34103
Nov. 23, 2020
812-14979
Main Street Capital Corporation, et al. Federal Register version (85 FR 76121)
34099
Nov. 18, 2020
812-15156
Oaktree Strategic Income II, Inc., et al. Federal Register version (85 FR 75085)
34095
Nov. 13, 2020
812-15155
Northern Funds and Northern Trust Investments, Inc. Federal Register version (85 FR 73836)
34094
Nov. 13, 2020
812-15150
NB Crossroads Private Markets Access Fund LLC and Neuberger Berman Investment Advisers LLC Federal Register version (85 FR 73838)
34092
Nov. 12, 2020
812-15146
AdvisorShares Trust, et al. Federal Register version (85 FR 73321)
34088
Nov. 9, 2020
812-15177
Upstart Holdings, Inc. Federal Register version (85 FR 72718)
34087
Nov. 6, 2020
812-15070
Invesco Capital Management LLC, et al.; Notice of Application Federal Register version (85 FR 72712)
34086
Nov. 4, 2020
812-15083
Principal Diversified Select Real Asset Fund, et al. Federal Register version (85 FR 71696)
34080
Oct. 30, 2020
812-15144
First Eagle Credit Opportunities Fund, et al. Federal Register version (85 FR 70208)
34079
Oct. 30, 2020
812-15121
New York Life Insurance and Annuity Corporation, et al; Notice of Application Federal Register version (85 FR 70213)
34075
Oct. 27, 2020
812-15100
Investment Managers Series Trust II and AXS Investments LLC Federal Register version (85 FR 69367)
34072
Oct. 26, 2020
812-15116
Managed Portfolio Series and Tortoise Index Solutions, LLC Federal Register version (85 FR 68937)
34071
Oct. 22, 2020
812-15172
Goldman Sachs (Malaysia) Sdn. Bhd., et al.
34054
Oct. 20, 2020
812-15139
Primark Private Equity Investments Fund and Primark Advisors LLC Federal Register version (85 FR 67791)
34051
Oct. 15, 2020
812-15104
361 Social Infrastructure Fund and 361 Infrastructure Partners, LLC Federal Register version (85 FR 67034)
34050
Oct. 15, 2020
812-15038
YieldStreet Prism Fund Inc., et al. Federal Register version (85 FR 67080)
34049
Oct. 9, 2020
812-15159
Snowflake, Inc. Federal Register version (85 FR 65449)
34043
Oct. 5, 2020
812-15164
Development Bank of Japan Inc. Federal Register version (85 FR 64179)
34039
Oct. 1, 2020
812-15089
Horizon Funds and Horizon Investments, LLC Federal Register version (85 FR 63302)
34041
Oct. 1, 2020
812-15141
Invesco Capital Management LLC, et al. Federal Register version (85 FR 63325)
34031
Sept. 29, 2020
812-15142
Frost Family of Funds and Frost Investment Advisors, LLC Federal Register version (85 FR 62356)
34026
Sept. 24, 2020
812-15145
Arca U.S. Treasury Fund and Arca Capital Management, LLC Federal Register version (85 FR 61787)
34025
Sept. 24, 2020
812-15163
Deutsche Bank AG, et al. Federal Register version (85 FR 61789)
34011
Sept. 14, 2020
812-15114
GSO Asset Management LLC and Blackstone Private Credit Fund Federal Register version (85 FR 58413)
34006
Sept. 11, 2020
812-15108
Rand Capital Corporation, et al. Federal Register version (85 FR 58082)
33959A
Sept. 4, 2020
812-14997
1WS Credit Income Fund, et al. Federal Register version (85 FR 55919)
34002
Sept. 2, 2020
812-15055
Federated Hermes Adviser Series, et al.; Notice of Application Federal Register version (85 FR 55719)
34001
Sept. 2, 2020
812-15147
Resource Credit Income Fund and Sierra Crest Investment Management LLC Federal Register version (85 FR 55706)
34000
Aug. 31, 2020
812-15133
BlackRock ETF Trust III, et al. Federal Register version (85 FR 55339)
33998
Aug. 28, 2020
812-15123
Spinnaker ETF Series, et al. Federal Register version (85 FR 54598)
33958A
Aug. 28, 2020
812-15057
Morgan Stanley Direct Lending Fund, et al. Federal Register version (85 FR 54600)
33973
Aug. 19, 2020
812-15115
Principal Funds, Inc., et al.; Notice of Application Federal Register version (85 FR 52399)
33972
Aug. 17, 2020
812-15095
Owl Rock Capital Corporation II, et al. Federal Register version (85 FR 51807)
33958
July 28, 2020
812-15057
Morgan Stanley Direct Lending Fund, et al. Federal Register version (85 FR 46747)
33959
July 28, 2020
812-14997
1WS Credit Income Fund, et al. Federal Register version (85 FR 46755)
33929
July 17, 2020
812-15122
Spinnaker ETF Series, et al. Federal Register version (85 FR 44559)
33927
July 15, 2020
812-14987
FS Global Credit Opportunities Fund, et al. Federal Register version (85 FR 44117)
33925
July 13, 2020
812-15105
Runway Growth Credit Fund, Inc., et al. Federal Register version (85 FR 43614)
33924
July 10, 2020
812-15051
Aspiriant Defensive Allocation Fund and Aspiriant LLC Federal Register version (85 FR 42962)
33923
July 10, 2020
812-15093
J.P. Morgan Exchange-Traded Fund Trust, et al. Federal Register version (85 FR 42926)
33922
July 8, 2020
812-14909
OFS Capital Corp., et al. Federal Register version (85 FR 42466)
33917
July 1, 2020
812-15073
Keystone Private Income Fund and Keystone National Group, LLC Federal Register version (85 FR 41073)
33913
June 25, 2020
812-15072
Conversus StepStone Private Markets, et al. Federal Register version (85 FR 39652)
33896
June 17, 2020
812-15098
Hamilton Lane Private Assets Fund and Hamilton Lane Advisors, L.L.C. Federal Register version (85 FR 37703)
33893
June 15, 2020
812-15051
Aspiriant Defensive Allocation Fund and Aspiriant LLC
33868
May 19, 2020
812-15076
Sutter Rock Capital Corp. Federal Register version (85 FR 31575)
33867
May 18, 2020
812-15059
Varagon Capital Corporation, et al. Federal Register version (85 FR 31257)
33859
April 30, 2020
812-14774-02
USCF Advisers LLC, et al. Federal Register version (85 FR 26760)
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)
