33857
April 28, 2020
812-15075
First Trust Series Fund, et. al. Federal Register version (85 FR 26507)
33853
April 24, 2020
812-15008
Legg Mason Partners Equity Trust, et al.; Notice of Application Federal Register version (85 FR 24061)
33852
April 23, 2020
812-15117
The Alger ETF Trust, et al. Federal Register version (85 FR 23878)
33848
April 22, 2020
812-14905
FS Credit Income Fund, et al. Federal Register version (85 FR 23553)
33844
April 21, 2020
812-15061
Invesco Advisers, Inc., et al.
33843
April 21, 2020
812-14866
Principal Funds, Inc. et al. Federal Register version (85 FR 23398)
33842
April 17, 2020
812-15049
Capitol Series Trust and Cornerstone Capital Inc. Federal Register version (85 FR 22761)
33840
April 16, 2020
812-15067
KKR Credit Opportunities Portfolio and KKR Credit Advisors (US) LLC Federal Register version (85 FR 22475)
33841
April 16, 2020
812-15082
American Century ETF Trust, et al. Federal Register version (85 FR 22478)
33839
April 15, 2020
812-15019
Great Elm Capital Corp., et al. Federal Register version (85 FR 22217)
33818
March 16, 2020
812-15047
AIP Private Equity Opportunities Fund I A LP, et al. Federal Register version (85 FR 16166)
33816
March 13, 2020
812-15043
Daxor Corporation; Notice of Application Federal Register version (85 FR 15844)
33815
March 12, 2020
812-15074
Conversus StepStone Private Markets and StepStone Conversus LLC; Notice of Application Federal Register version (85 FR 15530)
33813
March 10, 2020
812-15062
Guinness Atkinson Funds and Guinness Atkinson Asset Management, Inc.; Notice of Application Federal Register version (85 FR 14989)
33811
March 5, 2020
813-00389
Two Sigma Investments, LP and Two Sigma Luna, LLC Federal Register version (85 FR 14257)
33800
Feb. 19, 2020
812-15037
Prospect Capital Management L.P., et al. Federal Register version (85 FR 10774)
33799
Feb. 19, 2020
812-15088
ETF Managers Trust and ETF Managers Group LLC Federal Register version (85 FR 10794)
33794
Jan. 29, 2020
812-14383-09
FS Energy and Power Fund and FS/EIG Advisor, LLC Federal Register version (85 FR 6242)
33748
Jan. 21, 2020
812-15007
Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC; Notice of Application Federal Register version (85 FR 4344)
33746
Jan. 14, 2020
812-14949
First Eagle BDC, LLC, et al. Federal Register version (85 FR 3449)
33743
Jan. 9, 2020
812-15081
Goldman Sachs Real Estate Diversified Income Fund, et al. Federal Register version (85 FR 2465)
33742
Jan. 8, 2020
812-14940
Kayne Anderson MLP/Midstream Investment Company, et al. Federal Register version (85 FR 1840)
33739
Dec. 31, 2019
812-15040
Fundrise Real Estate Interval Fund, LLC, et al. Federal Register version (85 FR 538)
33721
Dec. 20, 2019
812-14722
Allianz Life Insurance Company of North America, et al; Notice of Application Federal Register version (84 FR 71482)
33721
Dec. 20, 2019
812-14722
Allianz Life Insurance Company of North America, et al; Notice of Application Federal Register version (84 FR 71482)
33716
Dec. 16, 2019
812-14977
Prospect Capital Corporation, et al. Federal Register version (84 FR 70245)
33709
Dec. 3, 2019
813-00394
Lazard Asset Management LLC and Lazard ESC Funds LLC Federal Register version (84 FR 67318)
33707
Dec. 2, 2019
812-14967
Blackstone Alternative Alpha Fund, et al. Federal Register version (84 FR 66943)
33703
Nov. 22, 2019
812-15021
Blackstone Alternative Alpha Fund, et al. Federal Register version (84 FR 65433)
33702
Nov. 21, 2019
812-14957
North Square Investments Trust, et al.; Notice of Application Federal Register version (84 FR 65197)
33687
Nov. 18, 2019
812-14626-01
AMG Pantheon Master Fund, LLC, et al. Federal Register version (84 FR 64595)
33682
Nov. 14, 2019
812-14625
Blue Tractor ETF Trust and Blue Tractor Group, LLC; Notice of Application Federal Register version (84 FR 64129)
33683
Nov. 14, 2019
812-14364
Fidelity Beach Street Trust, et al.; Notice of Application Federal Register version (84 FR 64140)
33684
Nov. 14, 2019
812-14870
Natixis ETF Trust II, et al.; Notice of Application Federal Register version (84 FR 64153)
33685
Nov. 14, 2019
812-14214
T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc.; Notice of Application Federal Register version (84 FR 64117)
33681
Nov. 5, 2019
812-15036
Gabelli ETFs Trust, et al.
33678
Oct. 29, 2019
812-15060
OSI ETF Trust and O'Shares Investment Advisers, LLC; Notice of Application Federal Register version (84 FR 58769)
33675
Oct. 23, 2019
812-15052
MassMutual Select Funds, et al. Federal Register version (84 FR 57926)
33654
Oct. 2, 2019
812-15033
Mutual of America Life Insurance Company, et al. Federal Register version (84 FR 53482)
33653
Oct. 2, 2019
812-14993
Calvert Fund, et al. Federal Register version (84 FR 53507)
33631
Sept. 24, 2019
812-15034
Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC Federal Register version (84 FR 51217)
33630
Sept. 23, 2019
812-15001
CIM Real Assets & Credit Fund, et al. Federal Register version (84 FR 50869)
33624
Sept. 12, 2019
812-15030
New Mountain Finance Corporation, et al. Federal Register version (84 FR 49142)
33622
Sept. 11, 2019
812-15031
ETFis Series Trust I, et al.
33616
Sept. 4, 2019
812-14988
Diamond Hill Funds and Diamond Hill Capital Management, Inc. Federal Register version (84 FR 47562)
33610
Aug. 27, 2019
812-15004
Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC Federal Register version (84 FR 45810)
33606
Aug. 21, 2019
812-14998
New Age Alpha Advisors, LLC and New Age Alpha Trust Federal Register version (84 FR 44652)
33590
Aug. 14, 2019
812-15035
American Century ETF Trust, et al. Federal Register version (84 FR 43240)
33588
Aug. 12, 2019
812-15012
Collaborative Investment Series Trust and Tactical Fund Advisors, LLC; Notice of Application Federal Register version (84 FR 42028)
33587
Aug. 12, 2019
812-15041
Forum Funds, et al. Federal Register version (84 FR 41760)
33580
July 30, 2019
812-15022
Alaia Capital, LLC and m+ ETF Trust Federal Register version (84 FR 37936)
33579
July 29, 2019
812-15014
ETF Opportunities Trust, et al.; Notice of Application Federal Register version (84 FR 37695)
33576
July 24, 2019
812-15026
Liquid Strategies, LLC and Listed Funds Trust Federal Register version (84 FR 36976)
33563
July 23, 2019
812-15010
PFS Funds and Castle Investment Management, LLC.; Notice of Application Federal Register version (84 FR 36635)
33566
July 23, 2019
812-14911
The Guardian Insurance & Annuity Company, Inc., et al. Federal Register version (84 FR 36636)
33564
July 23, 2019
812-14983
Zacks Investment Management, Inc. and Zacks Trust Federal Register version (84 FR 36649)
33565
July 23, 2019
812-14984
Zacks Investment Management, Inc. and Zacks Trust Federal Register version (84 FR 36647)
33556
July 16, 2019
812-14964
1WS Credit Income Fund and 1WS Capital Advisers, LLC
33554
July 15, 2019
812-14856
Voya Retirement Insurance and Annuity Company et al; Notice of Application Federal Register version (84 FR 34984)
33551
July 11, 2019
812-15032
Northern Lights Fund Trust III, et al.
33535
June 27, 2019
812-15039
WicShares Trust and Water Island Capital, LLC; Notice of Application Federal Register version (84 FR 31644)
33516
June 20, 2019
812-14991
Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds Federal Register version (84 FR 30254)
33513
June 19, 2019
812-14962
Lord Abbett Credit Opportunities Fund, et al. Federal Register version (84 FR 29919)
33508
June 13, 2019
812-14968
Axonic Alternative Income Fund and Axonic Capital LLC Federal Register version (84 FR 28375)
33509
June 13, 2019
812-14854
Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC Federal Register version (84 FR 28605)
33507
June 12, 2019
812-14994
Wahed Invest LLC, et al. Federal Register version (84 FR 28366)
33506
June 12, 2019
812-15018
Pioneer ETF Series Trust I, et al. Federal Register version (84 FR 28361)
33505
June 12, 2019
812-15000
Vertical Capital Income Fund and Oakline Advisors, LLC Federal Register version (84 FR 28374)
33497
May 31, 2019
812-14915
Cresset Private Markets Opportunity Fund and Cresset SPG, LLC Federal Register version (84 FR 26489)
33495
May 30, 2019
812-14791
Columbia Funds Series Trust, et al. Federal Register version (84 FR 25862)
33493
May 28, 2019
812-14917
John Hancock GA Mortgage Trust, et al. Federal Register version (84 FR 25587)
33492
May 23, 2019
813-00391
Tudor Investment Corporation and Tudor Employee Investment Fund LLC Federal Register version (84 FR 24846)
33480
May 21, 2019
812-14955
BlackRock Capital Investment Corporation, et al. Federal Register version (84 FR 24553)
33475
May 15, 2019
812-14898
Nuveen Churchill BDC LLC, et al. Federal Register version (84 FR 23114)
33472
May 10, 2019
812-14953
Collaborative Investment Series Trust and Belpointe Asset Management, LLC Federal Register version (84 FR 22201)
33470
May 8, 2019
812-14975
Ellington Income Opportunities Fund, et al. Federal Register version (84 FR 21365)
33469
May 8, 2019
812-14996
Toroso Investments, LLC and Tidal ETF Trust; Notice of Application Federal Register version (84 FR 20933)
33468
May 7, 2019
812-14894
ALPS Variable Investment Trust, et al. Federal Register version (84 FR 20914)
33464
May 2, 2019
812-14194-03
Carillon Series Trust, et al.; Notice of Application Federal Register version (84 FR 19980)
33452
April 23, 2019
812-14943
Symmetry Panoramic Trust and Symmetry Partners, LLC; Notice of Application Federal Register version (84 FR 18099)
33450
April 23, 2019
812-14995
M-CAM International LLC, et al. Federal Register version (84 FR 17899)
33449
April 17, 2019
812-14970
Putnam Managed Municipal Income Trust, et al. Federal Register version (84 FR 16920)
33447
April 15, 2019
812-14868
Eaton Vance Growth Trust, et al. Federal Register version (84 FR 16291)
33446
April 12, 2019
812-14981
Roundhill Financial LLC and Listed Funds Trust Federal Register version (84 FR 16061)
33441
April 8, 2019
812-14932
Principal Diversified Select Income Fund, Principal Diversified Select Real Asset Fund, and Principal Global Investors, LLC Federal Register version (84 FR 15022)
33440
April 8, 2019
812-14405
Precidian ETFs Trust, et al.; Notice of Application Federal Register version (84 FR 14690)
33431
March 28, 2019
812-14944
iM Global Partner US LLC and Manager Directed Portfolios; Notice of Application Federal Register version (84 FR 13081)
33404
March 20, 2019
812-15011
Wells Fargo Securities, LLC, et al. Federal Register version (84 FR 11371)
33399
March 14, 2019
812-15009
Lyft, Inc. Federal Register version (84 FR 10156)
33395
March 11, 2019
812-14929
O'Shaughnessy Asset Management, LLC, et al. Federal Register version (84 FR 9575)
33393
March 8, 2019
812-14959
American Beacon Sound Point Enhanced Income Fund, et al. Federal Register version (84 FR 9172)
33392
March 7, 2019
812-14980
TigerShares Trust, et al. Federal Register version (84 FR 9166)
33388
March 5, 2019
812-14956
BlackRock Credit Strategies Fund, et al. Federal Register version (84 FR 8550)
33389
March 5, 2019
812-14990
Macquarie Global Infrastructure Total Return Fund Inc., et al. Federal Register version (84 FR 8768)
33385
March 1, 2019
812-14938
Infusive US Trust, et al.; Notice of Application Federal Register version (84 FR 8345)
33379
Feb. 21, 2019
812-14881
Monteagle Funds and Nashville Capital Corporation Federal Register version (84 FR 6183)
33378
Feb. 21, 2019
812-14939
Toroso Investments, LLC and Tidal ETF Trust Federal Register version (84 FR 6186)
33380
Feb. 21, 2019
812-14954
Acquirers Funds, LLC, et al. Federal Register version (84 FR 6184)
33381
Feb. 21, 2019
812-14887
OBP Capital LLC, et al.; Notice of Application Federal Register version (84 FR 6457)
33377
Feb. 19, 2019
812-14850
CM Finance Inc, et al. Federal Register version (84 FR 6031)
