Investment Company Act Order

Quick Links

  • empty
Release Number SEC Issue Date File Number Details
IC-36075 812-15948 Japan Smaller Capitalization Fund, Inc. and Nomura Asset Management U.S.A. Inc.
IC-36069 812-15990 TIAA-CREF Funds, et al.
IC-36032 812-15969 ORDER UNDER SECTION 6(c) OF THE INVESTMENT COMPANY ACT OF 1940 GRANTING AN EXEMPTION FROM SECTIONS 18(a)(2), 18(c) AND 18(i) OF THE ACT, UNDER SECTIONS 6(c) AND 23(c) OF THE ACT GRANTING AN EXEMPTION FROM RULE 23c-3 OF THE ACT AND PURSUANT TO SECTION...
IC-36025 812-15964 IC-36025
IC-36024 812-15917 Pursuit Asset-Based Income Fund, et al.
IC-36023 812-15692 GreenFi Funds Trust and Mission Investment Advisors LLC
IC-36022 812-15876 The Gabelli Dividend & Income Trust, et al.
IC-36016 812-15889 Wilshire Private Assets Master Fund, et al.
IC-36014 812-15900 TCG Strategic Income Fund, et al.
IC-36013 812-15877 ORDER UNDER SECTIONS 17(d) AND 57(i) OF THE INVESTMENT COMPANY ACT OF 1940 AND RULE 17d-1 UNDER THE ACT
IC-36012 812-15965 ORDER UNDER SECTION 6(c) OF THE INVESTMENT COMPANY ACT OF 1940 GRANTING AN EXEMPTION FROM SECTIONS 18(a)(2), 18(c), 18(i) AND 61(a) OF THE ACT
IC-36011 812-15977 Harbor Funds, et al.
IC-36008 812-15896 ORDER UNDER SECTION 6(c) OF THE INVESTMENT COMPANY ACT OF 1940 GRANTING AN EXEMPTION FROM SECTIONS 18(a)(2), 18(c) AND 18(i) OF THE ACT, UNDER SECTIONS 6(c) AND 23(c) OF THE ACT GRANTING AN EXEMPTION FROM RULE 23c-3 UNDER THE ACT AND PURSUANT TO SECTION 1
IC-36007 812-15962 Stepstone Private Credit Fund LLC, et al.
IC-36006 812-15864 CAZ Strategic Opportunities Fund, et al.
IC-36005 812-15910 Order Under Section 6(c) of the Investment Company Act of 1940 Granting an Exemption from Sections 18(a)(2), 18(c) and 18(i) of the Act, Under Sections 6(c) and 23(c) of the Act Granting an Exemption from Rule 23C-3 of the Act and Pursuant to Section 17(d) and Rule 17d-1 Under the Act
IC-36004 812-15906 Order Under Section 6(c) of the Investment Company Act of 1940 Granting an Exemption from Sections 18(a)(2), 18(c) and 18(i) of the Act, Under Sections 6(c) and 23(c) of the Act Granting an Exemption from Rule 23C-3 of the Act and Pursuant to Section 17(d) and Rule 17d-1 Under the Act
IC-36003 812-15814 Andalusian Credit Company, LLC, et al.
IC-36001 812-15929 MSD Investment Corp. and BDT & MSD BDC Management, LLC
IC-36000 812-15790 Origin Real Estate Credit Fund, et al.
IC-35998 812-15873 Northern Lights Fund Trust and Ocean Park Asset Management, LLC
IC-35989 812-15701 Talcott Resolution Life Insurance Company, et al.
IC-35988 812-15958 Carillon Series Trust and Carillon Tower Advisers, Inc.
IC-35987 812-15621 Thrivent Mutual Funds, et al.
IC-35986 812-15803 New Age Alpha Funds Trust, et al.
IC-35985 812-15627 Natixis Funds Trust I, et al.
IC-35984 812-15842 Lazard Active ETF Trust, et al.
IC-35983 812-15631 Impax Funds Series Trust I, et al.
IC-35982 812-15672 Invesco Exchange-Traded Fund Trust, et al.
IC-35981 812-15635 The Hartford Mutual Funds, Inc., et al.
IC-35980 812-15866 Gabelli Equity Series Funds, Inc., et al.
IC-35979 812-15698 First Trust Exchange-Traded Fund, et al.
IC-35978 812-15724 DoubleLine ETF Trust, et al.
IC-35977 812-15829 Calamos Investment Trust, et al.
IC-35976 812-15723 BNY Mellon Investment Funds VII, Inc., et al.
IC-35975 812-15671 Aristotle Funds Series Trust and Aristotle Investment Services, LLC
IC-35974 812-15599 AMG Funds, et al.
IC-35973 812-15797 Advisors Preferred Trust and Advisors Preferred LLC
IC-35972 812-15731 ALPS ETF Trust
IC-35971 812-15733 The Alger ETF Trust, et al.
IC-35969 812-15922 First Eagle ETF Trust, et al.
IC-35968 812-15788 WisdomTree Digital Trust, et al.
IC-35967 812-15867 The Pre-IPO and Growth Fund et al.
IC-35965 812-15865 Loomis Sayles Credit Income Opportunities Fund, et al.
IC-35964 812-15911 USVC Venture Capital Access Fund, et al.
IC-35961 812-15923 ProShares Private Equity Access Fund, et al.
IC-35959 812-15836 Carlyle Secured Lending, Inc., et al.
IC-35950 812-15932 AMG Pantheon Master Fund, LLC, et al
IC-35949 812-15907 Forum Real Estate Income Fund, et al.
IC-35947 812-15888 Hamilton Lane Private Assets Fund, et al.
IC-35939 812-15916 ETF Series Solutions and Defiance ETFs, LLC
IC-35938 812-15775 TCW Direct Lending VIII LLC, et al.
IC-35936 812-15838 MML Bay State Life Insurance Company, et al.
IC-35934 812-15868 AOG Institutional Fund, et al.
IC-35933 812-15826 AB Private Credit Investors Corporation, et al.
IC-35932 812-15901 Elevation Series Trust and TrueMark Investments, LLC
IC-35931 812-15930 Denali Structured Return Strategy Fund, Niagara Income Opportunities Fund and Liquid Strategies, LLC
IC-35919 812-15882 Order Under Sections 17(D) and 57(I) of the Investment Company Act of 1940 and Rule 17d-1 Under the Act
IC-35915 812-15937 Order Under Section 6(c) of the Investment Company Act of 1940 Granting an Exemption from Sections 18(a)(2), 18(c) and 18(i) of the Act, Under Sections 6(c) and 23(c) of the Act Granting an Exemption from Rule 23C-3 of the Act and Pursuant to Section 17(d) and Rule 17d-1 Under the Act
IC-35914 812-15925 IC-35914
IC-35913 812-15940 IC-35913
IC-35906 812-15863 Lafayette Square USA, Inc., et al.
IC-35900 812-15809 The RBB Fund Trust and Twin Oak ETF Company
IC-35904 812-15800 Barings Corporate Investors, et al.
IC-35902 812-15819 Sardis Credit Opportunities Fund, et al.
IC-35901 812-15856 IC-35901
IC-35898 812-15619 Virtus Alternative Solutions Trust, et al.
IC-35897 812-15875 Victory Portfolios, et al.
IC-35896 812-15812 Tweedy, Browne Fund Inc., et al
IC-35895 812-15582 Touchstone Funds Group Trust, et al.
IC-35894 812-15688 Thornburg Investment Trust, et al.
IC-35893 812-15589 The Charles Schwab Family of Funds, et al.
IC-35892 812-15556 TCW Metropolitan West Funds, et al
IC-35891 812-15653 SPDR Series Trust, et al.
IC-35890 812-15641 Segall Bryant & Hamill Trust, et al.
IC-35889 812-15626 Shelton Funds, et al.
IC-35888 812-15708 PIMCO Funds, et al
IC-35887 812-15636 PFS Funds et al.
IC-35886 812-15908 Parnassus Funds, et al.
IC-35885 812-15644 Nushares ETF Trust, et al.
IC-35884 812-15839 New York Life Investments Active ETF Trust, et al.
IC-35883 812-15751 Neuberger Berman Investment Advisers LLC, et al.
IC-35882 812-15542 Morgan Stanley Institutional Fund Trust, et al.
IC-35881 812-15680 Lord, Abbett & Co. LLC, et al.
IC-35880 812-15662 J.P. Morgan Investment Management Inc., et al.
IC-35879 812-15637 John Hancock Investment Trust and John Hancock Investment Management LLC
IC-35878 812-15843 Kayne Anderson Energy Infrastructure Fund, Inc., et al.
IC-35877 812-15831 NB Private Markets Access Fund LLC, et al.
IC-35876 812-15760 Harbor Funds, Harbor ETF Trust and Harbor Capital Advisors, Inc.
IC-35875 812-15640 Guinness Atkinson Funds, et al
IC-35874 812-15577 Grantham, Mayo, Van Otterloo & Co. LLC and GMO Trust
IC-35873 812-15501 F/m Investments LLC and The RBB Fund, Inc.
IC-35872 812-15517 Fidelity Hastings Street Trust, et al.
IC-35871 812-15679-01 Deutsche DWS Asset Allocation Trust, et al.
IC-35870 812-15652 BlackRock Funds, et al.
IC-35869 812-15793 Baron Investment Funds Trust, et al.
IC-35868 812-15591 Allspring Funds Trust, et al.
IC-35867 812-15570 AB Municipal Income Fund, Inc., et al.
IC-35860 812-15840 IC-35860
IC-35859 812-15849 Prospect Capital Corporation, et al.
Displaying 1 - 100 of 2073