Investment Company Act Order

Quick Links

  • empty
Release Number SEC Issue Date File Number Details
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.
33510 813-00391 Tudor Investment Corporation and Tudor Employee Investment Fund LLC
33503 812-14898 Nuveen Churchill BDC LLC, et al.
33502 812-14953 Collaborative Investment Series Trust and Belpointe Asset Management, LLC
33501 812-14975 Ellington Income Opportunities Fund, et al.
33500 812-14894 ALPS Variable Investment Trust, et al.
33499 812-14996 Toroso Investments, LLC and Tidal ETF Trust
33494 812-14194-03 Carillon Series Trust, et al.
33478 812-14943 Symmetry Panoramic Trust and Symmetry Partners, LLC
33479 812-14995 M-CAM International LLC, et al.
33477 812-14405 Precidian ETFs Trust, et al.
33474 812-14970 Putnam Managed Municipal Income Trust, et al.
33473 812-14868 Eaton Vance Growth Trust, et al.
33471 812-14981 Roundhill Financial LLC and Listed Funds Trust
33466 812-14932 Principal Diversified Select Income Fund, et al.
33463 812-14881 Monteagle Funds and Nashville Capital Corporation
33451 812-14944 iM Global Partner US LLC and Manager Directed Portfolios
33448 812-15011 Wells Fargo Securities, LLC, et al.
33443 812-14929 O'Shaughnessy Asset Management, LLC, et al.
33442 812-15009 Lyft, Inc.
33439 812-14959 American Beacon Sound Point Enhanced Income Fund, et al.
33437 812-14956 BlackRock Credit Strategies Fund, et al.
33438 812-14980 TigerShares Trust, et al.
33436 812-14990 Macquarie Global Infrastructure Total Return Fund Inc., et al.
33433 812-14939 Toroso Investments, LLC and Tidal ETF Trust
33430 812-14938 Infusive US Trust, et al.
33402 812-14887 OBP Capital LLC, et al.
33403 812-14954 Acquirers Funds, LLC, et al.
33401 812-14850 CM Finance Inc, et al.
33397 812-14974 Pacer Funds Trust, et al.
33394 812-14891 Pharos Capital BDC, Inc., et al.
33390 812-14985 Victory Capital Management Inc., et al.
33387 812-14986 Victory Capital Management Inc. et al.
33386 812-14937 Special Opportunities Fund, Inc. and Bulldog Investors, LLC
33363 812-14900 Stone Ridge Trust II, et al.
33365 812-14902 Cliffwater Corporate Lending Fund and Cliffwater LLC
33364 812-14942 Symmetry Panoramic Trust and Symmetry Partners, LLC
33366 812-14960 OSI ETF Trust, et al.
33362 812-14961 RYZZ Capital Management, LLC, et al.
33360 812-14910 Hercules Capital, Inc.
33349 812-14893 Investment Managers Series Trust and 361 Capital, LLC
33350 812-14947 TigerShares Trust, et al.
33352 812-14958 Timothy Plan and Timothy Partners, Ltd.
33359 812-14969 Hoya Capital Real Estate, LLC, et al.
33348 812-14912 Ai Funds, Inc. and Deep A.I. ETF Trust
33353 812-14933 Pacific Global ETF Trust and Cadence Capital Management LLC
33345 812-14822 American Fidelity Assurance Company, et al.
33346 812-14812 AQR Trust and AQR Capital Management, LLC
33347 812-14811 AQR Trust and AQR Capital Management, LLC
33326 812-14934 Pacific Global ETF Trust and Cadence Capital Management LLC
33321 812-14920 ABR Dynamic Funds, LLC, et al.
33316 812-14855 Stellus Capital Investment Corporation, et al.
33313 812-14924 Toroso Investments, LLC and Tidal ETF Trust
33307 812-14945 Cushing Asset Management, LP and Cushing ETF Trust
33297 812-14936 Beyond Advisors IC, et al.
33294 812-14931 Blackstone Real Estate Income Fund, et al.
33293 812-14903 Destra International & Event-Driven Credit Fund and Destra Capital Advisors LLC
33291 812-14771 Procure ETF Trust I, et al.
33292 812-14772 Procure Active ETF Trust, et al.
33290 812-14862 Audax Credit BDC Inc., et al.
33287 812-14883 Natixis Funds Trust I, et al.
33284 812-14923 Vident Advisory, LLC et al.
33278 812-14899 Hedge Fund Guided Portfolio Solution, et al.
33279 812-14860 BC Partners Lending Corporation, et al.
33276 812-14906 Distillate Capital Partners LLC, et al.
33275 812-14892 Ares Credit and Income Trust and Ares Capital Management III LLC
33269 812-14895 Variant Alternative Income Fund and Variant Investments, LLC
33267 812-14875 Exact Sciences Corporation
33266 812-14919 Wealthn LLC and TigerShares Trust
33264 812-14918 Cushing Asset Management, LP et al.
33262 812-14767 PIMCO Flexible Credit Income Fund, et al.
33258 812-14928 Broadstone Real Estate Access Fund, et al.
33238 812-14837 Innovator ETFs Trust, et al.
33239 812-14807 THL Credit, Inc., et al.
33237 812-14839 Tortoise Capital Advisors, L.L.C., et al.
33224 812-14831 AXA Equitable Life Insurance Company, et al.
33217 812-14838 Thrivent Financial for Lutherans, et al.
33207 812-14833 Advisors Asset Management, Inc. and ETF Series Solutions
33204 812-14853 OFI Carlyle Private Credit Fund and OC Private Capital, LLC
33200 812-14889 IndexIQ ETF Trust, et al.
Displaying 701 - 800 of 2076