Investment Company Act Order

Quick Links

  • empty
Release Number SEC Issue Date File Number Details
32964 812-14785 Ausdal Financial Partners, Inc. and Ausdal Unit Investment Trust
32966 812-14779 Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC
32959 812-14820 Calvert Research and Management and Calvert ETF Trust
32962 812-14804 Motley Fool Asset Management, LLC, et al.
32954 812-14834 Regents Park Funds, LLC and Two Roads Shared Trust
32955 812-14794 American Century ETF Trust and American Century Investment Management, Inc.
See Also - 32955A
32953 812-14786 Ausdal Unit Investment Trust and Ausdal Financial Partners, Inc.
32941 812-14799 New Mountain Finance Corporation, et al.
32934 812-14775 Meeder Funds Trust, et al.
32932 812-14801 CBOE Vest Financial, LLC, et al.
32930 812-14776 Princeton Fund Advisors, LLC. et al.
32925 812-14809 Brandes Investment Trust, et al.
32924 812-14830 Reinhart Partners, Inc., et al.
32923 812-14738 Horizon Technology Finance Corporation, et al.
32904 812-14683 The Relative Value Fund et al.
32901 812-14795 Blackstone / GSO Floating Rate Enhanced Income Fund, et al.
32902 812-14796 Blackstone / GSO Floating Rate Enhanced Income Fund, et al.
32903 812-14756 PIMCO Funds, et al.
32897 812-14725 Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC
32890 812-14817 Whitford Asset Management, LLC, et al.
32889 812-14340 USCF Fund Advisors, LLC, et al.
32891 812-14248 OppenheimerFunds, Inc., et al.
32887 812-14803 EntrepreneurShares Series Trust, et al.
32872 812-14726 Olden Lane Securities LLC and Olden Lane Trust
32871 812-14793 American Century ETF Trust and American Century Investment Management, Inc.
32870 812-14770 PREDEX and PREDEX Capital Management, LLC
32868 812-14818 National Securities Clearing Corporation
32869 812-14681 Wells Fargo Exchange-Traded Funds Trust, et al.
32863 812-14741 AQR Funds, et al.
32864 812-14689 Barings Corporate Investors, et al.
32862 812-14758 Oaktree Strategic Income, LLC, et al.
32861 812-14777-01 Eagle Series Trust, et al.
32859 812-14696 Active Weighting Funds ETF Trust and Active Weighting Advisors LLC
32855 812-14780 Innovator ETFS Trust and Innovator Capital Management, LLC
32856 812-14782 Innovator ETFs Trust, et al.
32854 812-14781 Innovator ETFs Trust, et al.
32852 812-14691 The Vanguard Group, Inc., et al.
32850 812-14778 Medley Capital Corporation, et al.
32848 812-14697 Active Weighting Funds ETF Trust and Active Weighting Advisors LLC
32835 812-14797 Northern Lights Fund Trust IV and Measured Risk Portfolios, Inc.
32833 812-14754 American Century International Bond Funds, et al.
32832 812-14802 SL Advisors, LLC, et al.
32834 813-00387 Hudson Advisors L.P., et al.
32814 812-14723 TIAA-CREF Funds, et al.
32817 812-14748 Advanced Series Trust, et al.
32806 812-14792 Sage Advisory Services LTD Co. and Northern Lights Fund Trust IV
32800 812-14761 Northern Lights Fund Trust and Toews Corporation
32798 812-14733 USQ Core Real Estate Fund and Union Square Capital Partners, LLC
32799 812-14759 Sharespost 100 Fund and SP Investments Management, LLC
32797 812-14720 MVC Capital, Inc., et al.
32793 812-14746 Change Finance, PBC, et al.
32787 812-14740 Capital Southwest Corporation
32780 812-14753 Morningstar Funds Trust and Morningstar Investment Management LLC
32781 812-14763 Point Bridge Capital, LLC, et al.
32777 812-14787 Northern Lights Fund Trust and Toews Corporation
32771 812-14751 Nationwide Fund Advisors, et al.
32766 812-14716 Vertical Capital Income Fund and Oakline Advisors, LLC
32743 812-14649 Transamerica ETF Trust, et al.
32740 812-14783 Nationwide Fund Advisors, et al.
32739 813-00386 The Boston Consulting Group, Inc. and Green Falcon Investors I, L.P.
32735 812-14682 1889 BDC, Inc., et al.
32734 812-14607 Barings LLC, et al.
Federal Register version (82 FR 34339)
32732 812-14728 Westcore Trust and Denver Investment Advisors LLC
32730 812-14435 Triloma EIG Energy Income Fund, et al.
32731 812-14711 CION Ares Diversified Credit Fund, et al.
32729 812-14686 Advent/Claymore Enhanced Growth & Income Fund;
32726 812-14193-01 Partners Group (USA) Inc., et al.
32722 812-14611 Franklin Fund Allocator Series, et al.
32711 812-14703 Dreyfus ETF Trust
32684 812-14717 Series Portfolios Trust and Highmore Group Advisors, LLC
32685 812-14715 PIMCO Equity Series, et al.
32686 812-14747 Northern Lights Fund Trust IV and Main Management ETF Advisors, LLC
32683 812-14408 Corporate Capital Trust, Inc., et al.
32680 812-14707 TICC Capital Corp., et al.
32676 812-14213 The Mexico Equity & Income Fund, Inc. and Pichardo Asset Management, S.A. de C.V.
32677 812-14735 Solar Capital Ltd., et al.
32673 812-14698 RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC
32670 812-14713 Sierra Total Return Fund, et al.
32671 812-14455 Allianz Funds, et al.
32672 812-14467 Aspiriant Trust, et al.
32668 812-14699 New Mountain Finance Corporation, et al.
32665 812-14739 ClearShares, LLC et al.
32644 812-14646 Commonwealth Annuity and Life Insurance Company, et al.
32639 812-14750 TriLine Index Solutions, LLC, et al.
32636 812-14664 Homestead Funds, Inc. and RE Advisers Corporation
32637 812-14695 Formula Folio Investments, LLC and Northern Lights Fund Trust IV
32628 812-14548-05 Excelsior Private Markets Fund II (Master, LLC, et al.)
32622 812-14584 Precidian ETFs Trust, et al.
32619 812-14436-01 Olden Lane Securities LLC and Olden Lane Trust
32614 812-14694 Winton Diversified Opportunities Fund and Winton Capital US LLC
32611 812-14636 Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC
32603 812-14490 Transamerica Life Insurance Company, et al.
32604 812-14489 Transamerica Advisors Life Insurance Company, et al.
32605 812-14488 Transamerica Life Insurance Company, et al.
32606 812-14487 Transamerica Financial Life Insurance Company, et al.
32600 812-14677 AB Bond Fund Inc., et al.
32601 812-14397 Spinnaker ETF Trust, et al.
32599 812-14710 Investment Managers Series Trust II and Vivaldi Asset Management, LLC
32598 812-14255 Allianz Funds Multi-Strategy Trust and Allianz Global Investors U.S. LLC
32593 812-14608 Advanced Series Trust, et al.
Displaying 1001 - 1100 of 2216