32833
Sept. 26, 2017
812-14754
American Century International Bond Funds, et al.
32832
Sept. 26, 2017
812-14802
SL Advisors, LLC, et al.
32834
Sept. 26, 2017
813-00387
Hudson Advisors L.P., et al.
32814
Sept. 12, 2017
812-14723
TIAA-CREF Funds, et al.
32817
Sept. 12, 2017
812-14748
Advanced Series Trust, et al.
32806
Aug. 31, 2017
812-14792
Sage Advisory Services LTD Co. and Northern Lights Fund Trust IV
32800
Aug. 29, 2017
812-14761
Northern Lights Fund Trust and Toews Corporation
32798
Aug. 28, 2017
812-14733
USQ Core Real Estate Fund and Union Square Capital Partners, LLC
32799
Aug. 28, 2017
812-14759
Sharespost 100 Fund and SP Investments Management, LLC
32797
Aug. 28, 2017
812-14720
MVC Capital, Inc., et al.
32793
Aug. 23, 2017
812-14746
Change Finance, PBC, et al.
32787
Aug. 22, 2017
812-14740
Capital Southwest Corporation
32780
Aug. 15, 2017
812-14753
Morningstar Funds Trust and Morningstar Investment Management LLC
32781
Aug. 15, 2017
812-14763
Point Bridge Capital, LLC, et al.
32777
Aug. 8, 2017
812-14787
Northern Lights Fund Trust and Toews Corporation
32771
Aug. 1, 2017
812-14751
Nationwide Fund Advisors, et al.
32766
July 31, 2017
812-14716
Vertical Capital Income Fund and Oakline Advisors, LLC
32743
July 26, 2017
812-14649
Transamerica ETF Trust, et al.
32740
July 25, 2017
812-14783
Nationwide Fund Advisors, et al.
32739
July 25, 2017
813-00386
The Boston Consulting Group, Inc. and Green Falcon Investors I, L.P.
32735
July 18, 2017
812-14682
1889 BDC, Inc., et al.
32734
July 18, 2017
812-14607
Barings LLC, et al.
Federal Register version (82 FR 34339)
32732
July 12, 2017
812-14728
Westcore Trust and Denver Investment Advisors LLC
32730
July 11, 2017
812-14435
Triloma EIG Energy Income Fund, et al.
32731
July 11, 2017
812-14711
CION Ares Diversified Credit Fund, et al.
32729
July 10, 2017
812-14686
Advent/Claymore Enhanced Growth & Income Fund;
32726
July 6, 2017
812-14193-01
Partners Group (USA) Inc., et al.
32722
July 3, 2017
812-14611
Franklin Fund Allocator Series, et al.
32711
June 26, 2017
812-14703
Dreyfus ETF Trust
32684
June 20, 2017
812-14717
Series Portfolios Trust and Highmore Group Advisors, LLC
32685
June 20, 2017
812-14715
PIMCO Equity Series, et al.
32686
June 20, 2017
812-14747
Northern Lights Fund Trust IV and Main Management ETF Advisors, LLC
32683
June 19, 2017
812-14408
Corporate Capital Trust, Inc., et al.
32680
June 14, 2017
812-14707
TICC Capital Corp., et al.
32676
June 13, 2017
812-14213
The Mexico Equity & Income Fund, Inc. and Pichardo Asset Management, S.A. de C.V.
32677
June 13, 2017
812-14735
Solar Capital Ltd., et al.
32673
June 7, 2017
812-14698
RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC
32670
June 6, 2017
812-14713
Sierra Total Return Fund, et al.
32671
June 6, 2017
812-14455
Allianz Funds, et al.
32672
June 6, 2017
812-14467
Aspiriant Trust, et al.
32668
June 5, 2017
812-14699
New Mountain Finance Corporation, et al.
32665
May 30, 2017
812-14739
ClearShares, LLC et al.
32644
May 23, 2017
812-14646
Commonwealth Annuity and Life Insurance Company, et al.
32639
May 17, 2017
812-14750
TriLine Index Solutions, LLC, et al.
32636
May 16, 2017
812-14664
Homestead Funds, Inc. and RE Advisers Corporation
32637
May 16, 2017
812-14695
Formula Folio Investments, LLC and Northern Lights Fund Trust IV
32628
May 8, 2017
812-14548-05
Excelsior Private Markets Fund II (Master, LLC, et al.)
32622
May 2, 2017
812-14584
Precidian ETFs Trust, et al.
32619
May 1, 2017
812-14436-01
Olden Lane Securities LLC and Olden Lane Trust
32614
April 26, 2017
812-14694
Winton Diversified Opportunities Fund and Winton Capital US LLC
32611
April 25, 2017
812-14636
Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC
32603
April 19, 2017
812-14490
Transamerica Life Insurance Company, et al.
32604
April 19, 2017
812-14489
Transamerica Advisors Life Insurance Company, et al.
32605
April 19, 2017
812-14488
Transamerica Life Insurance Company, et al.
32606
April 19, 2017
812-14487
Transamerica Financial Life Insurance Company, et al.
32600
April 18, 2017
812-14677
AB Bond Fund Inc., et al.
32601
April 18, 2017
812-14397
Spinnaker ETF Trust, et al.
32599
April 17, 2017
812-14710
Investment Managers Series Trust II and Vivaldi Asset Management, LLC
32598
April 11, 2017
812-14255
Allianz Funds Multi-Strategy Trust and Allianz Global Investors U.S. LLC
32593
April 5, 2017
812-14608
Advanced Series Trust, et al.
32594
April 5, 2017
812-14727
UBS ETMF Trust, et al.
32595
April 5, 2017
812-14709
Parker Global Strategies, LLC
32590
April 4, 2017
812-14624
Jeffrey LLC
32581
March 29, 2017
812-14679
Medley Capital Corporation, et al.
32577
March 28, 2017
812-14719
Victory Portfolios, et al.
32578
March 28, 2017
812-14563-11
Neuberger Berman Investment Advisers LLC, et al.
32580
March 28, 2017
812-14612
Touchstone Investment Trust, et al.
32579
March 28, 2017
812-14706
Tortoise Index Solutions, LLC, et al.
32576
March 27, 2017
812-14692
USAA ETF Trust, et al.
32569
March 23, 2017
812-14446
Hartford Life Insurance Company, et al
32570
March 23, 2017
812-14447
Hartford Life Insurance Company, et al
32538
March 21, 2017
812-14386
The RBB Fund, Inc. and Altair Advisers LLC
32539
March 21, 2017
812-14656
Morgan Stanley ETF Trust, et al.
32535
March 16, 2017
812-14718
Brinker Capital Destinations Trust, et al.
32534
March 16, 2017
812-14724
Brinker Capital Destinations Trust, et al.
32530
March 13, 2017
812-14590
Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC
32532
March 13, 2017
812-14743
General Electric Company and GE Capital International Holdings Limited
32524
March 7, 2017
812-14708
NorthStar/Townsend Institutional Real Estate Fund Inc., et al.
32525
March 7, 2017
812-14693
USAA Asset Management Company, et al.
32522
March 7, 2017
812-14701
StrongVest ETF Trust, et al.
32514
Feb. 28, 2017
812-14702
Goldman, Sachs & Co.
32510
Feb. 27, 2017
812-14629
Destra Capital Advisors LLC, et al.
32509
Feb. 27, 2017
812-13764
Golub Capital BDC, Inc., et al.
32506
Feb. 22, 2017
812-14149
Allstate Assurance Company, et al
32504
Feb. 22, 2017
812-14389
Aspiration Funds and Aspiration Fund Adviser, LLC
32485
Feb. 22, 2017
812-14729
Causeway ETMF Trust, et al.
32507
Feb. 22, 2017
812-14700
StrongVest ETF Trust, et al.
32469
Feb. 7, 2017
812-14568
Owl Rock Capital Corporation, et al.
32468
Feb. 6, 2017
812-14627
Guardian Variable Products Trust and Park Avenue Institutional Advisers LLC
32459
Jan. 30, 2017
812-14628
Destra Capital Advisors LLC, et al.
32454
Jan. 27, 2017
812-13828-01
Hartford Funds Exchange-Traded Trust, et al.
32455
Jan. 27, 2017
812-14675
Krane Funds Advisors, LLC, et al.
32433
Jan. 24, 2017
812-14622
DFA Investment Dimensions Group Inc., et al.
32431
Jan. 24, 2017
812-14655
Morgan Stanley ETF Trust, et al.
32424
Jan. 18, 2017
812-14676
Transamerica Funds, et al.
32425
Jan. 18, 2017
812-14603
Virtus Alternative Solutions Trust, et al.
32426
Jan. 18, 2017
812-14690
Northern Lights Fund Trust IV and Blue Sky Asset Management, LLC
32427
Jan. 18, 2017
812-13603
Ares Capital Corporation, et al.
32423
Jan. 17, 2017
812-14595
Delaware Management Business Trust, et al.
32421
Jan. 10, 2017
812-14653
Equus Total Return, Inc.