Investment Company Act Notices and Orders
Archive: 2007

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 2007

Additional Archives

2009 | 2008 | 2007

Chronological List

Release No.	Date	Details
Fourth Quarter
812-13450
IC-28117	Dec. 27, 2007	Unified Series Trust, et al. (Order)
812-13464
IC-28083	Dec. 21, 2007	Millennium India Acquisition Company Inc. (Notice)
812-13411
IC-28082	Dec. 21, 2007	Main Street Capital Corporation, et al. (Notice)
812-13414
IC-28081	Dec. 21, 2007	John Hancock Life Insurance Company (U.S.A.), et al. (Order)
812-13453
IC-28080	Dec. 19, 2007	The UBS Funds, et al. (Notice)
813-367
IC-28076	Dec. 11, 2007	Kiewit Investment Fund LLLP (Order)
812-12984
IC-28074	Dec. 4, 2007	BTOP50 Managed Futures Fund and Asset Alliance Advisors, Inc. (Order)
811-21874
IC-28073	Dec. 4, 2007	National Presto Industries, Inc. (Order)
813-350
IC-28072	Dec. 4, 2007	Tower 21st Century Fund, LLC, et al. (Order)
812-13450
IC-28071	Nov. 30, 2007	Unified Series Trust and Envestnet Asset Management, Inc. (Notice)
812-13416
IC-28067	Nov. 27, 2007	Rafferty Asset Management, LLC, et al. (Order)
812-13376
IC-28066	Nov. 27, 2007	FocusShares Trust F/N/A MyShares Trust, et al. (Order)
812-13414
IC-28065	Nov. 26, 2007	John Hancock Life Insurance Company (U.S.A.), et al. (Notice)
811-4161
IC-28063	Nov. 20, 2007	Jefferson Pilot Variable Fund, Inc. (Order)
811-8505
IC-28062	Nov. 20, 2007	Baron Capital Funds Trust (Order)
813-367
IC-28047	Nov. 15, 2007	Kiewit Investment Fund LLLP (Notice)
813-350
IC-28046	Nov. 8, 2007	Tower 21st Century Fund LLC, et al. (Notice)
812-12984
IC-28045	Nov. 8, 2007	BTOP50 Managed Futures Fund and Asset Alliance Advisors, Inc. (Notice)
812-13380
IC-28044	Nov. 7, 2007	MetLife Insurance Company of Connecticut, et al. (Order)
813-326
IC-28043	Nov. 6, 2007	Raymond James Employee Investment Fund I, L.P., et al. (Order)
812-13376
IC-28040	Oct. 31, 2007	MyShares Trust, et al. (Notice)
812-13416
IC-28039	Oct. 30, 2007	Rafferty Asset Management, et al. (Notice)
812-13419
IC-28038	Oct. 29, 2007	JNF Advisors, Inc. and Northern Lights Variable Trust (Order)
812-13412
IC-28024	Oct. 24, 2007	Vanguard STAR Funds, et al. (Order)
812-13232
IC-28023	Oct. 24, 2007	Fidelity Rutland Square Trust, et al. (Order)
812-13426
IC-28021	Oct. 24, 2007	Van Eck Associates Corporation, et al. (Order)
812-13398
IC-28020	Oct. 24, 2007	American Capital Strategies, Ltd. (Order)
812-13396
IC-28019	Oct. 23, 2007	Claymore Exchange-Traded Fund Trust, et al. (Order)
812-13390
IC-28018	Oct. 23, 2007	Rydex ETF Trust, et al. (Order)
812-13394
IC-28017	Oct. 22, 2007	Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al. (Order)
812-13413
IC-28016	Oct. 22, 2007	MMA Praxis Mutual Funds et al. (Order)
812-13417
IC-28015	Oct. 17, 2007	WisdomTree Investments, Inc., et al. (Order)
812-13382
IC-28014	Oct. 17, 2007	ProShares Trust, et al. (Order)
812-13380
IC-28013	Oct. 12, 2007	MetLife Insurance Company of Connecticut, et al. (Notice)
813-326
IC-28012	Oct. 11, 2007	Raymond James Employee Investment Fund I, L.P., et al. (Notice)
812-13388
IC-28011	Oct. 10, 2007	Hercules Technology Growth Capital, Inc. (Order)
812-13419
IC-28010	Oct. 2, 2007	JNF Advisors, Inc. and Northern Lights Variable Trust (Notice)
Third Quarter
812-13412
IC-28009	Sep. 28, 2007	Vanguard STAR Funds, et al. (Notice)
812-13232
IC-28008	Sep. 28, 2007	Fidelity Rutland Square Trust, et al. (Notice)
812-13426
IC-28007	Sep. 28, 2007	Van Eck Associates Corporation, et al. (Notice)
812-13398
IC-28001	Sep. 27, 2007	American Capital Strategies, Ltd. (Notice)
812-13390
IC-28000	Sep. 27, 2007	Rydex ETF Trust, et al. (Notice)
812-13359
IC-27999	Sep. 27, 2007	Financial Investors Variable Insurance Trust, et al. (Order)
811-02873
IC-27998	Sep. 27, 2007	Capitol Life Separate Account M (Order)
812-13408
IC-27995	Sep. 26, 2007	Trust for Professional Managers, et al. (Order)
812-13372
IC-27983	Sep. 26, 2007	SPA ETF Trust and SPA ETF Inc. (Order)
812-13396
IC-27982	Sep. 26, 2007	Claymore Exchange-Traded Fund Trust, et al. (Notice)
812-13387
IC-27981	Sep. 25, 2007	Rydex ETF Trust, et al. (Order)
812-13365
IC-27979	Sep. 25, 2007	Minnesota Life Insurance Company, et. al. (Order)
812-13394
IC-27978	Sep. 24, 2007	Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al. (Notice and Order)
812-13413
IC-27977	Sep. 24, 2007	MMA Praxis Mutual Funds, et al. (Notice)
812-13417
IC-27976	Sep. 21, 2007	WisdomTree Investments, Inc., et al. (Notice)
812-13382
IC-27975	Sep. 21, 2007	ProShares Trust, et al. (Notice)
812-13267
IC-27972	Sep. 18, 2007	Hartford Life Insurance Company, et al. (Order)
812-13364
IC-27971	Sep. 18, 2007	Allianz RCM Global EcoTrends Fund, et al. (Order)
812-13259
IC-27970	Sep. 17, 2007	American International Group, Inc., et al. (Order)
812-13388
IC-27968	Sep. 12, 2007	Hercules Technology Growth Capital, Inc. (Notice)
812-13359
IC-27965	Sep. 4, 2007	Financial Investors Variable Insurance Trust et al. (Notice)
812-13408
IC-27964	Aug. 31, 2007	Trust for Professional Managers, Inc., et al. (Notice)
812-13372
IC-27963	Aug. 31, 2007	SPA ETF Trust and SPA ETF Inc. (Notice)
812-13365
IC-27979	Sep. 25, 2007	Minnesota Life Insurance Company, et. al. (Order)
IC-27960	Aug. 30, 2007	Minnesota Life Insurance Company, et al. (Notice)
812-13353
IC-27959	Aug. 29, 2007	Sentinel Variable Products Trust, et al. (Order)
812-13387
IC-27958	Aug. 28, 2007	Rydex ETF Trust, et al. (Notice)
812-12973
IC-27957	Aug. 28, 2007	Lehman Brothers Asset Management LLC, et al. (Order)
812-13251
IC-27956	Aug. 28, 2007	AARP Funds, et al. (Order)
812-13290
IC-27955	Aug. 28, 2007	Medallion Financial Corp. (Order)
812-13383
IC-27954	Aug. 27, 2007	DWS Advisor Funds, et al. (Order)
812-13364
IC-27936	Aug. 23, 2007	Allianz RCM Global EcoTrends Fund, et al. (Notice)
811-9481
IC-27935	Aug. 23, 2007	Huntington VA Funds (Order)
811-3641
IC-27934	Aug. 23, 2007	40|86 Series Trust (Notice)
812-13267
IC-27933	Aug. 22, 2007	Hartford Life Insurance Company, et al. (Notice)
812-13259
IC-27931	Aug. 20, 2007	American International Group, Inc., et al. (Notice)
812-13358
IC-27930	Aug. 20, 2007	HealthShares, Inc. et al. (Order)
812-13346
IC-27929	Aug. 17, 2007	MONY Life Insurance Company of America, et al. (Order)
812-13333
IC-27926	Aug. 9, 2007	Delaware VIP Trust, et al. (Order)
812-13353
IC-27921	Aug. 3, 2007	Sentinel Variable Products Trust and Sentinel Asset Management, Inc. (Notice)
812-12973
IC-27920	Aug. 1, 2007	Lehman Brothers Asset Management LLC, et al. (Notice)
812-13383
IC-27919	Jul. 31, 2007	DWS Advisor Funds, et al. (Notice)
812-13251
IC-27918	Jul. 31, 2007	AARP Funds, et al. (Notice)
812-13290
IC-27917	Jul. 30, 2007	Medallion Financial Corp. (Notice)
812-13358
IC-27916	Jul. 27, 2007	HealthShares, Inc. (Notice)
812-13394
IC-27915	Jul. 27, 2007	The BISYS Group Inc., et al. (Order)
812-13375
IC-27910	Jul. 25, 2007	Aston Funds and Aston Asset Management LLC (Order)
812-13346
IC-27909	Jul. 24, 2007	MONY Life Insurance Company of America, et al. (Notice)
812-13399
IC-27888	Jul. 24, 2007	RealNetworks, Inc. (Order)
812-13338
IC-27887	Jul. 17, 2007	Principal Variable Contracts Fund, Inc., et al. (Order)
812-13333
IC-27886	Jul. 16, 2007	Delaware VIP Trust et al. (Notice)
812-13361
IC-27885	Jul. 16, 2007	ING Life Insurance and Annuity Company, et al. (Order)
812-13391
IC-27882	Jul. 5, 2007	Barclays Global Fund Advisors (Order)
Second Quarter
812-13375
IC-27879	Jun. 29, 2007	Aston Funds et al. (Notice)
812-13399
IC-27877	Jun. 28, 2007	RealNetworks, Inc. (Notice)
813-306
IC-27875	Jun. 26, 2007	Stephens, Inc., et al. (Order)
812-13332
IC-27874	Jun. 26, 2007	Ameristock ETF Trust, et al. (Order)
812-13341
IC-27873	Jun. 26, 2007	John Hancock Trust, el al. (Order)
812-13288
IC-27871	Jun. 21, 2007	HealthShares™, Inc. and XShares Advisors LLC (Order)
812-13374
IC-27870	Jun. 20, 2007	Harris & Harris Group, Inc. (Certification)
812-13361
IC-27869	Jun. 20, 2007	ING Life Insurance and Annuity Company, et al. (Notice)
812-13350
IC-27868	Jun. 20, 2007	First Investors Equity Funds (Order)
812-13338
IC-27852	Jun. 18, 2007	Principal Variable Contracts Fund, Inc., et al. (Notice)
812-13391
IC-27851	Jun. 6, 2007	Barclays Global Fund Advisors (Notice)
812-13287
IC-27850	Jun. 4, 2007	Lincoln Variable Insurance Products Trust, et al. (Order)
812-13304
IC-27849	Jun. 1, 2007	Van Eck Worldwide Insurance Trust, et al. (Order)
812-13341
IC-27848	May 30, 2007	John Hancock Trust, et al. (Notice)
812-13332
IC-27847	May 30, 2007	Ameristock ETF Trust, et al. (Notice)
812-13268
IC-27846	May 30, 2007	First American Investment Funds, Inc. et al. (Order)
812-13340
IC-27845	May 30, 2007	First Trust Exchange-Traded Fund, et al. (Order)
812-13288
IC-27844	May 29, 2007	HealthShares™, Inc. and XShares Advisors LLC (Notice)
813-306
IC-27843	May 29, 2007	Stephens Inc., et al. (Notice)
812-13335
IC-27841	May 25, 2007	PowerShares Exchange-Traded Fund Trust, et al. (Order)
812-13356
IC-27839	May 25, 2007	SSgA Funds Management, Inc., et al. (Order)
812-13312
IC-27838	May 23, 2007	Hercules Technology Growth Capital, Inc. (Order)
812-13286
IC-27837	May 23, 2007	Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Order)
812-13350
IC-27826	May 23, 2007	First Investors Equity Funds, et al. (Notice)
812-13334
IC-27825	May 22, 2007	XTF Advisors Trust, et al. (Order)
812-13255
IC-27824	May 22, 2007	Hill Physicians Medical Group, Inc. (Order)
812-13373
IC-27823	May 22, 2007	The Gabelli Equity Trust Inc., et al. (Order)
812-13186
IC-27822	May 22, 2007	HSBC Securities (USA) Inc. (Order)
812-13287
IC-27821	May 11, 2007	Lincoln Variable Insurance Products Trust, et al. (Notice)
812-13304
IC-27820	May 9, 2007	Van Eck Worldwide Insurance Trust, et al. (Notice)
812-13268
IC-27818	May 4, 2007	First American Investment Funds, Inc., et al. (Notice)
812-13312
IC-27815	May 2, 2007	Hercules Technology Growth Capital, Inc. (Notice)
812-13249
IC-27814	May 1, 2007	Forward Funds (Order)
812-13342
IC-27813	Apr. 30, 2007	Jefferson National Life Insurance Company, et al. (Order)
812-13340
IC-27812	Apr. 30, 2007	First Trust Exchange-Traded Fund, et al. (Notice)
812-13335
IC-27811	Apr. 30, 2007	PowerShares Exchange-Traded Fund Trust (Notice)
812-13347
IC-27810	April 30, 2007	MetLife Insurance Company of Connecticut, et al. (Order)
812-13356
IC-27809	Apr. 30, 2007	SSgA Funds Management, Inc., et al. (Notice)
812-13373
IC-27808	Apr. 30, 2007	The Gabelli Equity Trust Inc., et al. (Notice)
812-13286
IC-27807	Apr. 27, 2007	Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Notice)
812-13186
IC-27805	Apr. 26, 2007	HSBC Securities (USA) Inc. (Notice)
812-13255
IC-27804	Apr. 26, 2007	Hill Physicians Medical Group, Inc. (Notice)
812-13262
IC-27784	Apr. 25, 2007	First Trust Exchange-Traded Fund, et al. (Order)
812-13334
IC-27783	Apr. 25, 2007	XTF Advisors Trust, et al. (Notice)
813-264
IC-27782	Apr. 24, 2007	Silas Partners I, LLC, et al. (Order)
812-13318
IC-27781	Apr. 16, 2007	John Hancock Life Insurance Company (U.S.A.), John Hancock Life Insurance Company (U.S.A.) Separate Account H, John Hancock Life Insurance Company of New York, and John Hancock Life Insurance Company of New York Separate Account A (Order)
812-13342
IC-27779	Apr. 6, 2007	Jefferson National Life Insurance Company, et al. (Notice)
812-13347
IC-27778	Apr. 6, 2007	MetLife Insurance Company of Connecticut, et al. (Notice)
812-13249
IC-27777	Apr. 5, 2007	Forward Funds, et al. (Notice)
812-13238
IC-27776	Apr. 5, 2007	Hercules Technology Growth Capital, Inc. et al. (Order)
812-13295
IC-27775	Apr. 3, 2007	The RBB Fund, Inc., et al. (Order)
812-13336
IC-27773	Apr. 2, 2007	Vanguard Bond Index Funds, et al. (Order)
First Quarter
812-13262
IC-27772	Mar. 30, 2007	First Trust Exchange-Traded Fund, et al. (Notice)
813-264
IC-27770	Mar. 27, 2007	Silas Partners I, LLC et al. (Notice)
812-13327
IC-27769	Mar. 27, 2007	Liberty All-Star Equity Fund, Liberty All-Star Growth Fund, Inc., and ALPS Advisers, Inc. (Order)
812-13344
IC-27768	Mar. 21, 2007	BLDRS Index Funds Trust, PowerShares Capital Management LLC, and ALPS Distributors, Inc. (Order)
811-21408
IC-27767	Mar. 21, 2007	Pioneer AllWeather Fund LLC (Order)
811-9319
IC-27766	Mar. 21, 2007	Ameritrade Automatic Common Exchange Security Trust (Order)
811-21733
IC-27765	Mar. 21, 2007	Liberty All-Star Mid-Cap Fund (Order)
811-21717
IC-27764	Mar. 21, 2007	Pioneer Municipal High Yield Trust (Order)
811-21535
IC-27763	Mar. 21, 2007	Pioneer International Income and Growth Trust (Order)
811-21459
IC-27762	Mar. 21, 2007	Pioneer Tax Qualified Dividend Fund (Order)
811-4533
IC-27761	Mar. 21, 2007	Federated Municipal High Yield Advantage Fund, Inc. (Order)
811-5039
IC-27760	Mar. 21, 2007	Credit Suisse Fixed Income Fund (Order)
811-7909
IC-27759	Mar. 21, 2007	Credit Suisse Small Cap Growth Fund, Inc. (Order)
811-8917
IC-27758	Mar. 21, 2007	Credit Suisse Institutional Fixed Income Fund, Inc. (Order)
811-2018
IC-27757	Mar. 21, 2007	Eagle Growth Shares Investing Program (Order)
812-13337
IC-27754	Mar. 20, 2007	Rydex ETF Trust, Rydex Distributors, Inc. and PADCO Advisors II, Inc. (Order)
812-13345
IC-27753	Mar. 20, 2007	Nasdaq-100 Trust, Series 1, PowerShares Capital Management LLC, and ALPS Distributors, Inc. (Order)
812-13318
IC-27752	Mar. 19, 2007	John Hancock Life Insurance Company, et al. (Notice)
812-13272
IC-27751	Mar. 15, 2007	Wilshire Variable Insurance Trust and Wilshire Associates Incorporated (Order)
812-13336
IC-27750	Mar. 9, 2007	Vanguard Bond Index Funds, et al. (Notice)
812-13295
IC-27749	Mar. 8, 2007	The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)
812-13238
IC-27748	Mar. 7, 2007	Hercules Technology Growth Capital, Inc., et al. (Notice)
813-284
IC-27747	Mar. 5, 2007	SA Investment Partners LLC, et al. (Notice)
812-13344
IC-27745	Feb. 28, 2007	BLDRS Index Funds Trust, et al. (Notice)
812-13325
IC-27744	Feb. 28, 2007	COUNTRY Investors Life Assurance Company, et al. (Order)
812-13343
IC-27743	Feb. 27, 2007	PowerShares Exchange-Traded Fund Trust, PowerShares Capital Management LLC, and AIM Distributors, Inc. (Order)
812-13339
IC-27742	Feb. 27, 2007	Van Eck Associates Corporation, Market Vectors ETF Trust, and Van Eck Securities Corporation (Order)
812-13327
IC-27741	Feb. 27, 2007	Liberty All-Star Equity Fund, et al. (Notice)
812-13345
IC-27740	Feb. 27, 2007	NASDAQ-100 Trust, Series 1, et al. (Notice)
812-13321
IC-27738	Feb. 23, 2007	Integrity Life Insurance Company, et al. (Order)
811-10215
IC-27709	Feb. 22, 2007	Financial Investors Variable Insurance Trust (Order)
811-3429
IC-27708	Feb. 22, 2007	Capital Appreciation Fund (Order)
811-3428
IC-27707	Feb. 22, 2007	High Yield Bond Trust (Order)
811-3568
IC-27706	Feb. 22, 2007	Managed Assets Trust (Order)
811-3274
IC-27705	Feb. 22, 2007	Money Market Portfolio (Order)
811-6465
IC-27704	Feb. 22, 2007	Travelers Series Trust (Order)
812-13308
IC-27702	Feb. 22, 2007	American Capital Strategies, Ltd. (Order)
812-13337
IC-27703	Feb. 20, 2007	Rydex ETF Trust, et al. (Notice)
812-13272
IC-27701	Feb. 16, 2007	Wilshire Variable Insurance Trust, et al. (Notice)
812-13259
IC-27700	Feb. 16, 2007	American International Group, Inc. et al. (Order)
812-13201
IC-27699	Feb. 15, 2007	Hercules Technology Growth Capital, Inc. (Order)
812-13234
IC-27698	Feb. 13, 2007	MFS Series Trust X, MFS Series Trust XII, MFS Series Trust I, MFS Series Trust III, MFS Series Trust IV, MFS Series Trust V, MFS Series Trust IX, MFS Series Trust XI, MFS Series Trust XIII, Massachusetts Financial Services Company, MFS Fund Distributors, Inc. (Order)
812-13325
IC-27695	Feb. 2, 2007	Country Investors Life Assurance Company, et al. (Notice)
812-13339
IC-27694	Jan. 31, 2007	Van Eck Associates Corporation, et al. (Notice)
812-13343
IC-27693	Jan. 31, 2007	PowerShares Exchange-Traded Fund Trust, et al. (Notice)
812-13279
IC-27691	Jan. 30, 2007	Nexbank Securities, Inc. and Nexbank Series (Order)
812-13319
IC-27690	Jan. 30, 2007	New River Funds and New River Advisers LLC (Order)
812-13282
IC-27688	Jan. 25, 2007	Sun Life Assurance Company of Canada (U.S.), et al. (Order)
812-13321
IC-27677	Jan. 24, 2007	Integrity Life Insurance Company, et al. (Notice)
812-13351
IC-27676	Jan. 24, 2007	FBR Fund Advisers, Inc., FBR Investment Services, Inc., and FBR Investment Management, Inc. (Order)
813-356
IC-27675	Jan. 23, 2007	Opal Private Equity Fund, LP, and Schottenstein, Zox and Dunn Co., L.P.A. (Order)
812-13212
IC-27673	Jan. 23, 2007	Deutsche Bank Trust Company Americas (Order)
812-13308
IC-27669	Jan. 19, 2007	American Capital Strategies, Ltd. (Notice)
812-13201
IC-27668	Jan. 19, 2007	Hercules Technology Growth Capital, Inc. (Notice)
812-13329
IC-27666	Jan. 18, 2007	Proshares Trust, Proshare Advisors LLC, SEI Investments Distribution Company (Order)
812-13265
IC-27665	Jan. 18, 2007	Forum Funds and Absolute Investment Advisers (Order)
812-13224
IC-27664	Jan. 18, 2007	Ziegler Exchange Traded Trust, Ziegler Capital Management, LLC, B.C. Ziegler and Company (Order)
812-13234
IC-27662	Jan. 17, 2007	MFS Series Trust X, et al. (Notice)
812-13208
IC-27661	Jan. 17, 2007	Barclays Global Fund Advisors, iShares, Inc., iShares Trust, SEI Investments Distribution Co. (Order)
812-13320
IC-27660	Jan. 16, 2007	Jackson National Life Insurance Company, et al. (Order)
812-13278
IC-27659	Jan. 16, 2007	NexBank Securities, Inc., NexBank Series (Order)
812-13029
IC-27658	Jan. 9, 2007	Profunds, Access One Trust, Proshares Trust, Proshare Advisors LLC, Profund Advisors LLC (Order)
812-13133
IC-27657	Jan. 9, 2007	Members Mutual Funds, et al. LLC (Order)
812-13257
IC-27656	Jan. 8, 2007	The Mainstay Funds, Mainstay VP Series Fund, Inc., New York Life Investment Management LLC (Order)
812-13279
IC-27655	Jan. 4, 2007	NexBank Securities, Inc. and NexBank Series (Notice)
812-13294
IC-27654	Jan. 3, 2007	The Mexico Equity and Income Fund, Inc. (Order)
812-13319
IC-27653	Jan. 3, 2007	New River Funds and New River Advisers LLC (Notice)

ICA File Number List for 2007

Release No.	Date	Details
813-367
IC-28076	Dec. 11, 2007	Kiewit Investment Fund LLLP (Order)
IC-28047	Nov. 15, 2007	Kiewit Investment Fund LLLP (Notice)
813-356
IC-27675	Jan. 23, 2007	Opal Private Equity Fund, LP, and Schottenstein, Zox and Dunn Co., L.P.A. (Order)
813-350
IC-28072	Dec. 4, 2007	Tower 21st Century Fund, LLC, et al (Order)
IC-28046	Nov. 8, 2007	Tower 21st Century Fund LLC, et al. (Notice)
813-326
IC-28043	Nov. 6, 2007	Raymond James Employee Investment Fund I, L.P., et al. (Order)
IC-28012	Oct. 11, 2007	Raymond James Employee Investment Fund I, L.P., et al. (Notice)
813-306
IC-27875	Jun. 26, 2007	Stephens, Inc., et al. (Order)
IC-27843	May 29, 2007	Stephens Inc., et al. (Notice)
813-284
IC-27747	Mar. 5, 2007	SA Investment Partners LLC, et al. (Notice)
813-264
IC-27782	Apr. 24, 2007	Silas Partners I, LLC, et al. (Order)
IC-27770	Mar. 27, 2007	Silas Partners I, LLC et al. (Notice)
812-13464
IC-28083	Dec. 21, 2007	Millennium India Acquisition Company Inc. (Notice) See also:  Order: Rel. No. IC-28121
812-13453
IC-28080	Dec. 19, 2007	The UBS Funds, et al. (Notice) See also:  Order: Rel. No. IC-28122
812-13450
IC-28117	Dec. 27, 2007	Unified Series Trust, et al. (Order)
IC-28071	Nov. 30, 2007	Unified Series Trust and Envestnet Asset Management, Inc. (Notice)
812-13426
IC-28021	Oct. 24, 2007	Van Eck Associates Corporation, et al. (Order)
IC-28007	Sep. 28, 2007	Van Eck Associates Corporation, et al. (Notice)
812-13419
IC-28038	Oct. 29, 2007	JNF Advisors, Inc. and Northern Lights Variable Trust (Order)
IC-28010	Oct. 2, 2007	JNF Advisors, Inc. and Northern Lights Variable Trust (Notice)
812-13417
IC-28015	Oct. 17, 2007	WisdomTree Investments, Inc., et al. (Order)
IC-27976	Sep. 21, 2007	WisdomTree Investments, Inc., et al. (Notice)
812-13416
IC-28067	Nov. 27, 2007	Rafferty Asset Management, LLC, et al. (Order)
IC-28039	Oct. 30, 2007	Rafferty Asset Management, et al. (Notice)
812-13414
IC-28065	Nov. 26, 2007	John Hancock Life Insurance Company (U.S.A.), et al. (Notice)
IC-28081	Dec. 21, 2007	John Hancock Life Insurance Company (U.S.A.), et al. (Order)
812-13413
IC-28016	Oct. 22, 2007	MMA Praxis Mutual Funds et al. (Order)
IC-27977	Sep. 24, 2007	MMA Praxis Mutual Funds, et al. (Notice)
812-13412
IC-28024	Oct. 24, 2007	Vanguard STAR Funds, et al. (Order)
IC-28009	Sep. 28, 2007	Vanguard STAR Funds, et al. (Notice)
812-13411
IC-28082	Dec. 21, 2007	Main Street Capital Corporation, et al. (Notice) See also:  Order: Rel. No. IC-28120
812-13408
IC-27995	Sep. 26, 2007	Trust for Professional Managers, et al. (Order)
IC-27964	Aug. 31, 2007	Trust for Professional Managers, Inc., et al. (Notice)
812-13399
IC-27888	Jul. 24, 2007	RealNetworks, Inc. (Order)
IC-27877	Jun. 28, 2007	RealNetworks, Inc. (Notice)
812-13398
IC-28020	Oct. 24, 2007	American Capital Strategies, Ltd. (Order)
IC-28001	Sep. 27, 2007	American Capital Strategies, Ltd. (Notice)
812-13396
IC-28019	Oct. 23, 2007	Claymore Exchange-Traded Fund Trust, et al. (Order)
IC-27982	Sep. 26, 2007	Claymore Exchange-Traded Fund Trust, et al. (Notice)
812-13394
IC-28017	Oct. 22, 2007	Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al. (Order)
IC-27978	Sep. 24, 2007	Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al. (Notice and Order)
IC-27915	Jul. 27, 2007	The BISYS Group Inc., et al. (Order)
812-13391
IC-27882	Jul. 5, 2007	Barclays Global Fund Advisors (Order)
IC-27851	Jun. 6, 2007	Barclays Global Fund Advisors (Notice)
812-13390
IC-28018	Oct. 23, 2007	Rydex ETF Trust, et al. (Order)
IC-28000	Sep. 27, 2007	Rydex ETF Trust, et al. (Notice)
812-13388
IC-28011	Oct. 10, 2007	Hercules Technology Growth Capital, Inc. (Order)
IC-27968	Sep. 12, 2007	Hercules Technology Growth Capital, Inc. (Notice)
812-13387
IC-27981	Sep. 25, 2007	Rydex ETF Trust, et al. (Order)
IC-27958	Aug. 28, 2007	Rydex ETF Trust, et al. (Notice)
812-13383
IC-27954	Aug. 27, 2007	DWS Advisor Funds, et al. (Order)
IC-27919	Jul. 31, 2007	DWS Advisor Funds, et al. (Notice)
812-13382
IC-28014	Oct. 17, 2007	ProShares Trust, et al. (Order)
IC-27975	Sep. 21, 2007	ProShares Trust, et al. (Notice)
812-13380
IC-28044	Nov. 7, 2007	MetLife Insurance Company of Connecticut, et al. (Order)
IC-28013	Oct. 12, 2007	MetLife Insurance Company of Connecticut, et al. (Notice)
812-13376
IC-28066	Nov. 27, 2007	FocusShares Trust F/N/A MyShares Trust, et al. (Order)
IC-28040	Oct. 31, 2007	MyShares Trust, et al. (Notice)
812-13375
IC-27910	Jul. 25, 2007	Aston Funds and Aston Asset Management LLC (Order)
IC-27879	Jun. 29, 2007	Aston Funds et al. (Notice)
812-13374
IC-27870	Jun. 20, 2007	Harris & Harris Group, Inc. (Certification)
812-13373
IC-27823	May 22, 2007	The Gabelli Equity Trust Inc., et al. (Order)
IC-27808	Apr. 30, 2007	The Gabelli Equity Trust Inc., et al. (Notice)
812-13372
IC-27983	Sep. 26, 2007	SPA ETF Trust and SPA ETF Inc. (Order)
IC-27963	Aug. 31, 2007	SPA ETF Trust and SPA ETF Inc. (Notice)
812-13365
IC-27960	Aug. 30, 2007	Minnesota Life Insurance Company, et al. (Notice)
812-13364
IC-27971	Sep. 18, 2007	Allianz RCM Global EcoTrends Fund, et al. (Order)
IC-27936	Aug. 23, 2007	Allianz RCM Global EcoTrends Fund, et al. (Notice)
812-13361
IC-27885	Jul. 16, 2007	ING Life Insurance and Annuity Company, et al. (Order)
IC-27869	Jun. 20, 2007	ING Life Insurance and Annuity Company, et al. (Notice)
812-13359
IC-27999	Sep. 27, 2007	Financial Investors Variable Insurance Trust, et al. (Order)
IC-27965	Sep. 4, 2007	Financial Investors Variable Insurance Trust et al. (Notice)
812-13358
IC-27930	Aug. 20, 2007	HealthShares, Inc. et al. (Order)
IC-27916	Jul. 27, 2007	HealthShares, Inc. (Notice)
812-13356
IC-27809	Apr. 30, 2007	SSgA Funds Management, Inc., et al. (Notice)
812-13353
IC-27959	Aug. 29, 2007	Sentinel Variable Products Trust, et al. (Order)
IC-27921	Aug. 3, 2007	Sentinel Variable Products Trust and Sentinel Asset Management, Inc. (Notice)
812-13351
IC-27676	Jan. 24, 2007	FBR Fund Advisers, Inc., FBR Investment Services, Inc., and FBR Investment Management, Inc. (Order)
812-13350
IC-27868	Jun. 20, 2007	First Investors Equity Funds (Order)
IC-27826	May 23, 2007	First Investors Equity Funds, et al. (Notice)
812-13347
IC-27810	April 30, 2007	MetLife Insurance Company of Connecticut, et al. (Order)
IC-27778	Apr. 6, 2007	MetLife Insurance Company of Connecticut, et al. (Notice)
812-13346
IC-27929	Aug. 17, 2007	MONY Life Insurance Company of America, et al. (Order)
IC-27909	Jul. 24, 2007	MONY Life Insurance Company of America, et al. (Notice)
812-13345
IC-27753	Mar. 20, 2007	Nasdaq-100 Trust, Series 1, PowerShares Capital Management LLC, and ALPS Distributors, Inc. (Order)
IC-27740	Feb. 27, 2007	NASDAQ-100 Trust, Series 1, et al. (Notice)
812-13344
IC-27768	Mar. 21, 2007	BLDRS Index Funds Trust, PowerShares Capital Management LLC, and ALPS Distributors, Inc. (Order)
IC-27745	Feb. 28, 2007	BLDRS Index Funds Trust, et al. (Notice)
812-13343
IC-27743	Feb. 27, 2007	PowerShares Exchange-Traded Fund Trust, PowerShares Capital Management LLC, and AIM Distributors, Inc. (Order)
IC-27693	Jan. 31, 2007	PowerShares Exchange-Traded Fund Trust, et al. (Notice)
812-13342
IC-27813	Apr. 30, 2007	Jefferson National Life Insurance Company, et al. (Order)
IC-27779	Apr. 6, 2007	Jefferson National Life Insurance Company, et al. (Notice)
812-13341
IC-27873	Jun. 26, 2007	John Hancock Trust, el al. (Order)
IC-27848	May 30, 2007	John Hancock Trust, et al. (Notice)
812-13340
IC-27845	May 30, 2007	First Trust Exchange-Traded Fund, et al. (Order)
IC-27812	Apr. 30, 2007	First Trust Exchange-Traded Fund, et al. (Notice)
812-13339
IC-27742	Feb. 27, 2007	Van Eck Associates Corporation, Market Vectors ETF Trust, and Van Eck Securities Corporation (Order)
IC-27694	Jan. 31, 2007	Van Eck Associates Corporation, et al. (Notice)
812-13338
IC-27887	Jul. 17, 2007	Principal Variable Contracts Fund, Inc., et al. (Order)
812-13337
IC-27754	Mar. 20, 2007	Rydex ETF Trust, Rydex Distributors, Inc. and PADCO Advisors II, Inc. (Order)
IC-27703	Feb. 20, 2007	Rydex ETF Trust, et al. (Notice)
812-13336
IC-27773	Apr. 2, 2007	Vanguard Bond Index Funds, et al. (Order)
IC-27750	Mar. 9, 2007	Vanguard Bond Index Funds, et al. (Notice)
812-13335
IC-27811	Apr. 30, 2007	PowerShares Exchange-Traded Fund Trust (Notice)
812-13334
IC-27825	May 22, 2007	XTF Advisors Trust, et al. (Order)
IC-27783	Apr. 25, 2007	XTF Advisors Trust, et al. (Notice)
812-13333
IC-27926	Aug. 9, 2007	Delaware VIP Trust, et al. (Order)
IC-27886	Jul. 16, 2007	Delaware VIP Trust et al. (Notice)
812-13332
IC-27874	Jun. 26, 2007	Ameristock ETF Trust, et al. (Order)
IC-27847	May 30, 2007	Ameristock ETF Trust, et al. (Notice)
812-13329
IC-27666	Jan. 18, 2007	Proshares Trust, Proshare Advisors LLC, SEI Investments Distribution Company (Order)
812-13327
IC-27769	Mar. 27, 2007	Liberty All-Star Equity Fund, Liberty All-Star Growth Fund, Inc., and ALPS Advisers, Inc (Order)
IC-27741	Feb. 27, 2007	Liberty All-Star Equity Fund, et al. (Notice)
812-13325
IC-27744	Feb. 28, 2007	COUNTRY Investors Life Assurance Company, et al. (Order)
IC-27695	Feb. 2, 2007	Country Investors Life Assurance Company, et al. (Notice)
812-13321
IC-27738	Feb. 23, 2007	Integrity Life Insurance Company, et al. (Order)
IC-27677	Jan. 24, 2007	Integrity Life Insurance Company, et al. (Notice)
812-13320
IC-27660	Jan. 16, 2007	Jackson National Life Insurance Company, et al. (Order)
812-13319
IC-27690	Jan. 30, 2007	New River Funds and New River Advisers LLC (Order)
IC-27653	Jan. 3, 2007	New River Funds and New River Advisers LLC (Notice)
812-13318
IC-27781	Apr. 16, 2007	John Hancock Life Insurance Company (U.S.A.), John Hancock Life Insurance Company (U.S.A.) Separate Account H, John Hancock Life Insurance Company of New York, and John Hancock Life Insurance Company of New York Separate Account A (Order)
IC-27752	Mar. 19, 2007	John Hancock Life Insurance Company, et al. (Notice)
812-13312
IC-27838	May 23, 2007	Hercules Technology Growth Capital, Inc. (Order)
IC-27815	May 2, 2007	Hercules Technology Growth Capital, Inc. (Notice)
812-13308
IC-27702	Feb. 22, 2007	American Capital Strategies, Ltd. (Order)
IC-27669	Jan. 19, 2007	American Capital Strategies, Ltd. (Notice)
812-13304
IC-27849	Jun. 1, 2007	Van Eck Worldwide Insurance Trust, et al. (Order)
IC-27820	May 9, 2007	Van Eck Worldwide Insurance Trust, et al. (Notice)
812-13295
IC-27775	Apr. 3, 2007	The RBB Fund, Inc., et al. (Order)
IC-27749	Mar. 8, 2007	The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)
812-13294
IC-27654	Jan. 3, 2007	The Mexico Equity and Income Fund, Inc. (Order)
812-13290
IC-27955	Aug. 28, 2007	Medallion Financial Corp. (Order)
IC-27917	Jul. 30, 2007	Medallion Financial Corp. (Notice)
812-13288
IC-27871	Jun. 21, 2007	HealthShares™, Inc. and XShares Advisors LLC (Order)
IC-27844	May 29, 2007	HealthShares™, Inc. and XShares Advisors LLC (Notice)
812-13287
IC-27850	Jun. 4, 2007	Lincoln Variable Insurance Products Trust, et al. (Order)
IC-27821	May 11, 2007	Lincoln Variable Insurance Products Trust, et al. (Notice)
812-13286
IC-27837	May 23, 2007	Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Order)
IC-27807	Apr. 27, 2007	Old Westbury Funds, Inc. and Bessemer Investment Management LLC (Notice)
812-13282
IC-27688	Jan. 25, 2007	Sun Life Assurance Company of Canada (U.S.), et al. (Order)
812-13279
IC-27691	Jan. 30, 2007	Nexbank Securities, Inc. and Nexbank Series (Order)
IC-27655	Jan. 4, 2007	NexBank Securities, Inc. and NexBank Series (Notice)
812-13278
IC-27659	Jan. 16, 2007	NexBank Securities, Inc., NexBank Series (Order)
812-13272
IC-27751	Mar. 15, 2007	Wilshire Variable Insurance Trust and Wilshire Associates Incorporated (Order)
IC-27701	Feb. 16, 2007	Wilshire Variable Insurance Trust, et al. (Notice)
812-13268
IC-27846	May 30, 2007	First American Investment Funds, Inc. et al. (Order)
IC-27818	May 4, 2007	First American Investment Funds, Inc., et al. (Notice)
812-13267
IC-27972	Sep. 18, 2007	Hartford Life Insurance Company, et al. (Order)
IC-27933	Aug. 22, 2007	Hartford Life Insurance Company, et al. (Notice)
812-13265
IC-27665	Jan. 18, 2007	Forum Funds and Absolute Investment Advisers (Order)
812-13262
IC-27784	Apr. 25, 2007	First Trust Exchange-Traded Fund, et al. (Order)
IC-27772	Mar. 30, 2007	First Trust Exchange-Traded Fund, et al. (Notice)
812-13259
IC-27970	Sep. 17, 2007	American International Group, Inc., et al. (Order)
IC-27931	Aug. 20, 2007	American International Group, Inc., et al. (Notice)
IC-27700	Feb. 16, 2007	American International Group, Inc. et al. (Order)
812-13257
IC-27656	Jan. 8, 2007	The Mainstay Funds, Mainstay VP Series Fund, Inc., New York Life Investment Management LLC (Order)
812-13255
IC-27824	May 22, 2007	Hill Physicians Medical Group, Inc. (Order)
IC-27804	Apr. 26, 2007	Hill Physicians Medical Group, Inc. (Notice)
812-13251
IC-27956	Aug. 28, 2007	AARP Funds, et al. (Order)
IC-27918	Jul. 31, 2007	AARP Funds, et al. (Notice)
812-13249
IC-27814	May 1, 2007	Forward Funds (Order)
IC-27777	Apr. 5, 2007	Forward Funds, et al. (Notice)
812-13238
IC-27776	Apr. 5, 2007	Hercules Technology Growth Capital, Inc. et al. (Order)
IC-27748	Mar. 7, 2007	Hercules Technology Growth Capital, Inc., et al. (Notice)
812-13234
IC-27698	Feb. 13, 2007	MFS Series Trust X, MFS Series Trust XII, MFS Series Trust I, MFS Series Trust III, MFS Series Trust IV, MFS Series Trust V, MFS Series Trust IX, MFS Series Trust XI, MFS Series Trust XIII, Massachusetts Financial Services Company, MFS Fund Distributors, Inc. (Order)
IC-27662	Jan. 17, 2007	MFS Series Trust X, et al. (Notice)
812-13232
IC-28023	Oct. 24, 2007	Fidelity Rutland Square Trust, et al. (Order)
IC-28008	Sep. 28, 2007	Fidelity Rutland Square Trust, et al. (Notice)
812-13224
IC-27664	Jan. 18, 2007	Ziegler Exchange Traded Trust, Ziegler Capital Management, LLC, B.C. Ziegler and Company (Order)
812-13212
IC-27673	Jan. 23, 2007	Deutsche Bank Trust Company Americas (Order)
812-13208
IC-27661	Jan. 17, 2007	Barclays Global Fund Advisors, iShares, Inc., iShares Trust, SEI Investments Distribution Co. (Order)
812-13201
IC-27699	Feb. 15, 2007	Hercules Technology Growth Capital, Inc. (Order)
IC-27668	Jan. 19, 2007	Hercules Technology Growth Capital, Inc. (Notice)
812-13186
IC-27822	May 22, 2007	HSBC Securities (USA) Inc. (Notice)
IC-27805	Apr. 26, 2007	HSBC Securities (USA) Inc. (Notice)
812-13133
IC-27657	Jan. 9, 2007	Members Mutual Funds, et al. LLC (Order)
812-13029
IC-27658	Jan. 9, 2007	Profunds, Access One Trust, Proshares Trust, Proshare Advisors LLC, Profund Advisors LLC (Order)
812-12984
IC-28074	Dec. 4, 2007	BTOP50 Managed Futures Fund and Asset Alliance Advisors, Inc. (Order)
IC-28045	Nov. 8, 2007	BTOP50 Managed Futures Fund and Asset Alliance Advisors, Inc. (Notice)
812-12973
IC-27957	Aug. 28, 2007	Lehman Brothers Asset Management LLC, et al. (Order)
IC-27920	Aug. 1, 2007	Lehman Brothers Asset Management LLC, et al. (Notice)
811-21874
IC-28073	Dec. 4, 2007	National Presto Industries, Inc. (Order)
811-21733
IC-27765	Mar. 21, 2007	Liberty All-Star Mid-Cap Fund (Order)
811-21717
IC-27764	Mar. 21, 2007	Pioneer Municipal High Yield Trust (Order)
811-21535
IC-27763	Mar. 21, 2007	Pioneer International Income and Growth Trust (Order)
811-21459
IC-27762	Mar. 21, 2007	Pioneer Tax Qualified Dividend Fund (Order)
811-21408
IC-27767	Mar. 21, 2007	Pioneer AllWeather Fund LLC (Order)
811-10215
IC-27709	Feb. 22, 2007	Financial Investors Variable Insurance Trust (Order)
811-9481
IC-27935	Aug. 23, 2007	Huntington VA Funds (Order)
811-9319
IC-27766	Mar. 21, 2007	Ameritrade Automatic Common Exchange Security Trust (Order)
811-8917
IC-27758	Mar. 21, 2007	Credit Suisse Institutional Fixed Income Fund, Inc. (Order)
811-8505
IC-28062	Nov. 20, 2007	Baron Capital Funds Trust (Order)
811-7909
IC-27759	Mar. 21, 2007	Credit Suisse Small Cap Growth Fund, Inc. (Order)
811-6465
IC-27704	Feb. 22, 2007	Travelers Series Trust (Order)
811-5039
IC-27760	Mar. 21, 2007	Credit Suisse Fixed Income Fund (Order)
811-4533
IC-27761	Mar. 21, 2007	Federated Municipal High Yield Advantage Fund, Inc. (Order)
811-4161
IC-28063	Nov. 20, 2007	Jefferson Pilot Variable Fund, Inc. (Order)
811-3641
IC-27934	Aug. 23, 2007	40|86 Series Trust (Notice)
811-3568
IC-27706	Feb. 22, 2007	Managed Assets Trust (Order)
811-3429
IC-27708	Feb. 22, 2007	Capital Appreciation Fund (Order)
811-3428
IC-27707	Feb. 22, 2007	High Yield Bond Trust (Order)
811-3274
IC-27705	Feb. 22, 2007	Money Market Portfolio (Order)
811-02873
IC-27998	Sep. 27, 2007	Capitol Life Separate Account M (Order)
811-2018
IC-27757	Mar. 21, 2007	Eagle Growth Shares Investing Program (Order)

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