30123
June 26, 2012
812-13946
Federated Investment Management Company and Federated ETF Trust
30104
June 15, 2012
812-14029
Harris & Harris Group, Inc.
30096
June 5, 2012
812-13846
Van Eck VIP Trust, et al.
30091
May 31, 2012
813-194
SK Private Investment Fund 1998 LLC, et al.
30087
May 30, 2012
812-13574-01
Destra Capital Investments LLC and Destra Unit Investment Trust
30070
May 23, 2012
812-13793
Steel Partners Holdings L.P.
30067
May 22, 2012
812-13986
GPS Funds I, et al.
30068
May 22, 2012
812-13868
Northern Trust Investments, Inc., et al.
30069
May 22, 2012
812-13927
Invesco Total Property Market Income Fund, et al.
30066
May 21, 2012
812-13627
Praxis Mutual Funds, et al.
30065
May 21, 2012
812-13889
Advisors Series Trust and Orinda Asset Management, LLC
See Also -
32302
30064
May 15, 2012
812-13767
Beverly Hills Bancorp Inc.
30061
May 8, 2012
812-13785
Huntington Asset Advisors, Inc., et al.
30061
May 8, 2012
812-13785
Huntington Asset Advisors, Inc., et al.
30046
April 24, 2012
812-13778
Sunwest Rollover Member LLC
30037
April 18, 2012
813-228
Jefferies Employees Special Opportunities Partners, LLC, et al.
30035
April 17, 2012
812-13971
Domini Social Investment Trust and Domini Social Investments LLC
30030
April 10, 2012
812-13955
Columbia Funds Master Investment Trust, LLC, et al.
30031
April 10, 2012
812-13996
Forward Funds, et al.
30029
April 10, 2012
812-13795
First Trust Exchange-Traded Fund, et al.
30027
April 3, 2012
812-13313
Harris & Harris Group, Inc.
30024
March 29, 2012
812-13847
Ares Capital Corporation, et al.
30012
March 27, 2012
812-13879
Fidus Investment Corporation, et al.
30010
March 27, 2012
812-13493
American Capital, Ltd., et al.
30011
March 27, 2012
812-13882
Kohlberg Capital Corporation
30009
March 26, 2012
812-13787
Medley Capital Corporation, et al.
30033
March 23, 2012
812-14007
Capital Research and Management Company, et al.
29979
March 12, 2012
812-13962
Pacific Life Insurance Company, et al.
29970
Feb. 28, 2012
812-13950
Henderson Global Funds, et al.
29971
Feb. 28, 2012
812-13983
DoubleLine Capital LP and DoubleLine Funds Trust
29972
Feb. 28, 2012
812-13634
Rand Capital Corporation, et al.
29967
Feb. 27, 2012
812-13982
Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC
29951
Feb. 22, 2012
812-13965
Preservation Trust Advisors, LLC and Northern Lights Fund Trust
29952
Feb. 22, 2012
812-13994
GE Asset Management Incorporated, et al.
29949
Feb. 21, 2012
812-13921
Incapital LLC and Incapital Unit Trust
29946
Feb. 14, 2012
812-13804
Main Street Capital Corporation, et al.
29947
Feb. 14, 2012
812-13903
New York Life Insurance & Annuity Company, et al.
29947
Feb. 14, 2012
812-13903
New York Life Insurance & Annuity Company, et al.
29940
Feb. 1, 2012
812-13857
Central Securities Corporation
29925
Jan. 24, 2012
812-13781
Cantilever Capital, LLC and Cantilever Group, LLC
29921
Jan. 17, 2012
812-13777
Rio Tinto plc and Rio Tinto Limited
29918
Jan. 17, 2012
812-13478
Highland Capital Management, L.P., et al.
29918
Jan. 17, 2012
812-13478
Highland Capital Management, L.P., et al.
29916
Jan. 10, 2012
812-13930
American Century Strategic Asset Allocations, Inc., et al.
29914
Jan. 4, 2012
812-13952
Seasons Series Trust, et al.
29914
Jan. 4, 2012
812-13987
Seasons Series Trust, et al.
29892
Dec. 21, 2011
812-13939
AllianceBernstein Cap Fund, Inc., et al.
29888
Dec. 19, 2011
812-13935
Genesis Capital, LLC and Northern Lights Fund Trust
29885
Dec. 14, 2011
812-13621
John Hancock Variable Insurance Trust, et al.
29884
Dec. 14, 2011
812-13929
SEI Investments Management Corporation, et al.
29882
Dec. 13, 2011
812-13936
Bandon Capital Management, LLC and Northern Lights Fund Trust
29880
Dec. 8, 2011
812-13944
The Singapore Fund, Inc.
29869
Nov. 22, 2011
813-377
Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC
29863
Nov. 17, 2011
812-13755
RiverPark Advisors, LLC, et al.
29863
Nov. 17, 2011
812-13755
RiverPark Advisors, LLC, et al.
29860
Nov. 10, 2011
812-13695
NGP Capital Resources Company, et al.
29852
Oct. 28, 2011
812-13830
Global X Funds, et al.
29852
Oct. 28, 2011
812-13830
Global X Funds, et al.
29849
Oct. 26, 2011
812-13606
MFS Series Trust I, et al.
29850
Oct. 26, 2011
812-13922
Incapital LLC, et al.
29843
Oct. 25, 2011
812-13869
Principal Funds Inc.
29842
Oct. 25, 2011
812-13575
Destracom Investments LLC
29839
Oct. 18, 2011
812-13893
Fifth Third Funds and Fifth
29838
Oct. 18, 2011
812-13943
DFA Investment Dimensions Group, Inc., et al.
29836
Oct. 17, 2011
812-13855
Curian Series Trust, et al.
29837
Oct. 15, 2011
812-13866
ASGI Agility Income Fund
29833
Oct. 12, 2011
812-13891
Investment Managers Ser
29832
Oct. 12, 2011
812-13890
Highland Capital Management, L.P.
29835
Oct. 12, 2011
812-13892
Legg Mason Partners Equity Trust, et al.
29834
Oct. 12, 2011
812-13867
Stone Harbor Investment Partners LP
29830
Oct. 4, 2011
812-13931
Stone Harbor Investment
29821
Sept. 27, 2011
812-13876
Horizon Technology Finance Corp.
29786
Sept. 13, 2011
812-13794
Golub Capital BDC, Inc.
29785
Sept. 12, 2011
812-13862
Tortoise Power & Energy Infrastructure Fund Inc.
29783
Sept. 7, 2011
812-13883
Pax World Funds Series Trust, et al.
29782
Sept. 6, 2011
812-13773
NT ETF Trust
29782
Sept. 6, 2011
812-13773
NT ETF Trust
29773
Aug. 30, 2011
812-13860
RidgeWorth Funds
29774
Aug. 30, 2011
812-13853
American Capital, Ltd.
29769
Aug. 24, 2011
812-13916
BofA Funds Series Trust, et al.
29757
Aug. 16, 2011
812-13863
Northern Lights Var. Trust, et al.
29754
Aug. 16, 2011
812-13909
ING Asia Pacific High
29753
Aug. 15, 2011
812-13910
BAC Home Loan Servicing, LP
29750
Aug. 8, 2011
812-13143
HIGHMARK Funds, et al.
29749
Aug. 5, 2011
812-13919
J.P. Morgan Securities LLC, et al.
29747
Aug. 5, 2011
812-13741
FQF Trust
29747
Aug. 5, 2011
812-13741
FQF Trust
29742
Aug. 2, 2011
812-13885
WNC Tax Credits 40, LLC, et al.
29738
July 26, 2011
812-13834
Sterling Capital Funds, et al.
29737
July 26, 2011
812-13914
J.P. Morgan Securities LLC, et al.
29736
July 22, 2011
812-13896
Harris & Harris Group, Inc.
29728
July 19, 2011
812-13831
TIAA-CREF Funds, et al.
29727
July 19, 2011
812-13815
Russell Exchange Traded Funds Trust, et al.
29727
July 19, 2011
812-13815
Russell Exchange Traded Funds Trust, et al.
29721
July 12, 2011
812-13843
HighMark Funds, et al.
29717
July 7, 2011
812-13865
Country Investors Life Assurance Co., et al.
29716
July 6, 2011
812-13821
Allianz Life Insurance Company of North America, et al.
29716
July 6, 2011
812-13821
Allianz Life Insurance Company of North America, et al.
29712
July 1, 2011
812-13818
Precidian ETFs Trust, et al.
29712
July 1, 2011
812-13818
Precidian ETFs Trust, et al.