33862
May 12, 2020
812-15082
American Century ETF Trust, et al.
33864
May 12, 2020
812-15019
Great Elm Capital Corp., et al.
33854
April 24, 2020
812-15043
Daxor Corporation
33851
April 23, 2020
812-15074
Conversus StepStone Private Markets and StepStone Conversus LLC
33849
April 22, 2020
812-15062
Guinness Atkinson Funds and Guinness Atkinson Asset Management, Inc.
33846
April 22, 2020
813-00389
Two Sigma Investments, LP and Two Sigma Luna, LLC
33850
April 22, 2020
812-15047
AIP Private Equity Opportunities Fund I A LP, et al.
33834
April 3, 2020
812-15034
Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC.
33822
March 24, 2020
812-15037
Prospect Capital Management L.P., et al.
33823
March 24, 2020
812-15088
ETF Managers Trust and ETF Managers Group LLC
33803
Feb. 25, 2020
812-14383-09
FS Energy and Power Fund and FS/EIG Advisor, LLC
33801
Feb. 19, 2020
812-15007
Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC
33797
Feb. 4, 2020
812-15081
Goldman Sachs Real Estate Diversified Income Fund, et al.
33798
Feb. 4, 2020
812-14940
Kayne Anderson MLP/Midstream Investment Company, et al.
33793
Jan. 28, 2020
812-15040
Fundrise Real Estate Interval Fund, LLC, et al.
33745
Jan. 13, 2020
812-14977
Prospect Capital Corporation, et al.
33741
Jan. 8, 2020
813-00394
Lazard Asset Management LLC and Lazard ESC Funds LLC
33738
Dec. 30, 2019
812-14967
Blackstone Alternative Alpha Fund, et al.
33720
Dec. 18, 2019
812-15021
Blackstone Alternative Alpha Fund, et al.
33719
Dec. 17, 2019
812-14957
North Square Investments Trust, et al.
33714
Dec. 13, 2019
812-14626-01
AMG Pantheon Master Fund, LLC, et al.
33710
Dec. 10, 2019
812-14625
Blue Tractor ETF Trust and Blue Tractor Group, LLC
33711
Dec. 10, 2019
812-14870
Natixis ETF Trust II, et al.
33712
Dec. 10, 2019
812-14364
Fidelity Beach Street Trust, et al.
33713
Dec. 10, 2019
812-14214
T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc.
33708
Dec. 3, 2019
812-15036
Gabelli ETFs Trust, et al.
33705
Nov. 26, 2019
812-15060
OSI ETF Trust, et al.
33686
Nov. 18, 2019
812-15052
MassMutual Select Funds, et al.
33679
Oct. 29, 2019
812-15033
Mutual of America Life Insurance Company, et al.
33680
Oct. 29, 2019
812-14993
Calvert Fund, et al.
33659
Oct. 22, 2019
812-15001
CIM Real Assets & Credit Fund, et al.
33655
Oct. 8, 2019
812-15031
ETFis Series Trust I, et al.
33656
Oct. 8, 2019
812-15030
New Mountain Finance Corporation, et al.
33652
Oct. 2, 2019
812-14988
Diamond Hill Funds and Diamond Hill Capital Management, Inc.
33632
Sept. 24, 2019
812-15004
Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC
33628
Sept. 17, 2019
812-14998
New Age Alpha Advisors, LLC and New Age Alpha Trust
33621
Sept. 10, 2019
812-15022
Alaia Capital, LLC and m+ ETF Trust
33620
Sept. 10, 2019
812-15035
American Century ETF Trust, et al.
33619
Sept. 9, 2019
812-15012
Collaborative Investment Series Trust and Tactical Fund Advisors, LLC
33618
Sept. 9, 2019
812-15041
Forum Funds, et al.
33609
Aug. 26, 2019
812-15014
ETF Opportunities Trust, et al.
33595
Aug. 20, 2019
812-15010
PFS Funds and Castle Investment Management, LLC.
33594
Aug. 20, 2019
812-14911
The Guardian Insurance & Annuity Company, Inc., et al.
33592
Aug. 20, 2019
812-14983
Zacks Investment Management, Inc. and Zacks Trust
33593
Aug. 20, 2019
812-14984
Zacks Investment Management, Inc. and Zacks Trust
33596
Aug. 20, 2019
812-15026
Liquid Strategies, LLC and Listed Funds Trust
33589
Aug. 14, 2019
812-14964
1WS Credit Income Fund and 1WS Capital Advisers, LLC
33586
Aug. 9, 2019
812-14856
Voya Retirement Insurance and Annuity Company et al.
33585
Aug. 9, 2019
812-15032
Northern Lights Fund Trust III, et al.
33584
Aug. 8, 2019
812-15039
WicShares Trust and Water Island Capital, LLC
33558
July 16, 2019
812-14962
Lord Abbett Credit Opportunities Fund, et al.
33555
July 16, 2019
812-14991
Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds
33553
July 15, 2019
812-14968
Axonic Alternative Income Fund and Axonic Capital LLC
33547
July 9, 2019
812-14854
Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC
33549
July 9, 2019
812-14994
Wahed Invest LLC, et al.
33548
July 9, 2019
812-15000
Vertical Capital Income Fund and Oakline Advisors, LLC
33546
July 8, 2019
812-15018
Pioneer ETF Series Trust I, et al.
33536
June 27, 2019
812-14915
Cresset Private Markets Opportunity Fund and Cresset SPG, LLC
33519
June 26, 2019
812-14791
Columbia Funds Series Trust, et al.
33518
June 25, 2019
812-14917
John Hancock GA Mortgage Trust, et al.
33515
June 20, 2019
812-14955
BlackRock Capital Investment Corporation, et al.
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.