33510
June 17, 2019
813-00391
Tudor Investment Corporation and Tudor Employee Investment Fund LLC
33503
June 7, 2019
812-14898
Nuveen Churchill BDC LLC, et al.
33502
June 5, 2019
812-14953
Collaborative Investment Series Trust and Belpointe Asset Management, LLC
33501
June 4, 2019
812-14975
Ellington Income Opportunities Fund, et al.
33500
June 3, 2019
812-14894
ALPS Variable Investment Trust, et al.
33499
June 3, 2019
812-14996
Toroso Investments, LLC and Tidal ETF Trust
33494
May 29, 2019
812-14194-03
Carillon Series Trust, et al.
33478
May 21, 2019
812-14943
Symmetry Panoramic Trust and Symmetry Partners, LLC
33479
May 21, 2019
812-14995
M-CAM International LLC, et al.
33477
May 20, 2019
812-14405
Precidian ETFs Trust, et al.
33474
May 14, 2019
812-14970
Putnam Managed Municipal Income Trust, et al.
33473
May 13, 2019
812-14868
Eaton Vance Growth Trust, et al.
33471
May 8, 2019
812-14981
Roundhill Financial LLC and Listed Funds Trust
33466
May 6, 2019
812-14932
Principal Diversified Select Income Fund, et al.
33463
April 30, 2019
812-14881
Monteagle Funds and Nashville Capital Corporation
33451
April 23, 2019
812-14944
iM Global Partner US LLC and Manager Directed Portfolios
33448
April 16, 2019
812-15011
Wells Fargo Securities, LLC, et al.
33443
April 9, 2019
812-14929
O'Shaughnessy Asset Management, LLC, et al.
33442
April 8, 2019
812-15009
Lyft, Inc.
33439
April 3, 2019
812-14959
American Beacon Sound Point Enhanced Income Fund, et al.
33437
April 2, 2019
812-14956
BlackRock Credit Strategies Fund, et al.
33438
April 2, 2019
812-14980
TigerShares Trust, et al.
33436
April 2, 2019
812-14990
Macquarie Global Infrastructure Total Return Fund Inc., et al.
33433
March 29, 2019
812-14939
Toroso Investments, LLC and Tidal ETF Trust
33430
March 27, 2019
812-14938
Infusive US Trust, et al.
33402
March 19, 2019
812-14887
OBP Capital LLC, et al.
33403
March 19, 2019
812-14954
Acquirers Funds, LLC, et al.
33401
March 19, 2019
812-14850
CM Finance Inc, et al.
33397
March 12, 2019
812-14974
Pacer Funds Trust, et al.
33394
March 11, 2019
812-14891
Pharos Capital BDC, Inc., et al.
33390
March 6, 2019
812-14985
Victory Capital Management Inc., et al.
33387
March 5, 2019
812-14986
Victory Capital Management Inc. et al.
33386
March 4, 2019
812-14937
Special Opportunities Fund, Inc. and Bulldog Investors, LLC
33363
Feb. 1, 2019
812-14900
Stone Ridge Trust II, et al.
33365
Feb. 1, 2019
812-14902
Cliffwater Corporate Lending Fund and Cliffwater LLC
33364
Feb. 1, 2019
812-14942
Symmetry Panoramic Trust and Symmetry Partners, LLC
33366
Feb. 1, 2019
812-14960
OSI ETF Trust, et al.
33362
Jan. 31, 2019
812-14961
RYZZ Capital Management, LLC, et al.
33360
Jan. 30, 2019
812-14910
Hercules Capital, Inc.
33349
Jan. 29, 2019
812-14893
Investment Managers Series Trust and 361 Capital, LLC
33350
Jan. 29, 2019
812-14947
TigerShares Trust, et al.
33352
Jan. 29, 2019
812-14958
Timothy Plan and Timothy Partners, Ltd.
33359
Jan. 29, 2019
812-14969
Hoya Capital Real Estate, LLC, et al.
33348
Jan. 29, 2019
812-14912
Ai Funds, Inc. and Deep A.I. ETF Trust
33353
Jan. 29, 2019
812-14933
Pacific Global ETF Trust and Cadence Capital Management LLC
33345
Jan. 28, 2019
812-14822
American Fidelity Assurance Company, et al.
33346
Jan. 28, 2019
812-14812
AQR Trust and AQR Capital Management, LLC
33347
Jan. 28, 2019
812-14811
AQR Trust and AQR Capital Management, LLC
33326
Dec. 17, 2018
812-14934
Pacific Global ETF Trust and Cadence Capital Management LLC
33321
Dec. 11, 2018
812-14920
ABR Dynamic Funds, LLC, et al.
33316
Dec. 4, 2018
812-14855
Stellus Capital Investment Corporation, et al.
33313
Dec. 3, 2018
812-14924
Toroso Investments, LLC and Tidal ETF Trust
33307
Nov. 27, 2018
812-14945
Cushing Asset Management, LP and Cushing ETF Trust
33297
Nov. 19, 2018
812-14936
Beyond Advisors IC, et al.
33294
Nov. 13, 2018
812-14931
Blackstone Real Estate Income Fund, et al.
33293
Nov. 9, 2018
812-14903
Destra International & Event-Driven Credit Fund and Destra Capital Advisors LLC
33291
Nov. 7, 2018
812-14771
Procure ETF Trust I, et al.
33292
Nov. 7, 2018
812-14772
Procure Active ETF Trust, et al.
33290
Nov. 7, 2018
812-14862
Audax Credit BDC Inc., et al.
33287
Oct. 31, 2018
812-14883
Natixis Funds Trust I, et al.
33284
Oct. 30, 2018
812-14923
Vident Advisory, LLC et al.
33278
Oct. 23, 2018
812-14899
Hedge Fund Guided Portfolio Solution, et al.
33279
Oct. 23, 2018
812-14860
BC Partners Lending Corporation, et al.
33276
Oct. 22, 2018
812-14906
Distillate Capital Partners LLC, et al.
33275
Oct. 17, 2018
812-14892
Ares Credit and Income Trust and Ares Capital Management III LLC
33269
Oct. 12, 2018
812-14895
Variant Alternative Income Fund and Variant Investments, LLC
33267
Oct. 11, 2018
812-14875
Exact Sciences Corporation
33266
Oct. 10, 2018
812-14919
Wealthn LLC and TigerShares Trust
33264
Oct. 5, 2018
812-14918
Cushing Asset Management, LP et al.
33262
Oct. 2, 2018
812-14767
PIMCO Flexible Credit Income Fund, et al.
33258
Sept. 28, 2018
812-14928
Broadstone Real Estate Access Fund, et al.
33238
Sept. 19, 2018
812-14837
Innovator ETFs Trust, et al.
33239
Sept. 19, 2018
812-14807
THL Credit, Inc., et al.
33237
Sept. 18, 2018
812-14839
Tortoise Capital Advisors, L.L.C., et al.
33224
Sept. 11, 2018
812-14831
AXA Equitable Life Insurance Company, et al.
33217
Sept. 5, 2018
812-14838
Thrivent Financial for Lutherans, et al.
33207
Aug. 21, 2018
812-14833
Advisors Asset Management, Inc. and ETF Series Solutions
33204
Aug. 20, 2018
812-14853
OFI Carlyle Private Credit Fund and OC Private Capital, LLC
33200
Aug. 14, 2018
812-14889
IndexIQ ETF Trust, et al.
33196
Aug. 7, 2018
812-14884
DMS ETF Trust I, et al.
33195
Aug. 7, 2018
812-14926
Charles Schwab & Co. Inc. and Charles Schwab Investment Management, Inc.
33192
Aug. 6, 2018
812-14829
TriLine Index Solutions, LLC and ETF Series Solutions
33193
Aug. 6, 2018
812-14828
SL Advisors, LLC and ETF Series Solutions
33191
Aug. 6, 2018
812-14925
AB Private Credit Investors Corp., et al.
33189
Aug. 1, 2018
812-14886
DMS ETF Trust I, et al.
33185
July 31, 2018
812-14896
Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC
33186
July 31, 2018
812-14835
Blackstone / GSO Floating Rate Enhanced Income Fund, et al.
33187
July 31, 2018
812-14921
Altaba Inc.
33166
July 24, 2018
812-14764
Goldman Sachs Trust, et al.
33167
July 24, 2018
812-14888
Motley Fool Asset Management, LLC and The RBB Fund, Inc.
33165
July 23, 2018
812-14879
Defiance ETFs, LLC, et al.
33161
July 17, 2018
812-14734
AXA Equitable Life Insurance Company, et al.
33160
July 17, 2018
812-14846
Impact Shares Trust I, et al.
33155
July 10, 2018
812-14872
Sprott ETF Trust and Sprott Asset Management USA Inc.
33154
July 10, 2018
812-14880
Aptus Capital Advisors, LLC and ETF Series Solutions
33145
July 3, 2018
812-14901
BlackRock Variable Series Funds, Inc., et al.
33138
June 28, 2018
812-14871
Sprott ETF Trust and Sprott Asset Management USA Inc.
33127
June 19, 2018
812-14662
Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc.
33125
June 19, 2018
812-14885
DMS ETF Trust I, et al.
33124
June 18, 2018
812-14832
Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC