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.
29344
July 21, 2010
812-13218
Lazard Global Total Return and Income Fund
29343
July 20, 2010
812-13752
Korea Finance Corp.
29343
July 20, 2010
812-13752
Korea Finance Corp.
29342
July 15, 2010
812-13713
Pruco Life Insurance Company, et al.
29339
July 7, 2010
812-13539
DWS Advisor Funds, et al.
29335
June 29, 2010
812-13748
FFCM, LLC and FQF Trust
29303
June 22, 2010
812-13716
Hercules Technology Group
29336
June 20, 2010
812-13706
EQ Advisors Trust, et al.
29297
June 14, 2010
812-13745
Kinetics Mutual Funds, Inc., et al.
29293
June 3, 2010
812-13710
Jackson National Life Insurance Company of New York, et al.
29289
May 28, 2010
812-13768
Harris & Harris Group, Inc.
29291
May 28, 2010
812-13677
AdvisorShares Investment
29291
May 28, 2010
812-13677
AdvisorShares Investment
29271
May 18, 2010
812-13534
Claymore Exchange-Traded Fund Trust 3
29271
May 18, 2010
812-13534
Claymore Exchange-Traded Fund Trust 3
29268
May 17, 2010
812-13718
Calvert Social Investment Fund, et al.
29268
May 17, 2010
812-14529
Calvert Social Investment Fund, et al.
29269
May 17, 2010
812-13702
Pax World Funds Trust II, et al.
29267
May 12, 2010
812-13651
Northern Lights Fund Trust
29262
April 30, 2010
812-13703
Jackson National Life Insurance Company, et al.
29260
April 27, 2010
812-13687
WNC Tax Credits 38, LLC
29259
April 27, 2010
812-13727
Pioneer Bond Fund
29258
April 26, 2010
812-13667
Medallion Financial Corp.
29255
April 21, 2010
812-13681
Legg Mason Partners
29211
April 20, 2010
812-13700
MetLife Insurance Company of Connecticut, et al.
29211
April 20, 2010
812-13700
MetLife Insurance Company of Connecticut, et al.
29212
April 20, 2010
812-13685
Rydex Series Funds
29213
April 20, 2010
812-13058
RMR Real Estate Fund
29210
April 20, 2010
812-13694
MCG Capital Corp.
29206
April 9, 2010
812-13753
SeaCo. Ltd.
29204
April 7, 2010
812-13690
Integrity Life Insurance Company, et al.
29197
March 31, 2010
812-13732
Lincoln Variable Insurance
29196
March 31, 2010
812-13660
Lincoln Variable Insurance
29195
March 30, 2010
812-13676
The Chile Fund, Inc.
29194
March 30, 2010
812-13749
The Chile Fund, Inc.
29189
March 24, 2010
812-13161
First Trust/Aberdeen Global Opportunity Income Fund, et al.
29177
March 22, 2010
812-13595
Millington Securities, Inc.