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
812-13571
Pacific Investment Management Company LLC and PIMCO ETF Trust; Notice of Application
Federal Register version (74 FR 54866)
28949
Oct. 20, 2009
812-13612
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.
28814
July 7, 2009
812-13449
X Exchange-Traded Funds, Inc., et al.
28805
June 29, 2009
812-13650
WisdomTree Investments, Inc., et al.
28805
June 29, 2009
812-13650
WisdomTree Investments, Inc., et al.
28770
June 23, 2009
812-13551
The Managers Funds, et al.
28768
June 16, 2009
812-13649
Main Street Capital Corporation, et al.
28753
June 1, 2009
812-13594
Cohen & Steers Advantage Income Realty Fund, Inc., et al.
28754
June 1, 2009
812-13598
Flaherty & Crumrine Preferred Income Fund Incorporated, et al.
28752
June 1, 2009
812-13555
Pacific Investment Management Company LLC
28746
May 26, 2009
812-13618
Citibank, N.A., et al.
28727
May 20, 2009
813-274
William Blair & Company, L.L.C.
28724
May 12, 2009
812-13400
ProShares Trust, et al.
28719
May 5, 2009
812-13235
The Blackrock Investment Quality Municipal Trust Inc.
28718
May 5, 2009
812-13647
Triangle Capital Corp.
28716
April 28, 2009
812-13525
Bridgeway Capital Management, Inc.
28714
April 28, 2009
812-13564
Phoenix Life Insurance Company, et al.
28715
April 28, 2009
812-13602
First American Strategy Funds, Inc.
28699
April 20, 2009
812-13588
MetLife Ins. Co. of Connecticut, et al.
28699
April 20, 2009
812-13588
MetLife Ins. Co. of Connecticut, et al.
28695
April 14, 2009
812-13645
UBS AG
28694
April 14, 2009
812-13519
Massachusetts Financial Services Company, et al.
28693
April 14, 2009
812-13538
ING Investments, LLC
28688
April 7, 2009
812-13641
Citigroup, Inc.
28689
April 7, 2009
812-13639
E*Trade Financial Corporation
28687
April 3, 2009
812-13600
ING USA Annuity & Life Ins. Co., et al.
28682
March 30, 2009
812-13543
Forward Funds, et al.
28654
March 24, 2009
812-13541
DFA Investment Dimensions Group Inc.
28653
March 20, 2009
812-13441
INDEXIQ ETF Trust
28653
March 20, 2009
812-13441
INDEXIQ ETF Trust
28651
March 18, 2009
812-13515
Mainstay VP Series Fund, Inc., et al.
28648
March 17, 2009
812-13632
Wachovia Securities, LLC, et al.
28643
March 10, 2009
812-13586
Eaton Vance Enhanced Equity Income Fund, et al.
28641
March 4, 2009
812-13536
Advisors Asset Management, Inc.
28615
Feb. 10, 2009
812-13552
Calamos Convertible Opportunities and Income Fund, et al.
28614
Feb. 9, 2009
812-13523
Allstate Financial Investment Trust, et al.
28612
Feb. 3, 2009
812-13239
SunAmerica Focused Alpha Growth Fund, Inc., et al.
28611
Feb. 3, 2009
812-13397
MacQuarie Global Infrastructure Total, et al.
28608
Jan. 26, 2009
812-13499
The Franklin, Templeton and Mutual Series Funds, et al.