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
812-14529
Calvert Social Investment Fund, et al.
29268
May 17, 2010
812-13718
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.
29172
March 10, 2010
812-13570
iShares Trust, et al.
29164
March 1, 2010
812-13658
U.S. One, Inc.
29133
Feb. 23, 2010
812-13746
Assurant, Inc.
29130
Feb. 22, 2010
812-13559
ShariahShares Exchange-Traded Fund Trust, et al.
29130
Feb. 22, 2010
812-13559
ShariahShares Exchange-Traded Fund Trust, et al.
29124
Jan. 26, 2010
812-13549
Metlife, Inc., et al.
29109
Jan. 12, 2010
812-13678
Cash Account Trust, et al.
29110
Jan. 12, 2010
812-13728
Investools
29100
Dec. 29, 2009
812-13640
PNC Bank, National Association
29099
Dec. 29, 2009
812-13653
Madison Asset Management, LLC
29097
Dec. 23, 2009
812-13712
Strategic Funds, Inc., et al.
29096
Dec. 22, 2009
812-13654
Members Mutual Funds, et al.
29070
Dec. 15, 2009
812-13636
Pioneer Floating Rate Trust and Pioneer High Income Trust
29065
Dec. 1, 2009
812-13638
FaithShares Trust, et al.
29065
Dec. 1, 2009
812-13638
FaithShares Trust, et al.
29063
Nov. 24, 2009
812-13482
MFS Government Markets Income Trust, et al.
28993
Nov. 10, 2009
812-13571
Pacific Investment Management Company LLC and PIMCO ETF Trust
28993
Nov. 10, 2009
812-13571
Pacific Investment Management Company LLC and PIMCO ETF Trust
28994
Nov. 10, 2009
812-13086
Neuberger Berman Management LLC, et al.
28995
Nov. 10, 2009
812-13432
Pioneer Diversified High Income Trust, et al.
28986
Oct. 29, 2009
812-13656
Morgan Stanley Investment Management Inc., et al.
28985
Oct. 27, 2009
812-13030
Evergreen Income Advantage Fund, et al.,
28983
Oct. 23, 2009
812-13628
Charles Schwab Investment Management, Inc., et al.
28983
Oct. 23, 2009
812-13628
Charles Schwab Investment Management, Inc., et al.
28982
Oct. 21, 2009
812-13569
Ridgewood Capital Energy Growth, LLC, et al.
28948
Oct. 20, 2009
812-13612
Annuity Investors Life, et al.
28949
Oct. 20, 2009
812-13612
Pacific Investment Management Company LLC and PIMCO ETF Trust; Notice of Application
Federal Register version (74 FR 54866)
28949
Oct. 20, 2009
812-13571
Pacific Investment Management Company LLC and PIMCO ETF Trust; Notice of Application
Federal Register version (74 FR 54866)
28944
Oct. 8, 2009
812-13516
Grail Advisors LLC and Grail Advisors ETF Trust
28937
Sept. 30, 2009
812-13630
Alpine Global Dynamic Dividend Fund, et al.
28935
Sept. 30, 2009
812-13535
American Capital, Ltd.
28932
Sept. 28, 2009
812-13643
AdvisorOne Funds and CLS Investments, LLC
28906
Sept. 22, 2009
812-13617
DNP Select Income Fund Inc., et al.
28908
Sept. 22, 2009
812-13221
Highland Capital Management, L.P., et al.
28907
Sept. 22, 2009
812-13584
Jackson Nat'l Life Ins. Company, et al.
28905
Sept. 22, 2009
812-13610
Rafferty Asset Management, LLC, et al.
28910
Sept. 22, 2009
812-13405
Arrow Investment Advisers, LLC, and Arrow Funds Trust
28910
Sept. 22, 2009
812-13405
Arrow Investment Advisers, LLC, and Arrow Funds Trust
28904
Sept. 21, 2009
812-13105
Clough Global Allocation Fund, et al.
28936
Sept. 20, 2009
812-13631
Columbia Funds Series Trust, et al.
28902
Sept. 17, 2009
812-13504
OOK, Inc., et al.
28902
Sept. 17, 2009
812-13504
OOK, Inc., et al.
28901
Sept. 15, 2009
812-13611
MML Series Investment Fund, et al.
28899
Sept. 9, 2009
812-13680
GE Asset Management Incorporated and GE Investment Distributors, Inc.
28898
Sept. 9, 2009
812-13614
Old Mutual Global Shares Trust, et al.
28898
Sept. 9, 2009
812-13614
Old Mutual Global Shares Trust, et al.
28893
Aug. 28, 2009
812-13619
Nuveen Tax-Advantaged Total Return Strategy Fund, et al.
28848
Aug. 13, 2009
812-13573
Compagnie de Financement Foncier
28846
Aug. 13, 2009
812-13503
Pax World Funds Trust II, et al.
28846
Aug. 13, 2009
812-13503
Pax World Funds Trust II, et al.
28844
Aug. 11, 2009
812-13578
The Alger Funds, et al.
28843
Aug. 11, 2009
812-13200
Reaves Utility Income Fund, et al.
28839
July 28, 2009
812-13545
GE Funds, et al.
28837
July 27, 2009
812-13421
Federated Core Trust III, et al.
28836
July 24, 2009
812-13642
WisdomTree Asset Management, Inc. and WisdomTree Trust
28820
July 20, 2009
812-13633
Embarcadero Funds, Inc., et al.
28822
July 20, 2009
812-13488
AdvisorShares Investments, LLC and AdvisorShares Trust
28815
July 8, 2009
812-13495
Nationwide Life Ins. Co., et al.
28815
July 8, 2009
812-13495
Nationwide Life Ins. Co., et al.
28810
July 7, 2009
812-13662
Banc of America Securities LLC, et al.
28811
July 7, 2009
812-13664
Deutsche Bank Securities Inc., et al.
28812
July 7, 2009
812-13663
RBC Capital Markets Corporation, et al.
28813
July 7, 2009
812-13604
PowerShares Exchange-Traded Fund Trust, et al.