Investment Company Act Notice

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Release Number SEC Issue Date File Number Details
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)
32808 812-14697 Active Weighting Funds ETF Trust and Active Weighting Advisors LLC
Federal Register version (82 FR 42869)
32802 812-14777 Eagle Series Trust, et al.
Federal Register version (82 FR 42389)
32803 812-14797 Northern Lights Fund Trust IV and Measured Risk Portfolios, Inc.
Federal Register version (82 FR 42374)
32805 812-14754 American Century International Bond Funds, et al.
Federal Register version (82 FR 42381)
32804 813-00387 Hudson Advisors L.P., et al.
Federal Register version (82 FR 42390)
32801 812-14802 SL Advisors, LLC, et al.
Federal Register version (82 FR 42201)
32786 812-14607 Barings LLC, et al.
32779 812-14723 TIAA-CREF Funds, et al.
Federal Register version (82 FR 39635)
32778 812-14748 Advanced Series Trust, et al.
Federal Register version (82 FR 39475)
32774 812-14792 Sage Advisory Services LTD Co. and Northern Lights Fund Trust IV
Federal Register version (82 FR 37247)
32770 812-14761 Northern Lights Fund Trust and Toews Corporation
Federal Register version (82 FR 36844)
32769 812-14720 MVC Capital, Inc., et al.
32767 812-14733 USQ Core Real Estate Fund and Union Square Capital Partners, LLC
Federal Register version (82 FR 36494)
32768 812-14759 Sharespost 100 Fund and SP Investments Management, LLC
Federal Register version (82 FR 36492)
32763 812-14746 Change Finance, PBC, et al.
Federal Register version (82 FR 36032)
32742 812-14740 Capital Southwest Corporation
Federal Register version (82 FR 35575)
32738 812-14763 Point Bridge Capital, LLC, et al.
Federal Register version (82 FR 34719)
32736 812-14753 Morningstar Funds Trust and Morningstar Investment Management LLC
Federal Register version (82 FR 34344)
32733 812-14787 Northern Lights Fund Trust and Toews Corporation
Federal Register version (82 FR 33191)
32727 812-14751 Nationwide Fund Advisors, et al.
Federal Register version (82 FR 32214)
32723 812-14716 Vertical Capital Income Fund and Oakline Advisors, LLC
Federal Register version (82 FR 31640)
32718 812-14649 Transamerica ETF Trust, et al.
Federal Register version (82 FR 31130)
32712 812-14783 Nationwide Fund Advisors, et al.
Federal Register version (82 FR 30920)
32713 813-00386 The Boston Consulting Group, Inc. and Green Falcon Investors I, L.P.
Federal Register version (82 FR 30926)
32687 812-14682 1889 BDC, Inc., et al.
32682 812-14728 Westcore Trust and Denver Investment Advisors LLC; Notice of Application
Federal Register version (82 FR 28370)
32678 812-14711 CION Ares Diversified Credit Fund, et al.; Notice of Application
Federal Register version (82 FR 27734)
32679 812-14435 Triloma EIG Energy Income Fund, et al.; Notice of Application
Federal Register version (82 FR 27915)
32669 812-14611 Franklin Fund Allocator Series, et al.
Federal Register version (82 FR 26720)
32667 812-14193-01 Partners Group (USA) Inc., et al.
32666 812-14703 Dreyfus ETF Trust
Federal Register version (82 FR 25870)
32661 812-14715 PIMCO Equity Series, et al.
Federal Register version (82 FR 25467)
32662 812-14747 Northern Lights Fund Trust IV and Main Management ETF Advisors, LLC
Federal Register version (82 FR 25446)
32660 812-14717 Series Portfolios Trust and Highmore Group Advisors, LLC
Federal Register version (82 FR 25036)
32642 812-14408 Corporate Capital Trust, Inc., et al.
Federal Register version (82 FR 24418)
32641 812-14707 TICC Capital Corp., et al.
Federal Register version (82 FR 24406)
32640 812-14213 The Mexico Equity & Income Fund, Inc. and Pichardo Asset Management, S.A. de C.V.
Federal Register version (82 FR 23883)
32638 812-14735 Solar Capital Ltd., et al.
32635 812-14698 RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC
Federal Register version (82 FR 22711)
32634 812-14467 Aspiriant Trust, et al.
Federal Register version (82 FR 22689)
32632 812-14713 Sierra Total Return Fund, et al.
Federal Register version (82 FR 22592)
32631 812-14455 Allianz Funds, et al.
Federal Register version (82 FR 22566)
32630 812-14699 New Mountain Finance Corporation, et al.
Federal Register version (82 FR 22165)
32620 812-14739 ClearShares, LLC et al.
Federal Register version (82 FR 21282)
32615 812-14646 Commonwealth Annuity and Life Insurance Company, et al.
Federal Register version (82 FR 20664)
32608 812-14750 TriLine Index Solutions, LLC, et al.
Federal Register version (82 FR 19298)
32607 812-14695 Formula Folio Investments, LLC and Northern Lights Fund Trust IV
Federal Register version (82 FR 19289)
32602 812-14664 Homestead Funds, Inc. and RE Advisers Corporation
Federal Register version (82 FR 19114)
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