IC-35914
Jan. 26, 2026
812-15925
IC-35914
IC-35913
Jan. 26, 2026
812-15940
IC-35913
IC-35906
Jan. 21, 2026
812-15863
Lafayette Square USA, Inc., et al.
IC-35900
Jan. 20, 2026
812-15809
The RBB Fund Trust and Twin Oak ETF Company
IC-35904
Jan. 15, 2026
812-15800
Barings Corporate Investors, et al.
IC-35902
Jan. 14, 2026
812-15819
Sardis Credit Opportunities Fund, et al.
IC-35901
Jan. 13, 2026
812-15856
IC-35901
IC-35898
Jan. 13, 2026
812-15619
Virtus Alternative Solutions Trust, et al.
IC-35897
Jan. 13, 2026
812-15875
Victory Portfolios, et al.
IC-35896
Jan. 13, 2026
812-15812
Tweedy, Browne Fund Inc., et al
IC-35895
Jan. 13, 2026
812-15582
Touchstone Funds Group Trust, et al.
IC-35894
Jan. 13, 2026
812-15688
Thornburg Investment Trust, et al.
IC-35893
Jan. 13, 2026
812-15589
The Charles Schwab Family of Funds, et al.
IC-35892
Jan. 13, 2026
812-15556
TCW Metropolitan West Funds, et al
IC-35891
Jan. 13, 2026
812-15653
SPDR Series Trust, et al.
IC-35890
Jan. 13, 2026
812-15641
Segall Bryant & Hamill Trust, et al.
IC-35889
Jan. 13, 2026
812-15626
Shelton Funds, et al.
IC-35888
Jan. 13, 2026
812-15708
PIMCO Funds, et al
IC-35887
Jan. 13, 2026
812-15636
PFS Funds et al.
IC-35886
Jan. 13, 2026
812-15908
Parnassus Funds, et al.
IC-35885
Jan. 13, 2026
812-15644
Nushares ETF Trust, et al.
IC-35884
Jan. 13, 2026
812-15839
New York Life Investments Active ETF Trust, et al.
IC-35883
Jan. 13, 2026
812-15751
Neuberger Berman Investment Advisers LLC, et al.
IC-35882
Jan. 13, 2026
812-15542
Morgan Stanley Institutional Fund Trust, et al.
IC-35881
Jan. 13, 2026
812-15680
Lord, Abbett & Co. LLC, et al.
IC-35880
Jan. 13, 2026
812-15662
J.P. Morgan Investment Management Inc., et al.
IC-35879
Jan. 13, 2026
812-15637
John Hancock Investment Trust and John Hancock Investment Management LLC
IC-35878
Jan. 13, 2026
812-15843
Kayne Anderson Energy Infrastructure Fund, Inc., et al.
IC-35877
Jan. 13, 2026
812-15831
NB Private Markets Access Fund LLC, et al.
IC-35876
Jan. 13, 2026
812-15760
Harbor Funds, Harbor ETF Trust and Harbor Capital Advisors, Inc.
IC-35875
Jan. 13, 2026
812-15640
Guinness Atkinson Funds, et al
IC-35874
Jan. 13, 2026
812-15577
Grantham, Mayo, Van Otterloo & Co. LLC and GMO Trust
IC-35873
Jan. 13, 2026
812-15501
F/m Investments LLC and The RBB Fund, Inc.
IC-35872
Jan. 13, 2026
812-15517
Fidelity Hastings Street Trust, et al.
IC-35871
Jan. 13, 2026
812-15679-01
Deutsche DWS Asset Allocation Trust, et al.
IC-35870
Jan. 13, 2026
812-15652
BlackRock Funds, et al.
IC-35869
Jan. 13, 2026
812-15793
Baron Investment Funds Trust, et al.
IC-35868
Jan. 13, 2026
812-15591
Allspring Funds Trust, et al.
IC-35867
Jan. 13, 2026
812-15570
AB Municipal Income Fund, Inc., et al.
IC-35860
Jan. 6, 2026
812-15840
IC-35860
IC-35859
Jan. 6, 2026
812-15849
Prospect Capital Corporation, et al.
IC-35848
Jan. 2, 2026
812-15949
Oppenheimer & Co. Inc., et al.
IC-35847
Dec. 30, 2025
812-15824
Shelton Funds, et al.
IC-35846
Dec. 30, 2025
812-15792
Antares Private Credit Fund, et al.
IC-35841
Dec. 23, 2025
812-15902
ARK ETF Trust and ARK Investment Management LLC
IC-35840
Dec. 23, 2025
812-15903
ARK ETF Trust and ARK Investment Management LLC
IC-35839
Dec. 23, 2025
812-15844
The RBB Fund Trust and Clearbrook Investment Consulting, LLC
IC-35838
Dec. 23, 2025
812-15818
Bain Capital Credit, LP, et al.
IC-35837
Dec. 22, 2025
812-15779
Credit Suisse Services AG, et al.
See Also -
Response Letter , Response from United Against Money Laundering , Request for Hearing from United Against Money Laundering
IC-35833
Dec. 17, 2025
812-15837
Wilshire Private Assets Fund, et al.
IC-35832
Dec. 17, 2025
812-15855
Star Mountain Lower Middle-Market Capital Corp., et al.
IC-35831
Dec. 17, 2025
812-15685
Tri-Continental Corporation, et al.
IC-35830
Dec. 17, 2025
812-15798
Monroe Capital Corporation, et al.
IC-35829
Dec. 17, 2025
812-15796
1WS Credit Income Fund, et al.
IC-35825
Dec. 16, 2025
812-15853
MA Specialty Credit Income Fund, et al.
IC-35823
Dec. 16, 2025
812-15845
Willow Tree Capital Corporation, et al.
IC-35794
Nov. 19, 2025
812-15878
Audax PDB Management Company, LLC, et al.
IC-35793
Nov. 19, 2025
812-15890
Cambria ETF Trust, et al.
IC-35791
Nov. 18, 2025
812-15886
Diameter Dynamic Credit Fund, et al.
IC-35790
Nov. 17, 2025
812-15861
TCG Strategic Income Fund, et al.
IC-35789
Nov. 17, 2025
812-15874
Pennantpark Enhanced Income Fund, et al.
IC-35788
Nov. 17, 2025
812-15880
FPLF Management LLC, et al.
IC-35787
Nov. 17, 2025
812-15860
ARK Venture Fund, et al.
IC-35786
Nov. 17, 2025
812-15484
DFA INVESTMENT DIMENSIONS GROUP INC., et al.
IC-35785
Nov. 17, 2025
812-15887
IC-35785
IC-35784
Nov. 14, 2025
812-15578
Axxes Opportunistic Credit Fund, et al.
IC-35783
Nov. 14, 2025
812-15609
Russell Investments New Economy Infrastructure Fund, et al
IC-35782
Nov. 14, 2025
812-15835
26North BDC, Inc., et al.
IC-35781
Nov. 14, 2025
812-15628
Crestline Lending Solutions, LLC, et al.
IC-35780
Nov. 14, 2025
812-15815
Rand Capital Corporation, et al.
IC-35779
Nov. 14, 2025
812-15823
Privacore VPC Asset Backed Credit Fund, et al.
IC-35778
Nov. 14, 2025
812-15858
Oaktree Strategic Credit Fund, et al.
IC-35777
Nov. 14, 2025
812-15807
Banner Ridge DSCO Private Markets Fund, et al.
IC-35776
Nov. 14, 2025
812-15661
TCW Steel City Perpetual Levered Fund LP, et al
IC-35773
Sept. 30, 2025
812-15806
Gladstone Alternative Income Fund, et al.
IC-35772
Sept. 30, 2025
812-15794
Constitution Capital Access Fund, LLC, et al.
IC-35771
Sept. 30, 2025
812-15801
HarbourVest Private Investments Fund, et al.
IC-35765
Sept. 26, 2025
812-15785
Aksia LLC, et al.
IC-35757
Sept. 24, 2025
812-15821
IC-35757
IC-35756
Sept. 23, 2025
812-15799
IC-35756
IC-35755
Sept. 22, 2025
812-15808
Main Street Capital Corporation, et al.
IC-35752
Sept. 22, 2025
812-15827
Third Point Private Capital LLC and Third Point Private Capital Partners
IC-35751
Sept. 19, 2025
812-15764
ISQ OpenInfra Income Fund, et al.
IC-35736
Sept. 3, 2025
812-15772
Partners Group Private Equity (Master Fund), LLC, et al.
IC-35733
Sept. 2, 2025
812-15600
Gemcorp Commodities Alternative Products Fund, et al.
IC-35728
Aug. 27, 2025
812-15869
Man Diversified Income Fund and Man Solutions LLC
IC-35727
Aug. 27, 2025
812-15551
Fortress Private Lending Fund, et al.
IC-35726
Aug. 26, 2025
812-15781
Invesco Dynamic Credit Opportunity Fund, et al
IC-35724
Aug. 26, 2025
812-15811
IC-35724
IC-35714
Aug. 19, 2025
812-15605
IC-35714
IC-35713
Aug. 12, 2025
812-15753
Morgan Stanley Pathway Funds Consulting Group Advisory Services LLC
IC-35712
Aug. 12, 2025
812-15784
Ellington Credit Company, et al.
IC-35711
Aug. 12, 2025
812-15620
IC-35711
IC-35710
Aug. 11, 2025
812-15776
First Trust Real Assets Fund, et al.
IC-35709
Aug. 11, 2025
812-15755
Silver Point Specialty Credit Fund Management, LLC, et al.
IC-35707
Aug. 6, 2025
812-15728
Ardian Access LLC, et al.
IC-35706
Aug. 5, 2025
812-15822
Wedbush Series Trust, et al.
IC-35705
Aug. 5, 2025
812-15783
Nuveen Churchill Direct Lending Corp., et al.
IC-35699
July 29, 2025
812-15720
Lord Abbett Credit Opportunities Fund, et al.
IC-35698
July 29, 2025
812-15787
Private Debt & Income Fund and Brighton Jones LLC