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)
33374
Feb. 13, 2019
812-14974
Pacer Funds Trust, Pacer Advisors, Inc. and Pacer Financial, Inc. Federal Register version (84 FR 5125)
33371
Feb. 8, 2019
812-14985
Victory Capital Management Inc., et al. Federal Register version (84 FR 3836)
33372
Feb. 8, 2019
812-14891
Pharos Capital BDC, Inc., et al. Federal Register version (84 FR 4116)
33369
Feb. 6, 2019
812-14986
Victory Capital Management Inc. et al. Federal Register version (84 FR 3269)
33368
Feb. 6, 2019
812-14965
Yleana Advisors, LLC and Yleana Trust Federal Register version (84 FR 3263)
33370
Feb. 6, 2019
812-14966
Yleana Advisors, LLC and Yleana Trust Federal Register version (84 FR 3267)
33367
Feb. 4, 2019
812-14937
Special Opportunities Fund, Inc. and Bulldog Investors, LLC Federal Register version (84 FR 2937)
33343
Dec. 21, 2018
812-14812
AQR Trust and AQR Capital Management, LLC; Notice of Application Federal Register version (83 FR 67438)
33342
Dec. 21, 2018
812-14811
AQR Trust and AQR Capital Management, LLC; Notice of Application Federal Register version (83 FR 67441)
33341
Dec. 21, 2018
812-14910
Hercules Capital, Inc. Federal Register version (83 FR 67447)
33334
Dec. 20, 2018
812-14947
TigerShares Trust, et al.; Notice of Application Federal Register version (83 FR 67417)
33331
Dec. 19, 2018
812-14958
Timothy Plan and Timothy Partners, Ltd. Federal Register version (83 FR 66812)
33330
Dec. 19, 2018
812-14960
OSI ETF Trust, et al. Federal Register version (83 FR 66785)
33332
Dec. 19, 2018
812-14961
RYZZ Capital Management, LLC, et al. Federal Register version (83 FR 66783)
33327
Dec. 18, 2018
812-14912
Ai Funds, Inc. and Deep A.I. ETF Trust Federal Register version (83 FR 65762)
33325
Dec. 17, 2018
812-14969
Hoya Capital Real Estate, LLC, et al.
33323
Dec. 14, 2018
812-14893
Investment Managers Series Trust and 361 Capital, LLC Federal Register version (83 FR 65385)
33320
Dec. 11, 2018
812-14933
Pacific Global ETF Trust and Cadence Capital Management LLC Federal Register version (83 FR 64389)
33318
Dec. 6, 2018
812-14902
Cliffwater Corporate Lending Fund and Cliffwater LLC Federal Register version (83 FR 63929)
33317
Dec. 6, 2018
812-14942
Symmetry Panoramic Trust and Symmetry Partners, LLC Federal Register version (83 FR 63918)
33315
Dec. 4, 2018
812-14900
Stone Ridge Trust II, et al. Federal Register version (83 FR 63546)
33309
Nov. 29, 2018
812-14822
American Fidelity Assurance Company, et al. Federal Register version (83 FR 62924)
33296
Nov. 19, 2018
812-14934
Pacific Global ETF Trust and Cadence Capital Management LLC Federal Register version (83 FR 60520)
33295
Nov. 14, 2018
812-14920
ABR Dynamic Funds, LLC, et al. Federal Register version (83 FR 58315)
33289
Nov. 6, 2018
812-14855
Stellus Capital Investment Corporation, et al. Federal Register version (83 FR 56391)
33288
Nov. 5, 2018
812-14924
Toroso Investments, LLC and Tidal ETF Trust Federal Register version (83 FR 56111)
33285
Oct. 30, 2018
812-14945
Cushing Asset Management, LP and Cushing ETF Trust Federal Register version (83 FR 55438)
33277
Oct. 22, 2018
812-14936
Beyond Advisors IC, et al. Federal Register version (83 FR 54151)
33274
Oct. 17, 2018
812-14771
Procure ETF Trust I, et al. Federal Register version (83 FR 53334)
33273
Oct. 17, 2018
812-14772
Procure Active ETF Trust, et al. Federal Register version (83 FR 53341)
33271
Oct. 16, 2018
812-14931
Blackstone Real Estate Income Fund, et al. Federal Register version (83 FR 53329)
33270
Oct. 12, 2018
812-14862
Audax Credit BDC Inc., et al.; Notice of Application Federal Register version (83 FR 52860)
33268
Oct. 11, 2018
812-14903
Destra International & Event-Driven Credit Fund and Destra Capital Advisors LLC; Notice of Application Federal Register version (83 FR 52602)
33265
Oct. 5, 2018
812-14883
Natixis Funds Trust I, et al.; Notice of Application Federal Register version (83 FR 51744)
33263
Oct. 3, 2018
812-14923
Vident Advisory, LLC et al. Federal Register version (83 FR 50737)
33255
Sept. 26, 2018
812-14899
Hedge Fund Guided Portfolio Solution, et al. Federal Register version (83 FR 49604)
33256
Sept. 26, 2018
812-14860
BC Partners Lending Corporation, et al.; Notice of Application Federal Register version (83 FR 49608)
33244
Sept. 24, 2018
812-14906
Distillate Capital Partners LLC, et al. Federal Register version (83 FR 48884)
33243
Sept. 21, 2018
812-14892
Ares Credit and Income Trust and Ares Capital Management III LLC; Notice of Application Federal Register version (83 FR 48663)
33242
Sept. 20, 2018
812-14895
Variant Alternative Income Fund and Variant Investments, LLC Federal Register version (83 FR 48488)
33228
Sept. 14, 2018
812-14875
Exact Sciences Corporation Federal Register version (83 FR 47657)
33223
Sept. 11, 2018
812-14919
Wealthn LLC and TigerShares Trust Federal Register version (83 FR 46768)
33220
Sept. 7, 2018
812-14928
Broadstone Real Estate Access Fund, et al.
33219
Sept. 6, 2018
812-14767
PIMCO Flexible Credit Income Fund, et al. Federal Register version (83 FR 46225)
33214
Aug. 24, 2018
812-14837
Innovator ETFs Trust, et al. Federal Register version (83 FR 44374)
33213
Aug. 24, 2018
812-14807
THL Credit, Inc., et al. Federal Register version (83 FR 44322)
33206
Aug. 21, 2018
812-14918
Cushing Asset Management, LP et al. Federal Register version (83 FR 43713)
33205
Aug. 21, 2018
812-14839
Tortoise Capital Advisors, L.L.C., et al. Federal Register version (83 FR 43715)
33201
Aug. 15, 2018
812-14831
AXA Equitable Life Insurance Company, et al. Federal Register version (83 FR 42324)
33197
Aug. 9, 2018
812-14838
Thrivent Financial for Lutherans, et al. Federal Register version (83 FR 40587)
33169
July 24, 2018
812-14833
Advisors Asset Management, Inc. and ETF Series Solutions; Notice of Application Federal Register version (83 FR 36646)
33168
July 24, 2018
812-14853
OFI Carlyle Private Credit Fund and OC Private Capital, LLC; Notice of Application Federal Register version (83 FR 36652)
