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.
29710
June 28, 2011
812-13851
Altegris Advisors, L.L.C., et al.
29690
June 6, 2011
812-13902
UBS AG, et al.
29687
June 1, 2011
812-13791
TIAA-CREF Life Insurance Company, et al.
29686
June 1, 2011
812-13772
PennantPark Investment Corporation, et al.
29688
June 1, 2011
812-13910
BAC Home Loans Servicing, LP, et al.
29675
May 24, 2011
812-13736
HighMark Capital Management, Inc., et al.
29671
May 16, 2011
812-13669
Russell Investment Management Company, et al.
29671
May 16, 2011
812-13669
Russell Investment Management Company, et al.
29664
May 3, 2011
812-13870
Russell Investment Company, et al.
29661
April 26, 2011
812-13854
Fairholme VP Series Fund, Inc., et al.
29658
April 25, 2011
812-13841
Jackson National Life Insurance Company, et al.
29656
April 21, 2011
812-13842
American Family Life Insurance Company, et al.
29629
April 19, 2011
812-13801
Simple Alternatives, LLC, et al.
29627
April 7, 2011
812-13806
National Life Insurance Company, et al.
29620
March 30, 2011
812-13759
Eaton Vance Management, et al.
29620
March 30, 2011
812-13759
Eaton Vance Management, et al.
29596
March 8, 2011
813-353
Capital International, Inc., et al.
29597
March 8, 2011
813-361
Riverside Casualty, Inc.
29570
Jan. 24, 2011
812-13816
Met Life Insurance Company of CT, et al.
29570
Jan. 24, 2011
812-13816
Met Life Insurance Company of CT, et al.
29571
Jan. 24, 2011
812-13601
iShares Trust, et al.
29546
Dec. 30, 2010
812-13839
Nuveen Asset Management, et al.
29545
Dec. 29, 2010
812-13780
American Life Insurance Company, et al.
29525
Dec. 14, 2010
812-13774
ETSpreads, LLC, et al.
29525
Dec. 14, 2010
812-13774
ETSpreads, LLC, et al.
29526
Dec. 14, 2010
812-13698
Fifth Street Finance Corp., et al.
29524
Dec. 13, 2010
812-13487
SSgA Funds Management, Inc., et al.
29524
Dec. 13, 2010
812-13487
SSgA Funds Management, Inc., et al.
29505
Nov. 22, 2010
812-13648
Nationwide Life Insurance Company, et al.
29505
Nov. 22, 2010
812-13648
Nationwide Life Insurance Company, et al.
29498
Nov. 15, 2010
812-13808
Citigroup Global Markets Inc., et al.
29496
Nov. 3, 2010
812-13605
Van Eck Associates Corporation, et al.
29496
Nov. 3, 2010
812-13605
Van Eck Associates Corporation, et al.
29494
Nov. 2, 2010
812-13657
Claymore Exchange-Traded Fund Trust, et al.
29494
Nov. 2, 2010
812-13657
Claymore Exchange-Traded Fund Trust, et al.
29492
Oct. 27, 2010
812-13582
Dolby Laboratories, Inc.
29488
Oct. 26, 2010
812-13770
Highland Capital Management, L.P. and Highland Funds I
29487
Oct. 26, 2010
812-13786
Northern Lights Fund Trust, et al.
29490
Oct. 26, 2010
812-13624
Van Eck Associates Corporation, et al.
29489
Oct. 26, 2010
813-358
RIEF RMP LLC and Renaissance Technologies LLC
29491
Oct. 26, 2010
812-13769
Capital Southwest Corporation
29483
Oct. 25, 2010
812-13708
American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company
29484
Oct. 25, 2010
812-13765
Jackson National Life Insurance Company, et al.
29485
Oct. 25, 2010
813-373
Elfun Trusts, et al.
29482
Oct. 22, 2010
812-13771
Triangle Capital Corporation, et al.
29460
Oct. 8, 2010
812-13714
American Capital, Ltd.
29457
Oct. 5, 2010
812-13465
Tri-Continental Corporation, et al.
29449
Sept. 29, 2010
813-359
Tudor Employee Investment Fund LLC and Tudor Investment Corporation
29447
Sept. 28, 2010
812-13661
Transamerica Asset Management, Inc., et al.
29443
Sept. 27, 2010
812-13775
Aston Funds, et al.
29418
Sept. 21, 2010
812-13763
The Integrity Funds, et al.
29412
Sept. 8, 2010
812-13733
WisdomTree Asset Management, Inc. and WisdomTree Trust
29406
Aug. 31, 2010
813-375
The Blackstone Group, L.P.
29407
Aug. 31, 2010
812-13623
Kohlberg Capital Corp
29385
Aug. 25, 2010
812-13807
GE Asset Management Incorporated, et al.
29386
Aug. 25, 2010
812-13709
Millington Securities, Inc., et al.
29383
Aug. 23, 2010
812-13751
Virtus Opportunities Trust
29381
Aug. 18, 2010
812-13707
Northern Funds
29382
Aug. 18, 2010
812-13796
Goldman Sachs & Co., et al.
29379
Aug. 10, 2010
812-13743
Federated Enhanced Treasury Income Fund, et al.
29372
July 29, 2010
812-13686
AXA Equitable Life Insurance Company, et al.
29372
July 29, 2010
812-13686
AXA Equitable Life Insurance Company, et al.
29369
July 27, 2010
812-13756
Nationwide Life Insurance Company, et al.
