Investment Company Act Notices and Orders

This page lists notices and orders of applications filed under the Investment Company Act (ICA) issued after January 1, 2007. Copies of the applications may be obtained for a fee at the Commission's Public Reference Branch. For other materials related to the Commission's oversight and regulation of the investment management industry, investment companies (including mutual funds), and investment advisers, see the Division of Investment Management.

See also Investment Company Act Deregistration Notices and Orders.

Chronological List
Second Quarter | First Quarter

ICA File Number List for 2009

Additional Archives

2009 | 2008 | 2007

Chronological List

Release No.	Date	Details
Second Quarter
812-13235-55
IC-28719	May 5, 2009	BlackRock International Growth and Income Trust et al. (Order)
812-13647
IC-28718	May 5, 2009	Triangle Capital Corporation (Order)
812-13618
IC-28717	Apr. 29, 2009	Citibank, N.A. (Notice)
812-13525
IC-28716	Apr. 28, 2009	Bridgeway Capital Management, Inc. (Order)
812-13602
IC-28715	Apr. 28, 2009	First American Strategy Funds, Inc., et al. (Order)
812-13564
IC-28714	Apr. 28, 2009	Phoenix Life Insurance Company, et al. (Order)
813-00274
IC-28700	Apr. 22, 2009	William Blair & Company, L.L.C. and Wilblairco II, L.L.C. (Notice)
812-13588
IC-28699	Apr. 20, 2009	MetLife Insurance Company of Connecticut, et al. (Order)
812-13400
IC-28696	Apr. 14, 2009	ProShares Trust, et al. (Notice)
812-13645
IC-28695	Apr. 14, 2009	UBS AG, et al. (Order)
812-13519
IC-28694	Apr. 14, 2009	Massachusetts Financial Services Company, et al. (Order)
812-13538
IC-28693	Apr. 14, 2009	ING Investments, LLC (Order)
812-13647
IC-28692	Apr. 13, 2009	Triangle Capital Corporation (Notice)
812-13235-55
IC-28690	Apr. 7, 2009	Blackrock International Growth and Income Trust, et al. (Notice)
812-13639
IC-28689	Apr. 7, 2009	E*TRADE Capital Markets LLC, et al. (Order)
812-13641
IC-28688	Apr. 7, 2009	Automated Trading Desk Specialists, LLC, et al. (Order)
812-13600
IC-28687	Apr. 6, 2009	ING USA Annuity and Life Insurance Company, et al. (Order)
812-13564
IC-28686	Apr. 3, 2009	Phoenix Life Insurance Company, et al. (Notice)
812-13525
IC-28685	Apr. 1, 2009	Bridgeway Capital Management, Inc. (Notice)
First Quarter
812-13602
IC-28683	Mar. 31, 2009	First American Strategy Funds, Inc. (Notice)
812-13543
IC-28682	Mar. 30, 2009	Forward Funds, et al. (Order)
812-13588
IC-28678	Mar. 25, 2009	MetLife Insurance Company of Connecticut, et al. (Notice)
812-13541
IC-28654	Mar. 24, 2009	DFA Investment Dimensions Group Inc., et al. (Order)
812-13441
IC-28653	Mar. 20, 2009	IndexIQ ETF Trust, et al. (Order)
812-13645
IC-28652	Mar. 19, 2009	UBS AG, et al. (Notice and Temporary Order)
812-13515
IC-28651	Mar. 18, 2009	Mainstay VP Series Fund, et al. (Order)
812-13538
IC-28650	Mar. 17, 2009	ING Investments, LLC, et al. (Corrected Notice)
812-13519
IC-28649	Mar. 17, 2009	Massachusetts Financial Services Company, et al. (Notice)
812-13632
IC-28648	Mar. 17, 2009	Wachovia Securities, LLC, et al. (Order)
812-13600
IC-28646	Mar. 13, 2009	ING USA Annuity and Life Insurance Company, et al. (Notice)
IC-28647	Mar. 12, 2009	Automated Trading Desk Specialists, LLC, et al. (Notice)
812-13639
IC-28689	Apr. 7, 2009	E*TRADE Capital Markets LLC, et al. (Order)
IC-28645	Mar. 12, 2009	E*TRADE Capital Markets LLC, et al. (Notice)
812-13586
IC-28643	Mar. 10, 2009	Eaton Vance Enhanced Equity Income Fund, et al. (Order)
812-13536
IC-28641	Mar. 4, 2009	Advisors Asset Management, Inc. and Advisors Disciplined Trust (Order)
812-13543
IC-28640	Mar. 3, 2009	Forward Funds, et al. (Notice)
812-13441
IC-28638	Feb. 27, 2009	IndexIQ ETF Trust, et al. (Notice)
812-13541
IC-28637	Feb. 26, 2009	DFA Investment Dimensions Group Inc., et al. (Notice)
812-13515
IC-28619	Feb. 20, 2009	Mainstay VP Series Fund, Inc. (Notice)
812-13632
IC-28618	Feb. 18, 2009	Wachovia Securities, LLC, et al. (Notice and Temporary Order)
812-13586
IC-28616	Feb. 10, 2009	Eaton Vance Enhanced Equity Income Fund, et al. (Notice)
812-13552
IC-28615	Feb. 10, 2009	Calamos Convertible Opportunities and Income Fund, et al. (Order)
812-13523
IC-28614	Feb. 9, 2009	Allstate Financial Investment Trust, et al. (Order)
812-13536
IC-28613	Feb. 6, 2009	Advisors Asset Management, Inc. and Advisors Disciplined Trust (Notice)
812-13239
IC-28612	Feb. 3, 2009	SunAmerica Focused Alpha Growth Fund, Inc., et al. (Order)
812-13397
IC-28611	Feb. 3, 2009	Macquarie Global Infrastructure Total Return Fund Inc., et al. (Order)
812-13499
IC-28608	Jan. 26, 2009	Franklin Templeton Fund Allocator Series, et al. (Order)
812-13402
IC-28607	Jan. 22, 2009	Sun Life Assurance Company of Canada (U.S.), et al. (Order)
812-13609
IC-28606	Jan. 16, 2009	UBS Securities LLC, et al. (Order)
812-13615
IC-28605	Jan. 16, 2009	Citigroup Global Markets Inc., et al. (Order)
812-13440
IC-28604	Jan. 16, 2009	Grail Advisors, LLC and Grail Advisors ETF Trust (formerly known as Grail Advisors' Alpha ETF Trust) (Order)
812-13552
IC-28603	Jan. 14, 2009	Calamos Convertible Opportunities and Income Fund, et al.(Notice)
812-13523
IC-28581	Jan. 12, 2009	Allstate Financial Investment Trust, et al. (Notice)
812-13397
IC-28579	Jan. 6, 2009	Macquarie Global Infrastructure Total Return Fund, Inc., et al. (Notice)
812-13239
IC-28578	Jan. 6, 2009	SunAmerica Focused Alpha Growth Fund, Inc., et al. (Notice)
812-13563
IC-28577	Jan. 6, 2009	TIAA-CREF Life Funds, et al. (Order)
813-332
IC-28576	Jan. 6, 2009	TWB Investment Partnership, L.P., et al. (Order)

ICA File Number List for 2009

Release No.	Date	Details
813-00274
IC-28700	Apr. 22, 2009	William Blair & Company, L.L.C. and Wilblairco II, L.L.C. (Notice)
812-13647
IC-28718	May 5, 2009	Triangle Capital Corporation (Order)
IC-28692	Apr. 13, 2009	Triangle Capital Corporation (Notice)
812-13645
IC-28695	Apr. 14, 2009	UBS AG, et al. (Order)
IC-28652	Mar. 19, 2009	UBS AG, et al. (Notice and Temporary Order)
812-13641
IC-28687	Apr. 7, 2009	Automated Trading Desk Specialists, LLC, et al. (Order)
IC-28647	Mar. 12, 2009	Automated Trading Desk Specialists, LLC, et al. (Notice)
812-13639
IC-28689	Apr. 7, 2009	E*TRADE Capital Markets LLC, et al. (Order)
IC-28645	Mar. 12, 2009	E*TRADE Capital Markets LLC, et al. (Notice)
812-13632
IC-28648	Mar. 17, 2009	Wachovia Securities, LLC, et al. (Order)
IC-28618	Feb. 18, 2009	Wachovia Securities, LLC, et al. (Notice and Temporary Order)
812-13618
IC-28717	Apr. 29, 2009	Citibank, N.A. (Notice)
812-13615
IC-28605	Jan. 16, 2009	Citigroup Global Markets Inc., et al. (Order)
812-13609
IC-28606	Jan. 16, 2009	UBS Securities LLC, et al. (Order)
812-13602
IC-28715	Apr. 28, 2009	First American Strategy Funds, Inc., et al. (Order)
IC-28683	Mar. 31, 2009	First American Strategy Funds, Inc. (Notice)
812-13600
IC-28687	Apr. 6, 2009	ING USA Annuity and Life Insurance Company, et al. (Order)
IC-28646	Mar. 13, 2009	ING USA Annuity and Life Insurance Company, et al. (Notice)
812-13588
IC-28699	Apr. 20, 2009	MetLife Insurance Company of Connecticut, et al. (Order)
IC-28678	Mar. 25, 2009	MetLife Insurance Company of Connecticut, et al. (Notice)
812-13586
IC-28643	Mar. 10, 2009	Eaton Vance Enhanced Equity Income Fund, et al. (Order)
IC-28616	Feb. 10, 2009	Eaton Vance Enhanced Equity Income Fund, et al. (Notice)
812-13564
IC-28714	Apr. 28, 2009	Phoenix Life Insurance Company, et al. (Order)
IC-28686	Apr. 3, 2009	Phoenix Life Insurance Company, et al. (Notice)
812-13552
IC-28615	Feb. 10, 2009	Calamos Convertible Opportunities and Income Fund, et al. (Order)
IC-28603	Jan. 14, 2009	Calamos Convertible Opportunities and Income Fund, et al.(Notice)
812-13543
IC-28682	Mar. 30, 2009	Forward Funds, et al. (Order)
IC-28640	Mar. 3, 2009	Forward Funds, et al. (Notice)
812-13541
IC-28654	Mar. 24, 2009	DFA Investment Dimensions Group Inc., et al. (Order)
IC-28637	Feb. 26, 2009	DFA Investment Dimensions Group Inc., et al. (Notice)
812-13538
IC-28693	Apr. 14, 2009	ING Investments, LLC (Order)
IC-28650	Mar. 17, 2009	ING Investments, LLC, et al. (Corrected Notice)
812-13536
IC-28641	Mar. 4, 2009	Advisors Asset Management, Inc. and Advisors Disciplined Trust (Order)
IC-28613	Feb. 6, 2009	Advisors Asset Management, Inc. and Advisors Disciplined Trust (Notice)
812-13525
IC-28716	Apr. 28, 2009	Bridgeway Capital Management, Inc. (Order)
IC-28685	Apr. 1, 2009	Bridgeway Capital Management, Inc. (Notice)
812-13523
IC-28614	Feb. 9, 2009	Allstate Financial Investment Trust, et al. (Order)
IC-28581	Jan. 12, 2009	Allstate Financial Investment Trust, et al. (Notice)
812-13519
IC-28694	Apr. 14, 2009	Massachusetts Financial Services Company, et al. (Order)
IC-28649	Mar. 17, 2009	Massachusetts Financial Services Company, et al. (Notice)
812-13515
IC-28651	Mar. 18, 2009	Mainstay VP Series Fund, et al. (Order)
IC-28619	Feb. 20, 2009	Mainstay VP Series Fund, Inc. (Notice)
812-13499
IC-28608	Jan. 26, 2009	Franklin Templeton Fund Allocator Series, et al. (Order)
812-13441
IC-28653	Mar. 20, 2009	IndexIQ ETF Trust, et al. (Order)
IC-28638	Feb. 27, 2009	IndexIQ ETF Trust, et al. (Notice)
812-13440
IC-28604	Jan. 16, 2009	Grail Advisors, LLC and Grail Advisors ETF Trust (formerly known as Grail Advisors' Alpha ETF Trust) (Order)
812-13400
IC-28696	Apr. 14, 2009	ProShares Trust, et al. (Notice)
812-13397
IC-28611	Feb. 3, 2009	Macquarie Global Infrastructure Total Return Fund Inc., et al. (Order)
IC-28579	Jan. 6, 2009	Macquarie Global Infrastructure Total Return Fund, Inc., et al. (Notice)
812-13239
IC-28612	Feb. 3, 2009	SunAmerica Focused Alpha Growth Fund, Inc., et al. (Order)
IC-28578	Jan. 6, 2009	SunAmerica Focused Alpha Growth Fund, Inc., et al. (Notice)
812-13235-55
IC-28719	May 5, 2009	BlackRock International Growth and Income Trust et al. (Order)
IC-28690	Apr. 7, 2009	Blackrock International Growth and Income Trust, et al. (Notice)

http://www.sec.gov/rules/icreleases.shtml