Investment Company Act Notice

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Release Number SEC Issue Date File Number Details
33163 812-14889 IndexIQ ETF Trust, et al.
Federal Register version (83 FR 35289)
33158 812-14828 SL Advisors, LLC and ETF Series Solutions
Federal Register version (83 FR 33286)
33159 812-14829 TriLine Index Solutions, LLC and ETF Series Solutions
Federal Register version (83 FR 33285)
33156 812-14884 DMS ETF Trust I, et al.
Federal Register version (83 FR 32925)
33157 812-14926 Charles Schwab & Co. Inc. and Charles Schwab Investment Management, Inc.
Federal Register version (83 FR 32926)
33152 812-14925 AB Private Credit Investors Corp., et al.
Federal Register version (83 FR 32699)
33148 812-14886 DMS ETF Trust I, et al.
Federal Register version (83 FR 32167)
33149 812-14835 Blackstone/GSO Floating Rate Enhanced Income Fund, et al.
Federal Register version (83 FR 32174)
33147 812-14896 Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC
Federal Register version (83 FR 31800)
33146 812-14921 Altaba Inc.
Federal Register version (83 FR 31808)
33141 812-14888 Motley Fool Asset Management, LLC and The RBB Fund, Inc.
Federal Register version (83 FR 31434)
33137 812-14764 Goldman Sachs Trust, et al.
Federal Register version (83 FR 31011)
33136 812-14879 Defiance ETFs, LLC, et al.
Federal Register version (83 FR 31013)
33134 812-14846 Impact Shares Trust I, et al.
Federal Register version (83 FR 30208)
33126 812-14734 AXA Equitable Life Insurance Company, et al.
Federal Register version (83 FR 29596)
33123 812-14872 Sprott ETF Trust and Sprott Asset Management USA Inc.
Federal Register version (83 FR 28697)
33120 812-14880 Aptus Capital Advisors, LLC and ETF Series Solutions
Federal Register version (83 FR 28016)
33119 812-14901 BlackRock Variable Series Funds, Inc., et al.
Federal Register version (83 FR 27035)
33112 812-14871 Sprott ETF Trust and Sprott Asset Management USA Inc.
Federal Register version (83 FR 26506)
33108 812-14662 Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc.; Notice of Application
Federal Register version (83 FR 25071)
33103 812-14885 DMS ETF Trust I, et al.
Federal Register version (83 FR 24534)
33101 812-14832 Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC
Federal Register version (83 FR 24377)
33098 812-14815 PFM Multi-Manager Series Trust and PFM Asset Management LLC
Federal Register version (83 FR 23305)
33095 812-14819 Franklin Alternative Strategies Funds, et al.
Federal Register version (83 FR 22720)
33092 812-14869 U.S. Global Investors, Inc. et al.
Federal Register version (83 FR 22541)
33094 812-14765 TCW Direct Lending LLC, et al.;
Federal Register version (83 FR 22560)
33076A 812-14873 Redwood Investment Management, LLC and Two Roads Shared Trust
Federal Register version (83 FR 19367)
33079 812-14521 BMO Exchange Traded Funds, et al.
Federal Register version (83 FR 18864)
33075 812-14857 The Swiss Helvetia Fund, Inc., et al.
Federal Register version (83 FR 18602)
33068 812-14601 Application; Benefit Street Partners BDC, Inc., et al.
Federal Register version (83 FR 15648)
33066 812-14851 Angel Oak Strategic Credit Fund and Angel Oak Capital Advisors, LLC
Federal Register version (83 FR 15431)
33061 812-14321 Aquila Funds Trust, et al.
Federal Register version (83 FR 14299)
33058 812-14670 Aberdeen Asset Management Inc., et al.
Federal Register version (83 FR 14068)
33048 812-14788 Destra Exchange-Traded Fund Trust, et al.
Federal Register version (83 FR 12208)
33049 812-14789 Destra Exchange-Traded Fund Trust, et al.
Federal Register version (83 FR 12227)
33047 812-14848 Triloma EIG Energy Income Fund, et al.
Federal Register version (83 FR 12221)
33042 812-14849 Nationwide Fund Advisors and ETF Series Solutions
Federal Register version (83 FR 10942)
33043 812-14882 Corporate Capital Trust, Inc., et al.
Federal Register version (83 FR 10941)
33037 812-14773 TriplePoint Venture Growth BDC Corp., et al.
Federal Register version (83 FR 9357)
33038 812-14760 Alcentra Capital Corporation, et al.
Federal Register version (83 FR 9564)
33035 812-14845 Little Harbor Advisors, LLC and ETF Series Solutions
Federal Register version (83 FR 9049)
33031 812-14766 Bain Capital Specialty Finance, Inc., et al.
Federal Register version (83 FR 8712)
33005A 812-14808 Morningstar Funds Trust, et al.
33005 812-14808 Morningstar Funds Trust, et al.
32998 812-14842 Columbia Funds Series Trust, et al.
Federal Register version (83 FR 5153)
32999 812-14859 Gadsden ETF Trust and Gadsden, LLC
Federal Register version (83 FR 5151)
32995 812-14874 BNP Paribas USA, Inc., et al.
32993 812-14858 EquBot LLC and ETF Series Solutions
Federal Register version (83 FR 4533)
32992 812-14762 FS Series Trust and FS Fund Advisor, LLC; Release No. 32992/January 25, 2018
Federal Register version (83 FR 4534)
32973 812-14810 Northern Lights Fund Trust and Pacific Financial Group, LLC
Federal Register version (83 FR 4081)
32974 812-14847 Salt Financial, LLC, et al.
Federal Register version (83 FR 4097)
32967 812-14714 The Guardian Insurance & Annuity Company, Inc., et al.
Federal Register version (83 FR 2476)
32965 812-14784 Harbor Funds and Harbor Capital Advisors, Inc.
Federal Register version (83 FR 1644)
32961 812-14806 Northern Lights Fund Trust and AlphaCore Capital, LLC
Federal Register version (83 FR 1090)
32960 812-14821 Guggenheim Credit Income Fund, et al.; Notice of Application
Federal Register version (83 FR 1079)
32956 812-14749 Oppenheimer Capital Appreciation Fund et al.; Application
Federal Register version (83 FR 197)
32952 812-14805 Validea Capital Management, LLC, et al.; Notice of Application
Federal Register version (82 FR 61806)
32944 812-14564 The Hartford Mutual Funds, Inc., et al.
Federal Register version (82 FR 61353)
32945 812-14798 TCG BDC, Inc., et al.
Federal Register version (82 FR 61341)
32942 812-14742 FQF Trust, et al.
Federal Register version (82 FR 61094)
32943 812-14582 BlackRock Capital Investment Corporation, et al.
Federal Register version (82 FR 61096)
32940 812-14779 Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC
Federal Register version (82 FR 60463)
32939 812-14785 Ausdal Financial Partners, Inc. and Ausdal Unit Investment Trust
Federal Register version (82 FR 60426)
32935 812-14820 Calvert Research and Management and Calvert ETF Trust
Federal Register version (82 FR 58469)
32933 812-14800 CBOE Vest Financial, LLC, et al.; Notice of Application
Federal Register version (82 FR 58030)
32931 812-14834 Regents Park Funds, LLC and Two Roads Shared Trust
Federal Register version (82 FR 57808)
32928 812-14794 American Century ETF Trust and American Century Investment Management, Inc.
See Also - 32955A
Federal Register version (82 FR 57506)
32922 812-14786 Ausdal Unit Investment Trust and Ausdal Financial Partners, Inc.
32900 812-14799 New Mountain Finance Corporation, et al.
Federal Register version (82 FR 56093)
32899 812-14804 Motley Fool Asset Management, LLC, et al.; Notice of Application
Federal Register version (82 FR 55890)
32898 812-14775 Meeder Funds Trust, et al.
Federal Register version (82 FR 52756)
32896 812-14801 CBOE Vest Financial, LLC, et al.
Federal Register version (82 FR 52339)
32894 812-14776 Princeton Fund Advisors, LLC. et al.
Federal Register version (82 FR 51665)
32893 812-14809 Brandes Investment Trust, et al.
Federal Register version (82 FR 51666)
32892 812-14830 Reinhart Partners, Inc., et al.
Federal Register version (82 FR 51660)
32888 812-14738 Horizon Technology Finance Corporation, et al.
Federal Register version (82 FR 51323)
32884 812-14683 The Relative Value Fund et al.
Federal Register version (82 FR 50700)
32865 812-14795 Blackstone/GSO Floating Rate Enhanced Income Fund, et al.
Federal Register version (82 FR 49900)
32866 812-14796 Blackstone/GSO Floating Rate Enhanced Income Fund, et al.
Federal Register version (82 FR 49880)
32867 812-14756 PIMCO Funds, et al.
Federal Register version (82 FR 49882)
32860 812-14725 Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC
Federal Register version (82 FR 48557)
32853 812-14817 Whitford Asset Management, LLC, et al.
Federal Register version (82 FR 47272)
32851 812-14340 USCF Fund Advisors, LLC, et al.
Federal Register version (82 FR 47262)
32849 812-14248 OppenheimerFunds, Inc., et al.
Federal Register version (82 FR 47257)
32847 812-14803 EntrepreneurShares Series Trust, et al.
Federal Register version (82 FR 47053)
32845 812-14726 Olden Lane Securities LLC and Olden Lane Trust; Notice of Application
Federal Register version (82 FR 46579)
32839 812-14818 National Securities Clearing Corporation
Federal Register version (82 FR 46329)
32838 812-14793 American Century ETF Trust and American Century Investment Management, Inc.
Federal Register version (82 FR 46114)
32837 812-14770 PREDEX and PREDEX Capital Management, LLC
Federal Register version (82 FR 46103)
32836 812-14681 Wells Fargo Exchange-Traded Funds Trust, et al.
Federal Register version (82 FR 46116)
32831 812-14758 Oaktree Strategic Income, LLC, et al.
Federal Register version (82 FR 45331)
32822 812-14689 Barings Corporate Investors, et al.; Notice of Application
Federal Register version (82 FR 44685)
32802A 812-14777-01 Eagle Series Trust, et al.
Federal Register version (82 FR 44478)
32821 812-14741 AQR Funds, et al.
Federal Register version (82 FR 44474)
32820 812-14696 Active Weighting Funds ETF Trust and Active Weighting Advisors LLC
Federal Register version (82 FR 44232)
32813 812-14780 Innovator ETFS Trust and Innovator Capital Management, LLC
Federal Register version (82 FR 43439)
32811 812-14782 Innovator ETFs Trust, et al.
Federal Register version (82 FR 43276)
32812 812-14781 Innovator ETFs Trust, et al.
Federal Register version (82 FR 43262)
32810 812-14691 The Vanguard Group, Inc., et al.
Federal Register version (82 FR 43267)
32809 812-14778 Medley Capital Corporation, et al.
Federal Register version (82 FR 43269)
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