Investment Company Act Order

Quick Links

  • empty
Release Number SEC Issue Date File Number Details
34090 812-15038 Yieldstreet Prism Fund Inc., et al.
34085 812-15159 Snowflake, Inc.
34083 812-15164 Development Bank of Japan Inc.
34077 812-15089 Horizon Funds and Horizon Investments, LLC
34074 812-15142 Frost Family of Funds and Frost Investment Advisors, LLC
34076 812-15141 Invesco Capital Management LLC, et al.
34055 812-15145 Arca U.S. Treasury Fund and Arca Capital Management, LLC
34053 812-15163 Deutsche Bank AG, et al.
34046 812-15108 Rand Capital Corporation, et al.
34044 812-15114 GSO Asset Management LLC and Blackstone Private Credit Fund
34040 812-15055 Federated Hermes Adviser Series, et al.
34036 812-14997 1WS Credit Income Fund, et al.
34033 812-15147 Resource Credit Income Fund and Sierra Crest Investment Management LLC
34030 812-15133 Blackrock ETF Trust III, et al.
34018 812-15123 Spinnaker ETF Series, et al.
34016 812-15057 Morgan Stanley Direct Lending Fund, et al.
34013 812-15115 Principal Funds, Inc., et al.
34012 812-15095 Owl Rock Capital Corporation II, et al.
33969 812-15122 Spinnaker ETF Series, et al.
33968 812-14987 FS Global Credit Opportunities Fund, et al.
33967 812-15105 Runway Growth Credit Fund, Inc., et al.
33965 812-15093 J.P. Morgan Exchange-Traded Fund Trust, et al.
33962 812-14909 OFS Capital Corp., et al.
33961 812-15051 Aspiriant Defensive Allocation Fund and Aspiriant LLC
33957 812-15073 Keystone Private Income Fund and Keystone National Group, LLC
33930 812-15072 Conversus Stepstone Private Markets, et al.
33926 812-15098 Hamilton Lane Private Assets Fund and Hamilton Lane Advisors, L.L.C.
33916 812-14722 Allianz Life Insurance Company of North America, et al
33894 812-15076 Sutter Rock Capital Corp.
33892 812-15059 Varagon Capital Corporation, et al.
33887 812-14774-02 USCF Advisers LLC, et al.
33888 812-15075 First Trust Series Fund, et. al.
33873 812-15008 Legg Mason Partners Equity Trust, et al.
33886 812-14866 Principal Funds, Inc. et al.
33869 812-15117 The Alger ETF Trust, et al.
33870 812-15061 Invesco Advisers, Inc., et al.
33871 812-14905 FS Credit Income Fund, et al.
33865 812-15049 Capitol Series Trust and Cornerstone Capital Inc.
33863 812-15067 KKR Credit Opportunities Portfolio and KKR Credit Advisors (US) LLC
33862 812-15082 American Century ETF Trust, et al.
33864 812-15019 Great Elm Capital Corp., et al.
33854 812-15043 Daxor Corporation
33851 812-15074 Conversus StepStone Private Markets and StepStone Conversus LLC
33849 812-15062 Guinness Atkinson Funds and Guinness Atkinson Asset Management, Inc.
33846 813-00389 Two Sigma Investments, LP and Two Sigma Luna, LLC
33850 812-15047 AIP Private Equity Opportunities Fund I A LP, et al.
33834 812-15034 Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC.
33822 812-15037 Prospect Capital Management L.P., et al.
33823 812-15088 ETF Managers Trust and ETF Managers Group LLC
33803 812-14383-09 FS Energy and Power Fund and FS/EIG Advisor, LLC
33801 812-15007 Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC
33797 812-15081 Goldman Sachs Real Estate Diversified Income Fund, et al.
33798 812-14940 Kayne Anderson MLP/Midstream Investment Company, et al.
33793 812-15040 Fundrise Real Estate Interval Fund, LLC, et al.
33745 812-14977 Prospect Capital Corporation, et al.
33741 813-00394 Lazard Asset Management LLC and Lazard ESC Funds LLC
33738 812-14967 Blackstone Alternative Alpha Fund, et al.
33720 812-15021 Blackstone Alternative Alpha Fund, et al.
33719 812-14957 North Square Investments Trust, et al.
33714 812-14626-01 AMG Pantheon Master Fund, LLC, et al.
33710 812-14625 Blue Tractor ETF Trust and Blue Tractor Group, LLC
33711 812-14870 Natixis ETF Trust II, et al.
33712 812-14364 Fidelity Beach Street Trust, et al.
33713 812-14214 T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc.
33708 812-15036 Gabelli ETFs Trust, et al.
33705 812-15060 OSI ETF Trust, et al.
33686 812-15052 MassMutual Select Funds, et al.
33679 812-15033 Mutual of America Life Insurance Company, et al.
33680 812-14993 Calvert Fund, et al.
33659 812-15001 CIM Real Assets & Credit Fund, et al.
33655 812-15031 ETFis Series Trust I, et al.
33656 812-15030 New Mountain Finance Corporation, et al.
33652 812-14988 Diamond Hill Funds and Diamond Hill Capital Management, Inc.
33632 812-15004 Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC
33628 812-14998 New Age Alpha Advisors, LLC and New Age Alpha Trust
33621 812-15022 Alaia Capital, LLC and m+ ETF Trust
33620 812-15035 American Century ETF Trust, et al.
33619 812-15012 Collaborative Investment Series Trust and Tactical Fund Advisors, LLC
33618 812-15041 Forum Funds, et al.
33609 812-15014 ETF Opportunities Trust, et al.
33595 812-15010 PFS Funds and Castle Investment Management, LLC.
33594 812-14911 The Guardian Insurance & Annuity Company, Inc., et al.
33592 812-14983 Zacks Investment Management, Inc. and Zacks Trust
33593 812-14984 Zacks Investment Management, Inc. and Zacks Trust
33596 812-15026 Liquid Strategies, LLC and Listed Funds Trust
33589 812-14964 1WS Credit Income Fund and 1WS Capital Advisers, LLC
33586 812-14856 Voya Retirement Insurance and Annuity Company et al.
33585 812-15032 Northern Lights Fund Trust III, et al.
33584 812-15039 WicShares Trust and Water Island Capital, LLC
33558 812-14962 Lord Abbett Credit Opportunities Fund, et al.
33555 812-14991 Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds
33553 812-14968 Axonic Alternative Income Fund and Axonic Capital LLC
33547 812-14854 Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC
33549 812-14994 Wahed Invest LLC, et al.
33548 812-15000 Vertical Capital Income Fund and Oakline Advisors, LLC
33546 812-15018 Pioneer ETF Series Trust I, et al.
33536 812-14915 Cresset Private Markets Opportunity Fund and Cresset SPG, LLC
33519 812-14791 Columbia Funds Series Trust, et al.
33518 812-14917 John Hancock GA Mortgage Trust, et al.
33515 812-14955 BlackRock Capital Investment Corporation, et al.
Displaying 701 - 800 of 2155