchases - Other |
| File Number:812-15117 | Date: | Investment Company:The Alger ETF Trust, et al. | Type:Investment Company Act Order |
Release Number:33869
|
Category:Exchange Traded Funds - Active |
| File Number:812-15061 | Date: | Investment Company:Invesco Advisers, Inc., et al. | Type:Investment Company Act Order |
Release Number:33870
|
Category:Co-Investment |
| File Number:812-14905 | Date: | Investment Company:FS Credit Income Fund, et al. | Type:Investment Company Act Order |
Release Number:33871
|
Category:Co-Investment |
| File Number:812-15076 | Date: | Investment Company:Sutter Rock Capital Corp. | Type:Investment Company Act Notice |
Release Number:33868
|
Category:Business Development Companies - Compensation |
| File Number:812-15059 | Date: | Investment Company:Varagon Capital Corporation, et al. | Type:Investment Company Act Notice |
Release Number:33867
|
Category:Co-Investment |
| File Number:812-15049 | Date: | Investment Company:Capitol Series Trust and Cornerstone Capital Inc. | Type:Investment Company Act Order |
Release Number:33865
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15067 | Date: | Investment Company:KKR Credit Opportunities Portfolio and KKR Credit Advisors (US) LLC | Type:Investment Company Act Order |
Release Number:33863
|
Category:Multi-Class |
| File Number:812-15082 | Date: | Investment Company:American Century ETF Trust, et al. | Type:Investment Company Act Order |
Release Number:33862
|
Category:Exchange Traded Funds - Active |
| File Number:812-15019 | Date: | Investment Company:Great Elm Capital Corp., et al. | Type:Investment Company Act Order |
Release Number:33864
|
Category:Co-Investment |
| File Number:812-14774-02 | Date: | Investment Company:USCF Advisers LLC, et al. | Type:Investment Company Act Notice |
Release Number:33859
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15075 | Date: | Investment Company:First Trust Series Fund, et. al. | Type:Investment Company Act Notice |
Release Number:33857
|
Category:Interfund Lending |
| File Number:812-15043 | Date: | Investment Company:Daxor Corporation | Type:Investment Company Act Order |
Release Number:33854
|
Category:Other |
| File Number:812-15008 | Date: | Investment Company:Legg Mason Partners Equity Trust, et al. | Type:Investment Company Act Notice |
Release Number:33853
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15074 | Date: | Investment Company:Conversus StepStone Private Markets and StepStone Conversus LLC | Type:Investment Company Act Order |
Release Number:33851
|
Category:Multi-Class |
| File Number:812-15117 | Date: | Investment Company:The Alger ETF Trust, et al. | Type:Investment Company Act Notice |
Release Number:33852
|
Category:Exchange Traded Funds - Active |
| File Number:812-15062 | Date: | Investment Company:Guinness Atkinson Funds and Guinness Atkinson Asset Management, Inc. | Type:Investment Company Act Order |
Release Number:33849
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:813-00389 | Date: | Investment Company:Two Sigma Investments, LP and Two Sigma Luna, LLC | Type:Investment Company Act Order |
Release Number:33846
|
Category:Employees Securities Company |
| File Number:812-15047 | Date: | Investment Company:AIP Private Equity Opportunities Fund I A LP, et al. | Type:Investment Company Act Order |
Release Number:33850
|
Category:Co-Investment |
| File Number:812-14905 | Date: | Investment Company:FS Credit Income Fund, et al. | Type:Investment Company Act Notice |
Release Number:33848
|
Category:Co-Investment |
| File Number:812-15061 | Date: | Investment Company:Invesco Advisers, Inc., et al. | Type:Investment Company Act Notice |
Release Number:33844
|
Category:Co-Investment |
| File Number:812-14866 | Date: | Investment Company:Principal Funds, Inc. et al. | Type:Investment Company Act Notice |
Release Number:33843
|
Category:Affiliated Sales & Purchases - Other |
| File Number:812-15049 | Date: | Investment Company:Capitol Series Trust and Cornerstone Capital Inc. | Type:Investment Company Act Notice |
Release Number:33842
|
Category:Multi-Manager - Voting & Disclosure |
| File Number:812-15067 | Date: | Investment Company:KKR Credit Opportunities Portfolio and KKR Credit Advisors (US) LLC | Type:Investment Company Act Notice |
Release Number:33840
|
Category:Multi-Class |
| File Number:812-15082 | Date: | Investment Company:American Century ETF Trust, et al. | Type:Investment Company Act Notice |
Release Number:33841
|
Category:Exchange Traded Funds - Active |
| File Number:812-15019 | Date: | Investment Company:Great Elm Capital Corp., et al. | Type:Investment Company Act Notice |
Release Number:33839
|
Category:Co-Investment |
| File Number:812-15034 | Date: | Investment Company:Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC. | Type:Investment Company Act Order |
Release Number:33834
|
Category:Exchange Traded Funds - Active |