Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Investment Company Act Order

Quick Links

empty


Release Number	SEC Issue Date	File Number	Details
32192	July 26, 2016	812-14502	Lord Abbett Family of Funds and Lord, Abbett & Co. LLC
32191	July 26, 2016	812-14651	Fidelity Commonwealth Trust, et al.
32190	July 25, 2016	812-14523	MainStay Funds Trust, et al.
32171	July 6, 2016	812-14598	ETF Managers Group LLC, et al.
32168	July 5, 2016	812-14501	Ramius Archview Credit and Distressed Fund and Ramius Advisors, LLC
32170	July 5, 2016	812-14525	Guggenheim Funds Trust, et al.
32164	June 28, 2016	812-14426	Carey Credit Income Fund, et al.
32154	June 21, 2016	812-14399	Ares Capital Corporation, et al.
32148	June 13, 2016	812-14573	Nationwide Mutual Funds, et al.
32141	June 7, 2016	812-14561	TCW Alternative Funds, et al.
32135	June 1, 2016	812-14492	Bridge Builder Trust, et al.
32136	June 1, 2016	812-14544	Capitala Finance Corp., et al.
32133	May 31, 2016	812-14566	Franklin Templeton ETF Trust, et al.
32134	May 31, 2016	812-14552	Columbia ETF Trust I, et al.
32132	May 31, 2016	812-14429	Triloma EIG Global Energy Fund, et al.
32120	May 23, 2016	812-14527	Madison ETF Trust and Madison ETF Advisers, LLC.
32121	May 23, 2016	813-00384	AllianceBernstein L.P. and AllianceBernstein U.S. Real Estate (Employee) Fund II, L.P.
32116	May 18, 2016	812-14587	ABS Long/Short Strategies Fund and ABS Investment Management LLC
32117	May 18, 2016	812-14645	Terra Capital Partners, LLC, et al.
32110	May 10, 2016	812-14604	Aptus Capital Advisors, LLC, et al.
32111	May 10, 2016	812-14557	Nuveen Fund Advisors, LLC, et al.
32109	May 10, 2016	812-14450	Newtek Business Services Corp.
32101	May 3, 2016	812-14514	Türkiye Sinai Kalkinma Bankasi A.S.
32100	May 2, 2016	812-14528	Madison ETF Trust and Madison ETF Advisers, LLC
32096	April 26, 2016	812-14537	Advisors Asset Management, Inc. and AAM ETF Trust
32098	April 26, 2016	812-14511	FactorShares Trust, et al.
32094	April 25, 2016	812-14482	OHA Investment Corporation, et al.
32079	April 19, 2016	812-14285	Northern Lights Fund Trust and Princeton Fund Advisors, LLC
32077	April 19, 2016	812-14384	AMCAP Fund, et al.
32078	April 19, 2016	812-14430	NexPoint Capital, Inc., et al.
32074	April 18, 2016	812-14555	Premise Capital, LLC
32067	April 8, 2016	812-14586	Principal Life Insurance Company, et al.
32068	April 8, 2016	812-14600	Principal Life Insurance Company, et al.
32064	April 4, 2016	812-14577	Pointbreak Advisers LLC, et al.
32054	March 29, 2016	812-14591	Amplify ETF Trust and Amplify Investments LLC
32055	March 29, 2016	812-14535	Advisors Asset Management, Inc. and AAM ETF Trust
32058	March 29, 2016	813-00385	Ares Management LLC
32056	March 29, 2016	812-14454	Crescent Capital BDC Inc., et al.
32057	March 29, 2016	812-13754	Apollo Investment Corporation, et al.
32052	March 25, 2016	812-14481	Charles Schwab Investment Management, Inc., et al.
32053	March 25, 2016	812-14554	CLS Investments, LLC, et al.
32036	March 22, 2016	812-14540	LoCorr Fund Management, LLC and LoCorr Investment Trust
32035	March 22, 2016	812-14442	PowerShares Exchange-Traded Fund Trust, et al.
32026	March 9, 2016	812-14532	Innovator Management LLC, et al.
32025	March 8, 2016	812-14574	PowerShares Exchange-Traded Self-Indexed Fund Trust, et al.
32021	March 2, 2016	812-14505	Good Hill Partners LP and Good Hill ETF Trust
32017	March 1, 2016	812-14433	Medallion Financial Corp.
32013	Feb. 29, 2016	812-14376	MassMutual Premiere Funds, et al.,
32010	Feb. 29, 2016	812-14530	PNC Funds, et al.
32009	Feb. 29, 2016	812-14458	Medallion Financial Corp.
32004	Feb. 24, 2016	812-14518	Susa Registered Fund, L.L.C., et al.
31992	Feb. 10, 2016	812-14473	Leaning Pine II, L.L.C.
31993	Feb. 10, 2016	812-14449	The Guardian Insurance & Annuity Company, Inc., et al
31990	Feb. 9, 2016	812-13761	J.P. Morgan Exchange-Traded Fund Trust, et al.
31989	Feb. 8, 2016	812-14478	Investment Managers Series Trust, et al.
31981	Feb. 3, 2016	812-14411	Columbia Funds Series Trust I, et al.
31978	Feb. 2, 2016	812-14519	Northern Lights Fund Trust, et al.
31961	Jan. 19, 2016	812-14461	Recon Capital Series Trust, et al.
31955	Jan. 12, 2016	812-14415	Altegris KKR Commitments Master Fund, et al.
31951	Dec. 30, 2015	812-14374	Alcentra Capital Corporation, et al.
31950	Dec. 29, 2015	812-14258	Nuveen Fund Advisors, LLC, et al.
31943	Dec. 16, 2015	812-14593	Third Avenue Trust and Third Avenue Management LLC
31937	Dec. 15, 2015	812-14451	U.S. Global Investors, Inc., et al.
31938	Dec. 15, 2015	812-14475	ETF Series Solutions and AlphaClone, Inc.
31930	Dec. 10, 2015	812-14365	Harvest Capital Credit Corporation, et al.
31929	Dec. 8, 2015	812-14256	THL Credit, Inc., et al.
31923	Dec. 2, 2015	812-14507	Good Hill Partners LP and Good Hill ETF Trust
31919	Dec. 1, 2015	812-14531	Forum Funds and Exceed Advisory LLC
31922	Dec. 1, 2015	812-14534	Wildermuth Endowment Strategy Fund, et al.
31920	Dec. 1, 2015	812-14491	Legg Mason Partners Fund Advisor, LLC, et al.
31921	Dec. 1, 2015	812-14499	Pointbreak Advisers LLC, et al.
31916	Nov. 24, 2015	812-14404	U.S. Bank National Association
31917	Nov. 24, 2015	812-14512	SPDR® Series Trust, et al.
31904	Nov. 17, 2015	812-14506	Good Hill Partners LP and Good Hill ETF Trust
31902	Nov. 16, 2015	812-14536	Advisors Asset Management, Inc. and AAM ETF Trust
31898	Nov. 10, 2015	812-14553	Columbia Trust, et al.
31891	Nov. 4, 2015	812-14515	Harris & Harris Group, Inc.
31890	Nov. 3, 2015	812-14533	CLA Strategic Allocation Fund and CLA Asset Management, LLC
31889	Nov. 2, 2015	812-14479	ARK ETF Trust, et al.
31871	Oct. 19, 2015	812-14550	General Electric Company and GE Capital International Funding Company
31872	Oct. 19, 2015	812-14509	Principal Exchange-Traded Funds, et al.
31862	Oct. 7, 2015	812-14416	Pomona Investment Fund, et al.
31861	Oct. 6, 2015	812-13995	TIAA-CREF Funds, et al.
31858	Oct. 5, 2015	812-14474	AlphaClone, Inc., et al.
31855	Sept. 30, 2015	812-14456	Brookfield Global Listed Infrastructure Income Fund Inc., et al.
31851	Sept. 28, 2015	812-14484	The Glenmede Portfolios and Glenmede Investment Management LP
31837	Sept. 23, 2015	812-14396	Full Circle Capital Corporation et al.
31827	Sept. 16, 2015	812-14372	The RBB Fund, Inc. and Abbey Capital Limited
31822	Sept. 14, 2015	812-14424	Amplify Investments LLC and Amplify ETF Trust
31817	Sept. 10, 2015	812-14434	Archstone Alternative Solutions Fund and A.P. Management Company, LLC
31809	Sept. 9, 2015	812-14356	Pulteney Street Capital Management, LLC and PSP Family of Funds
31814	Sept. 9, 2015	812-14352	FEG Absolute Access TEI Fund LLC and FEG Investors, LLC
31808	Sept. 9, 2015	812-14412	Janus Investment Fund, et al.
31811	Sept. 9, 2015	812-14495	Victory NextShares Trust, et al.
31812	Sept. 9, 2015	812-14496	Principal ETMF Trust, et al.
31813	Sept. 9, 2015	812-14500	Nile Capital Investment Trust, et al.
31815	Sept. 9, 2015	812-14517	ALPS ETMF Trust, et al.
31816	Sept. 9, 2015	812-14516	Ivy NextShares, et al.
31768	Aug. 25, 2015	812-14395	Little Harbor MultiStrategy Composite Fund and Little Harbor Advisors, LLC
31767	Aug. 24, 2015	812-14337	AMG Pantheon Private Equity Fund, LLC, et al.