28386
Sept. 22, 2008
812-13576
The Reserve Fund
28385
Sept. 22, 2008
812-13528
Aberdeen Asset Management Inc.
28384
Sept. 19, 2008
812-13451
Allianz Life Insurance Co. of North America, et al.
28384
Sept. 19, 2008
812-13451
Allianz Life Insurance Co. of North America, et al.
28373
Sept. 3, 2008
812-13532
Prudential Annuities Life Assurance Co., et al.
28374
Sept. 3, 2008
812-13537
Advanced Series Trust, et al.
28366
Aug. 26, 2008
812-13456
Goldman Sachs Trust, et al.
28367
Aug. 26, 2008
812-13425
Javelin Exchange-Traded Trust
28367
Aug. 26, 2008
812-13425
Javelin Exchange-Traded Trust
28368
Aug. 26, 2008
812-13377
DNP Select Income Fund Inc., et al.
28365
Aug. 25, 2008
812-13507
Van Eck Associates Corporation, et al.
28358
Aug. 19, 2008
812-13152
Cohen & Steers Advantage Income Realty Fund, Inc
28356
Aug. 12, 2008
812-13513
PIMCO Funds, et al.
28357
Aug. 12, 2008
812-13454
The Mexico Fund, Inc., et al.
28352
Aug. 5, 2008
812-13074
ING Clarion Real Estate Income Fund
28342
July 25, 2008
812-13401
The Penn Mutual Life Insurance Company, et al.
28342
July 25, 2008
812-13401
The Penn Mutual Life Insurance Company, et al.
28334
July 22, 2008
812-13457
Minnesota Life Insurance Co., et al.
28301
June 18, 2008
813-369
American International Group, Inc., et al.
28300
June 17, 2008
812-13475
Matrix Capital Group, Inc.
28297
June 6, 2008
812-13455
Prudential Retirement Insurance and Annuity Co., et al.
28295
June 3, 2008
812-13438
Main Street Capital Corporation, et al.
28294
May 30, 2008
812-13520
Harris & Harris Group, Inc.
28287
May 28, 2008
812-13476
Fidelity Rutland Square Trust, et al.
28288
May 28, 2008
812-13496
The RBB Fund, et al.
28289
May 28, 2008
813-362
Bessemer Group, Inc., et al.
28285
May 23, 2008
812-13466
ING USA Annuity & Life Insurance Co., et al.
28267
May 20, 2008
812-13508
Thrivent Mutual Funds, et al.,
28264
May 7, 2008
812-13246
U.S. Bank National Association, et al.
28262
May 2, 2008
812-13430
ALPS Advisers, Inc., et al.,
28257
April 24, 2008
812-13500
Franklin California Tax-Free Income Fund, et al.
28236
April 16, 2008
812-13439
MetLife Insurance Co. of Connecticut, et al.
28236
April 16, 2008
812-13439
MetLife Insurance Co. of Connecticut, et al.
28237
April 16, 2008
812-13445
American Family Life Insurance Co., et al.
28234
April 3, 2008
812-13452
Jefferson National Life Insurance Co., et al.
28234
April 3, 2008
812-13452
Jefferson National Life Insurance Co., et al.
28233
April 1, 2008
812-13446
Prudential Annuities Life Assurance Corp., et al.
28231
April 1, 2008
812-13437
Pruco Life Insurance Company, et al.
28232
April 1, 2008
812-13423
CUNA Mutual Insurance Society, et al.
28230
April 1, 2008
812-13418
J.P. Morgan Trust I, et al.
28201
March 25, 2008
812-13473
Advisors Series Trust, et al.
28202
March 25, 2008
812-13481
Eaton Vance Mutual Fund, et al.
28200
March 25, 2008
812-13348
Patriot Capital Funding, Inc.
28199
March 24, 2008
812-13367
Kohlberg Capital Corporation
28239
March 23, 2008
812-13368
Kohlberg Capital Corporation
28169
March 18, 2008
812-13436
Triangle Capital Corporation
28169
March 18, 2008
812-13447
Triangle Capital Corporation
28196
March 18, 2008
812-13367
Kohlberg Capital Corporation
28195
March 17, 2008
812-13444
NETS Trust, et al.
28182
March 4, 2008
812-13427
Pioneer Bond Fund, et al.
28171
Feb. 27, 2008
812-13386
PowerShares Capital Management LLC, et al.
28172
Feb. 27, 2008
812-13352
Bear Stearns Asset Management, Inc., et al.
28173
Feb. 27, 2008
812-13485
Barclays Global Fund Advisors, et al.
28174
Feb. 27, 2008
812-13470
WisdomTree Trust, et al.
28167
Feb. 25, 2008
812-13467
Schroder Series Trust, et al.
28167
Feb. 25, 2008
812-13457
Schroder Series Trust, et al.
28151
Feb. 13, 2008
812-13363
The TIGERS Revenue Trust and VTL Associates LLC
28150
Feb. 13, 2008
812-13213
Morgan Stanley Investment Management, et al.
28149
Feb. 12, 2008
812-13424
Northern Institutional Funds, et al.
28122
Jan. 16, 2008
812-13453
The UBS Funds, et al.
28120
Jan. 16, 2008
812-13411
Main Street Capital Corp.
28120
Jan. 16, 2008
812-13411
Main Street Capital Corp.
28121
Jan. 16, 2008
812-13464
Millenium India Acquisition
28117
Dec. 27, 2007
812-13450
Unified Series Trust
28081
Dec. 21, 2007
812-13414
John Hancock Life Insurance Company, et al.
28076
Dec. 11, 2007
813-367
Kiewit Investment Fund
28074
Dec. 4, 2007
812-12984
BTOP50 CTA Index Fund
28072
Dec. 4, 2007
813-350
Tower 21 st Century Fund
28067
Nov. 27, 2007
812-13416
Rafferty Asset Management
28066
Nov. 27, 2007
812-13376
FocusShares f/n/a MyShares
28044
Nov. 7, 2007
812-13380
MetLife Insurance Company of Connecticut, et al.
28044
Nov. 7, 2007
812-13380
MetLife Insurance Company of Connecticut, et al.
28043
Nov. 6, 2007
813-326
Raymond James Employee
28038
Oct. 29, 2007
812-13419
JNF Advisors, Inc.
28023
Oct. 24, 2007
812-13232
Fidelity Rutland Square
28024
Oct. 24, 2007
812-13412
Vanguard STAR Funds
28021
Oct. 24, 2007
812-13426
Van Eck Associates Corp.
28020
Oct. 24, 2007
812-13398
American Capital Strategies
28018
Oct. 23, 2007
812-13390
Rydex ETF Trust, et al.
28019
Oct. 23, 2007
812-13396
Claymore Exchange-Traded Fund
28016
Oct. 22, 2007
812-13413
MMA PRAXIS Mutual Funds
28017
Oct. 22, 2007
812-13394
The BISYS Group, Inc.
28014
Oct. 17, 2007
812-13382
ProShares Trust, et al.
28015
Oct. 17, 2007
812-13417
Wisdom Tree Investments, Inc., et al.
28015
Oct. 17, 2007
812-13417
Wisdom Tree Investments, Inc., et al.
28011
Oct. 10, 2007
812-13388
Hercules Technology Growth Capital, Inc.
27999
Sept. 27, 2007
812-13359
Financial Investors Variable Insurance Trust, et al.
27995
Sept. 26, 2007
812-13408
Trust for Professional Managers, Inc.
27983
Sept. 26, 2007
812-13372
SPA ETF Trust, et al.
27979
Sept. 25, 2007
812-13365
Minnesota Life Insurance Company, et al.
27981
Sept. 25, 2007
812-13387
Rydex ETF Trust, et al.
27971
Sept. 18, 2007
812-13364
Allianz RCM Global EcoTrends Fund
27972
Sept. 18, 2007
812-13267
Hartford Life Insurance Co., et al.
27970
Sept. 17, 2007
812-13259
American International Group, Inc.
27959
Aug. 29, 2007
812-13353
Sentinel Variable Products Trust, et al.
27956
Aug. 28, 2007
812-13251
AARP Funds
27955
Aug. 28, 2007
812-13290
Medallion Financial Corp.
27957
Aug. 28, 2007
812-12973
Lehman Brothers Asset Management LLC
27954
Aug. 27, 2007
812-13383
DWS Advisor Funds, et al.
27954
Aug. 27, 2007
812-13364
DWS Advisor Funds, et al.