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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
Fourth Quarter | Third Quarter |
Second Quarter | First Quarter
ICA File Number List for 2009
Additional Archives
2009 | 2008 | 2007
| Release No. |
Date |
Details |
| Fourth Quarter |
812-13571 |
| IC-28949 |
Oct. 20, 2009 |
Pacific Investment Management Company LLC and PIMCO ETF Trust (Notice)
|
812-13612 |
| IC-28948 |
Oct. 20, 2009 |
Annuity Investors Life Insurance Company, et al. (Order)
|
812-13432-02 |
| IC-28947 |
Oct. 16, 2009 |
Pioneer Diversified High Income Trust, et al. (Notice)
|
812-13086-05 |
| IC-28945 |
Oct. 14, 2009 |
Neuberger Berman Management LLC, et al. (Notice)
|
812-13516-01 |
| IC-28944 |
Oct. 8, 2009 |
Grail Advisors, LLC and Grail Advisors ETF Trust (Order)
|
812-13656 |
| IC-28941 |
Oct. 6, 2009 |
Morgan Stanley Investment Management Inc., et al. (Notice)
|
| Third Quarter |
812-13030 |
| IC-28938 |
Sep. 30, 2009 |
Evergreen Income Advantage Fund, et al. (Notice)
|
812-13630 |
| IC-28937 |
Sep. 30, 2009 |
Alpine Global Dynamic Dividend Fund, et al. (Order)
|
812-13631 |
| IC-28936 |
Sep. 30, 2009 |
Columbia Funds Series Trust, et al. (Order)
|
812-13535 |
| IC-28935 |
Sep. 30, 2009 |
American Capital, Ltd. (Order)
|
812-13628 |
| IC-28933 |
Sep. 28, 2009 |
Charles Schwab Investment Management, Inc., et al. (Notice)
|
812-13643 |
| IC-28932 |
Sep. 28, 2009 |
AdvisorOne Funds and CLS Investments, LLC (Order)
|
812-13569 |
| IC-28931 |
Sep. 25, 2009 |
Ridgewood Capital Energy Growth Fund, LLC, et al. (Notice)
|
812-13405 |
| IC-28910 |
Sep. 22, 2009 |
Arrow Investment Advisers, LLC, et al. (Order)
|
812-13612 |
| IC-28909 |
Sep. 22, 2009 |
Annuity Investors Life Insurance Company, et al. (Notice)
|
812-13221 |
| IC-28908 |
Sep. 22, 2009 |
Highland Capital Management, L.P. (Order)
|
812-13584 |
| IC-28907 |
Sep. 22, 2009 |
Jackson National Life Insurance Company, et al. (Order)
|
812-13617 |
| IC-28906 |
Sep. 22, 2009 |
DNP Select Income Fund Inc., et al. (Order)
|
812-13610 |
| IC-28905 |
Sep. 22, 2009 |
Rafferty Asset Management, et al. (Order)
|
812-13105 |
| IC-28904 |
Sep. 21, 2009 |
Clough Global Allocation Fund, et al. (Order)
|
812-13504 |
| IC-28902 |
Sep. 17, 2009 |
OOK, Inc., et al. (Order)
|
812-13611 |
| IC-28901 |
Sep. 15, 2009 |
MML Series Investment Fund, et al. (Order)
|
812-13516-01 |
| IC-28900 |
Sep. 14, 2009 |
Grail Advisors LLC and Grail Advisors ETF Trust (Notice)
|
812-13680 |
| IC-28899 |
Sep. 9, 2009 |
GE Asset Management Incorporated and GE Investment Distributors, Inc. (Order)
|
812-13614 |
| IC-28898 |
Sep. 9, 2009 |
Old Mutual Global Shares Trust, et al. (Order)
|
812-13630 |
| IC-28897 |
Sep. 4, 2009 |
Alpine Global Dynamic Dividend Fund, et al. (Notice)
|
812-13631 |
| IC-28896 |
Sep. 4, 2009 |
Columbia Funds Series Trust, et al. (Notice)
|
812-13535 |
| IC-28895 |
Sep. 3, 2009 |
American Capital, Ltd. (Notice)
|
812-13643 |
| IC-28894 |
Aug. 31, 2009 |
AdvisorOne Funds and CLS Investments, LLC (Notice)
|
812-13619 |
| IC-28893 |
Aug. 28, 2009 |
Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Order)
|
812-13617 |
| IC-28891 |
Aug. 27, 2009 |
DNP Select Income Fund Inc., et al. (Notice)
|
812-13584 |
| IC-28890 |
Aug. 27, 2009 |
Jackson National Life Insurance Company, et al. (Notice)
|
812-13610 |
| IC-28889 |
Aug. 27, 2009 |
Rafferty Asset Management, LLC, et al. (Notice)
|
812-13221 |
| IC-28888 |
Aug. 27, 2009 |
Highland Capital Management L.P., et al. (Notice)
|
812-13405 |
| IC-28852 |
Aug. 25, 2009 |
Arrow Investment Advisers, LLC, et al. (Notice)
|
812-13504 |
| IC-28851 |
Aug. 25, 2009 |
OOK, Inc., et al. (Notice)
|
812-13105 |
| IC-28850 |
Aug. 24, 2009 |
Clough Global Allocation Fund, et al. (Notice)
|
812-13611 |
| IC-28849 |
Aug. 20, 2009 |
MML Series Investment Fund, et al. (Notice)
|
812-13573 |
| IC-28848 |
Aug. 13, 2009 |
Compagnie de Financement Foncier (Order)
|
812-13614 |
| IC-28847 |
Aug. 13, 2009 |
Old Mutual Global Shares Trust, et al. (Notice)
|
812-13503 |
| IC-28846 |
Aug. 13, 2009 |
Pax World Funds Trust II, et al. (Order)
|
812-13680 |
| IC-28845 |
Aug. 11, 2009 |
GE Asset Management Incorporated, et al. (Notice and Temporary Order)
|
812-13578 |
| IC-28844 |
Aug. 11, 2009 |
The Alger Funds, et al. (Order)
|
812-13200 |
| IC-28843 |
Aug. 11, 2009 |
Reaves Utility Income Fund, et al. (Order)
|
812-13545 |
| IC-28839 |
Jul. 28, 2009 |
GE Funds, et al. (Order)
|
812-13421 |
| IC-28837 |
Jul. 27, 2009 |
Federated Core Trust III and Federated Investment Management Company (Order)
|
812-13642 |
| IC-28836 |
Jul. 24, 2009 |
WisdomTree Asset Management Inc. (Order)
|
812-13573 |
| IC-28835 |
Jul. 22, 2009 |
Compagnie de Financement Foncier (Notice)
|
812-13503 |
| IC-28834 |
Jul. 22, 2009 |
Pax World Funds Trust II, et al. (Notice)
|
812-13488 |
| IC-28822 |
Jul. 20, 2009 |
AdvisorShares Investments, LLC, et al. (Order)
|
812-13633 |
| IC-28820 |
Jul. 20, 2009 |
Embarcadero Funds, Inc., et al. (Order)
|
812-13578 |
| IC-28819 |
Jul. 16, 2009 |
The Alger Funds, et al. (Notice)
|
812-13200 |
| IC-28818 |
Jul. 14, 2009 |
Reaves Utility Income Fund, et al. (Notice)
|
812-13495 |
| IC-28815 |
Jul. 8, 2009 |
Nationwide Life Insurance Company, et al. (Order)
|
812-13449 |
| IC-28814 |
Jul. 7, 2009 |
X Exchange-Traded Funds, Inc., et al. (Order)
|
812-13604 |
| IC-28813 |
Jul. 7, 2009 |
PowerShares Exchange-Traded Fund Trust, et al. (Order)
|
812-13663 |
| IC-28812 |
Jul. 7, 2009 |
RBC Capital Markets Corporation, et al. (Order)
|
812-13664 |
| IC-28811 |
Jul. 7, 2009 |
Deutsche Bank Securities Inc., et al. (Order)
|
812-13662 |
| IC-28810 |
Jul. 7, 2009 |
Banc of America Securities LLC, et al. (Order)
|
812-13545 |
| IC-28808 |
Jul. 2, 2009 |
GE Funds, et al. (Notice)
|
| Second Quarter |
812-13421 |
| IC-28806 |
Jun. 30, 2009 |
Federated Core Trust III, et al. (Notice)
|
812-13650 |
| IC-28805 |
Jun. 29, 2009 |
WisdomTree Investments, Inc., et al. (Order)
|
812-13642 |
| IC-28804 |
Jun. 29, 2009 |
WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice)
|
812-13551 |
| IC-28770 |
Jun. 23, 2009 |
The Managers Funds, et al. (Order)
|
812-13633 |
| IC-28769 |
Jun. 22, 2009 |
Embarcadero Funds, Inc., et al. (Notice)
|
812-13649 |
| IC-28768 |
Jun. 16, 2009 |
Main Street Capital Corporation, et al. (Order)
|
812-13495 |
| IC-28767 |
Jun. 12, 2009 |
Nationwide Life Insurance Company, et al. (Notice)
|
812-13449 |
| IC-28766 |
Jun. 11, 2009 |
X Exchange-Traded Funds, Inc., et al. (Notice)
|
812-13662 |
| IC-28764 |
Jun. 9, 2009 |
Banc of America Securities LLC, et al. (Notice and Temporary Order)
|
812-13664 |
| IC-28763 |
Jun. 9, 2009 |
Deutsche Bank Securities Inc., et al. (Notice and Temporary Order)
|
812-13663 |
| IC-28762 |
Jun. 9, 2009 |
RBC Capital Markets Corporation, et al. (Notice and Temporary Order)
|
812-13655 |
| IC-28761 |
Jun. 9, 2009 |
Harris & Harris Group, Inc. (Certification)
|
812-13604 |
| IC-28760 |
Jun. 8, 2009 |
PowerShares Exchange-Traded Fund Trust, et al. (Notice)
|
812-13619 |
| IC-28758 |
Jun. 4, 2009 |
Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Notice)
Comments received are available.
|
812-13650 |
| IC-28755 |
Jun. 1, 2009 |
WisdomTree Investments, Inc., et al. (Notice)
|
812-13598 |
| IC-28754 |
Jun. 1, 2009 |
Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Order)
|
812-13594 |
| IC-28753 |
Jun. 1, 2009 |
Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order)
|
812-13555 |
| IC-28752 |
Jun. 1, 2009 |
Pacific Investment Management Company LLC and PIMCO ETF Trust (Order)
|
812-13551 |
| IC-28748 |
May 28, 2009 |
The Managers Funds, et al. (Notice)
|
812-13618 |
| IC-28746 |
May 26, 2009 |
Citibank, N.A. (Order)
|
813-00274 |
| IC-28727 |
May 20, 2009 |
William Blair & Company, L.L.C., Wilblairco II, L.L.C.
(Order)
|
812-13649 |
| IC-28726 |
May 19, 2009 |
Main Street Capital Corporation, et al. (Notice)
|
812-13400 |
| IC-28724 |
May 12, 2009 |
ProShares Trust, et al. (Order)
|
812-13555 |
| IC-28723 |
May 11, 2009 |
Pacific Investment Management Company LLC and PIMCO ETF Trust (Notice)
|
812-13598 |
| IC-28722 |
May 8, 2009 |
Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Notice)
|
812-13594 |
| IC-28721 |
May 8, 2009 |
Cohen & Steers Advantage Income Realty Fund, et al. (Notice)
|
812-13235 |
| 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 |
| 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. 3, 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)
|
812-13641 |
| IC-28647 |
Mar. 12, 2009 |
Automated Trading Desk Specialists, LLC, et al. (Notice)
|
812-13639 |
| 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-28727 |
May 20, 2009 |
William Blair & Company, L.L.C., Wilblairco II, L.L.C.
(Order)
|
| IC-28700 |
Apr. 22, 2009 |
William Blair & Company, L.L.C. and Wilblairco II, L.L.C. (Notice)
|
812-13680 |
| IC-28899 |
Sep. 9, 2009 |
GE Asset Management Incorporated and GE Investment Distributors, Inc. (Order)
|
| IC-28845 |
Aug. 11, 2009 |
GE Asset Management Incorporated, et al. (Notice and Temporary Order)
|
812-13664 |
| IC-28811 |
Jul. 7, 2009 |
Deutsche Bank Securities Inc., et al. (Order)
|
| IC-28763 |
Jun. 9, 2009 |
Deutsche Bank Securities Inc., et al. (Notice and Temporary Order)
|
812-13663 |
| IC-28812 |
Jul. 7, 2009 |
RBC Capital Markets Corporation, et al. (Order)
|
| IC-28762 |
Jun. 9, 2009 |
RBC Capital Markets Corporation, et al. (Notice and Temporary Order)
|
812-13662 |
| IC-28810 |
Jul. 7, 2009 |
Banc of America Securities LLC, et al. (Order)
|
| IC-28764 |
Jun. 9, 2009 |
Banc of America Securities LLC, et al. (Notice and Temporary Order)
|
812-13656 |
| IC-28941 |
Oct. 6, 2009 |
Morgan Stanley Investment Management Inc., et al. (Notice)
|
812-13655 |
| IC-28761 |
Jun. 9, 2009 |
Harris & Harris Group, Inc. (Certification)
|
812-13650 |
| IC-28805 |
Jun. 29, 2009 |
WisdomTree Investments, Inc., et al. (Order)
|
| IC-28755 |
Jun. 1, 2009 |
WisdomTree Investments, Inc., et al. (Notice)
|
812-13649 |
| IC-28768 |
Jun. 16, 2009 |
Main Street Capital Corporation, et al. (Order)
|
| IC-28726 |
May 19, 2009 |
Main Street Capital Corporation, et al. (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)
|
812-13643 |
| IC-28932 |
Sep. 28, 2009 |
AdvisorOne Funds and CLS Investments, LLC (Order)
|
| IC-28894 |
Aug. 31, 2009 |
AdvisorOne Funds and CLS Investments, LLC (Notice)
|
812-13642 |
| IC-28836 |
Jul. 24, 2009 |
WisdomTree Asset Management Inc. (Order)
|
| IC-28804 |
Jun. 29, 2009 |
WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice)
|
812-13641 |
| IC-28688 |
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)
|
812-13633 |
| IC-28820 |
Jul. 20, 2009 |
Embarcadero Funds, Inc., et al. (Order)
|
| IC-28769 |
Jun. 22, 2009 |
Embarcadero Funds, Inc., 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)
|
812-13631 |
| IC-28936 |
Sep. 30, 2009 |
Columbia Funds Series Trust, et al. (Order)
|
| IC-28896 |
Sep. 4, 2009 |
Columbia Funds Series Trust, et al. (Notice)
|
812-13630 |
| IC-28937 |
Sep. 30, 2009 |
Alpine Global Dynamic Dividend Fund, et al. (Order)
|
| IC-28897 |
Sep. 4, 2009 |
Alpine Global Dynamic Dividend Fund, et al. (Notice)
|
812-13628 |
| IC-28933 |
Sep. 28, 2009 |
Charles Schwab Investment Management, Inc., et al. (Notice)
|
812-13619 |
| IC-28893 |
Aug. 28, 2009 |
Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Order)
|
| IC-28758 |
Jun. 4, 2009 |
Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Notice)
|
812-13618 |
| IC-28746 |
May 26, 2009 |
Citibank, N.A. (Order)
|
| IC-28717 |
Apr. 29, 2009 |
Citibank, N.A. (Notice)
|
812-13617 |
| IC-28906 |
Sep. 22, 2009 |
DNP Select Income Fund Inc., et al. (Order)
|
| IC-28891 |
Aug. 27, 2009 |
DNP Select Income Fund Inc., et al. (Notice)
|
812-13615 |
| IC-28605 |
Jan. 16, 2009 |
Citigroup Global Markets Inc., et al. (Order)
|
812-13614 |
| IC-28898 |
Sep. 9, 2009 |
Old Mutual Global Shares Trust, et al. (Order)
|
| IC-28847 |
Aug. 13, 2009 |
Old Mutual Global Shares Trust, et al. (Notice)
|
812-13612 |
| IC-28909 |
Sep. 22, 2009 |
Annuity Investors Life Insurance Company, et al. (Notice)
|
812-13611 |
| IC-28901 |
Sep. 15, 2009 |
MML Series Investment Fund, et al. (Order)
|
| IC-28849 |
Aug. 20, 2009 |
MML Series Investment Fund, et al. (Notice)
|
812-13610 |
| IC-28905 |
Sep. 22, 2009 |
Rafferty Asset Management, et al. (Order)
|
| IC-28889 |
Aug. 27, 2009 |
Rafferty Asset Management, LLC, et al. (Notice)
|
812-13609 |
| IC-28606 |
Jan. 16, 2009 |
UBS Securities LLC, et al. (Order)
|
812-13604 |
| IC-28813 |
Jul. 7, 2009 |
PowerShares Exchange-Traded Fund Trust, et al. (Order)
|
| IC-28760 |
Jun. 8, 2009 |
PowerShares Exchange-Traded Fund Trust, et al. (Notice)
|
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. 3, 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)
|
812-13598 |
| IC-28754 |
Jun. 1, 2009 |
Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Order)
|
| IC-28722 |
May 8, 2009 |
Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Notice)
|
812-13594 |
| IC-28753 |
Jun. 1, 2009 |
Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order)
|
| IC-28721 |
May 8, 2009 |
Cohen & Steers Advantage Income Realty Fund, 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)
|
812-13584 |
| IC-28907 |
Sep. 22, 2009 |
Jackson National Life Insurance Company, et al. (Order)
|
| IC-28890 |
Aug. 27, 2009 |
Jackson National Life Insurance Company, et al. (Notice)
|
812-13578 |
| IC-28844 |
Aug. 11, 2009 |
The Alger Funds, et al. (Order)
|
| IC-28819 |
Jul. 16, 2009 |
The Alger Funds, et al. (Notice)
|
812-13573 |
| IC-28848 |
Aug. 13, 2009 |
Compagnie de Financement Foncier (Order)
|
| IC-28835 |
Jul. 22, 2009 |
Compagnie de Financement Foncier (Notice)
|
812-13569 |
| IC-28931 |
Sep. 25, 2009 |
Ridgewood Capital Energy Growth Fund, LLC, 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)
|
812-13555 |
| IC-28752 |
Jun. 1, 2009 |
Pacific Investment Management Company LLC and PIMCO ETF Trust (Order)
|
| IC-28723 |
May 11, 2009 |
Pacific Investment Management Company LLC and PIMCO ETF Trust (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)
|
812-13551 |
| IC-28770 |
Jun. 23, 2009 |
The Managers Funds, et al. (Order)
|
| IC-28748 |
May 28, 2009 |
The Managers Funds, et al. (Notice)
|
812-13545 |
| IC-28839 |
Jul. 28, 2009 |
GE Funds, et al. (Order)
|
| IC-28808 |
Jul. 2, 2009 |
GE Funds, 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)
|
812-13535 |
| IC-28935 |
Sep. 30, 2009 |
American Capital, Ltd. (Order)
|
| IC-28895 |
Sep. 3, 2009 |
American Capital, Ltd. (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)
|
812-13516-01 |
| IC-28944 |
Oct. 8, 2009 |
Grail Advisors, LLC and Grail Advisors ETF Trust (Order)
|
| IC-28900 |
Sep. 14, 2009 |
Grail Advisors LLC and Grail Advisors ETF Trust (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)
|
812-13504 |
| IC-28902 |
Sep. 17, 2009 |
OOK, Inc., et al. (Order)
|
| IC-28851 |
Aug. 25, 2009 |
OOK, Inc., et al. (Notice)
|
812-13503 |
| IC-28846 |
Aug. 13, 2009 |
Pax World Funds Trust II, et al. (Order)
|
| IC-28834 |
Jul. 22, 2009 |
Pax World Funds Trust II, et al. (Notice)
|
812-13499 |
| IC-28608 |
Jan. 26, 2009 |
Franklin Templeton Fund Allocator Series, et al. (Order)
|
812-13495 |
| IC-28815 |
Jul. 8, 2009 |
Nationwide Life Insurance Company, et al. (Order)
|
| IC-28767 |
Jun. 12, 2009 |
Nationwide Life Insurance Company, et al. (Notice)
|
812-13488 |
| IC-28822 |
Jul. 20, 2009 |
AdvisorShares Investments, LLC, et al. (Order)
|
812-13449 |
| IC-28814 |
Jul. 7, 2009 |
X Exchange-Traded Funds, Inc., et al. (Order)
|
| IC-28766 |
Jun. 11, 2009 |
X Exchange-Traded Funds, Inc., et al. (Notice)
|
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)
|
812-13432-02 |
| IC-28947 |
Oct. 16, 2009 |
Pioneer Diversified High Income Trust, et al. (Notice)
|
812-13421 |
| IC-28837 |
Jul. 27, 2009 |
Federated Core Trust III and Federated Investment Management Company (Order)
|
| IC-28806 |
Jun. 30, 2009 |
Federated Core Trust III, et al. (Notice)
|
812-13405 |
| IC-28910 |
Sep. 22, 2009 |
Arrow Investment Advisers, LLC, et al. (Order)
|
| IC-28852 |
Aug. 25, 2009 |
Arrow Investment Advisers, LLC, et al. (Notice)
|
812-13400 |
| IC-28724 |
May 12, 2009 |
ProShares Trust, et al. (Order)
|
| 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 |
| 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)
|
812-13221 |
| IC-28908 |
Sep. 22, 2009 |
Highland Capital Management, L.P. (Order)
|
| IC-28888 |
Aug. 27, 2009 |
Highland Capital Management L.P., et al. (Notice)
|
812-13200 |
| IC-28843 |
Aug. 11, 2009 |
Reaves Utility Income Fund, et al. (Order)
|
| IC-28818 |
Jul. 14, 2009 |
Reaves Utility Income Fund, et al. (Notice)
|
812-13105 |
| IC-28904 |
Sep. 21, 2009 |
Clough Global Allocation Fund, et al. (Order)
|
| IC-28850 |
Aug. 24, 2009 |
Clough Global Allocation Fund, et al. (Notice)
|
812-13086-05 |
| IC-28945 |
Oct. 14, 2009 |
Neuberger Berman Management LLC, et al. (Notice)
|
812-13030 |
| IC-28938 |
Sep. 30, 2009 |
Evergreen Income Advantage Fund, et al. (Notice)
|
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