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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 2008
Additional Archives
2008 | 2007
Release No. |
Date |
Details |
Fourth Quarter |
812-13063 |
IC-28483 |
Nov. 4, 2008 |
Calamos Convertible Opportunities and Income Fund, et al. (Order)
|
812-13548 |
IC-28482 |
Oct. 31, 2008 |
Wells Fargo Funds Trust, et al. (Notice)
|
812-13474 |
IC-28480 |
Oct. 30, 2008 |
Allianz Life Insurance Company of North America, et al. (Notice)
|
812-13530 |
IC-28475 |
Oct. 28, 2008 |
Aberdeen Asset Management Inc. and Aberdeen Funds (Order)
|
812-13428 |
IC-28474 |
Oct. 28, 2008 |
MCG Capital Corporation, et al. (Order)
|
813-355 |
IC-28473 |
Oct. 28, 2008 |
HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Order)
|
812-13392 |
IC-28472 |
Oct. 28, 2008 |
H&Q Healthcare Investors, et al. (Order)
|
812-13458 |
IC-28471 |
Oct. 27, 2008 |
WisdomTree Asset Management, Inc. and WisdomTree Trust (Order)
|
812-13480 |
IC-28470 |
Oct. 27, 2008 |
Dodge & Cox Funds and Dodge & Cox Incorporated (Order)
|
812-13533 |
IC-28469 |
Oct. 27, 2008 |
Forward Funds and Forward Management, LLC (Order)
|
812-13477 |
IC-28468 |
Oct. 27, 2008 |
First Trust Advisors L.P., et al. (Order)
|
812-13491 |
IC-28467 |
Oct. 27, 2008 |
Invesco PowerShares Capital Management LLC, et al. (Order)
|
812-13585 |
IC-28466 |
Oct. 24, 2008 |
Reserve Municipal Money-Market Trust, et al. (Notice of Application and Temporary Order)
Comments received are available.
|
812-13576 |
IC-28465 |
Oct. 24, 2008 |
The Reserve Fund (Notice)
|
812-13540 |
IC-28464 |
Oct. 23, 2008 |
Eaton Vance Floating-Rate Income Trust, et al. (Order)
|
812-13521 |
IC-28445 |
Oct. 21, 2008 |
Delaware Management Business Trust, et al. (Order)
|
812-13529 |
IC-28444 |
Oct. 21, 2008 |
Morgan Stanley Series Funds, et al. (Order)
|
812-13531 |
IC-28443 |
Oct. 21, 2008 |
Aberdeen Asset Management Inc., et al. (Order)
|
812-13077 |
IC-28442 |
Oct. 20, 2008 |
Boulder Total Return Fund, Inc., et al. (Notice)
|
812-13497 |
IC-28441 |
Oct. 20, 2008 |
The Zweig Total Return Fund, Inc., et al. (Notice)
|
812-13506 |
IC-28440 |
Oct. 17, 2008 |
Van Kampen Retirement Strategy Trust, et al. (Order)
|
812-13514 |
IC-28439 |
Oct. 15, 2008 |
Trust for Professional Managers, et al. (Order)
|
812-13355 |
IC-28437 |
Oct. 14, 2008 |
Triangle Capital Corporation, et al. (Order)
|
812-13063 |
IC-28435 |
Oct. 7, 2008 |
Calamos Convertible Opportunities and Income Fund, et al. (Notice)
|
812-13483 |
IC-28434 |
Oct. 6, 2008 |
Rafferty Asset Management, LLC, et al. (Order)
|
812-13517 |
IC-28433 |
Oct. 3, 2008 |
Global X Funds and Global X Management Company LLC (Order)
|
812-13540 |
IC-28431 |
Oct. 2, 2008 |
Eaton Vance Floating-Rate Income Trust, et al. (Notice)
|
812-13572 |
IC-28430 |
Oct. 1, 2008 |
Prudential Financial, Inc., et al. (Order)
|
Third Quarter |
812-13530 |
IC-28429 |
Sep. 30, 2008 |
Aberdeen Asset Management Inc. and Aberdeen Funds (Notice)
|
813-355 |
IC-28428 |
Sep. 30, 2008 |
HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Notice)
|
812-13428 |
IC-28427 |
Sep. 30, 2008 |
MCG Capital Corporation, et al. (Notice)
|
812-13392 |
IC-28426 |
Sep. 30, 2008 |
H&Q Healthcare Investors, et al. (Notice)
|
812-13505 |
IC-28425 |
Sep. 30, 2008 |
Fidelity Aberdeen Street Trust, et al. (Order)
|
812-13477 |
IC-28421 |
Sep. 29, 2008 |
First Trust Advisors L.P. (Notice)
|
812-13533 |
IC-28420 |
Sep. 29, 2008 |
Forward Funds and Forward Management, LLC (Notice)
|
812-13458 |
IC-28419 |
Sep. 29, 2008 |
WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice)
|
812-13381 |
IC-28412 |
Sep. 29, 2008 |
PIMCO Municipal Income Fund, et al. (Order)
|
812-13491 |
IC-28411 |
Sep. 29, 2008 |
Invesco PowerShares Capital Management LLC, et al. (Notice)
|
812-13526 |
IC-28410 |
Sep. 29, 2008 |
Phoenix Equity Trust, et al. (Order)
|
812-13480 |
IC-28409 |
Sep. 29, 2008 |
Dodge & Cox Funds and Dodge & Cox Incorporated (Notice)
|
812-13531 |
IC-28407 |
Sep. 25, 2008 |
Aberdeen Asset Management Inc., et al. (Notice)
|
812-13506 |
IC-28440 |
Oct. 17, 2008 |
Van Kampen Retirement Strategy Trust, et al. (Order)
|
IC-28406 |
Sep. 25, 2008 |
Van Kampen Retirement Strategy Trust, et al. (Notice)
|
812-13521 |
IC-28405 |
Sep. 24, 2008 |
Delaware Management Business Trust, et al. (Notice)
|
812-13357-01 |
IC-28389 |
Sep. 24, 2008 |
John Hancock Income Securities Trust, John Hancock Investors Trust,
John Hancock Patriot Premium Dividend Fund II, John Hancock Preferred Income Fund, John Hancock Preferred Income Fund II, John Hancock Preferred Income Fund III, John Hancock Tax-Advantaged Dividend Income Fund, John Hancock Tax-Advantaged Global Shareholder Yield Fund, and John Hancock Advisers, LLC (Order)
|
812-13529 |
IC-28388 |
Sep. 23, 2008 |
Morgan Stanley Series Funds, et al. (Notice)
|
812-13576 |
IC-28386 |
Sep. 22, 2008 |
The Reserve Fund, on behalf of two of its series, the Primary Fund and the U.S. Government Fund (Order)
See also: Responses to Frequently Asked Questions about The Reserve Fund and Money Market Funds
Comments received are available.
|
812-13528 |
IC-28385 |
Sep. 22, 2008 |
Aberdeen Asset Management Inc., et al. (Order)
|
812-13451 |
IC-28384 |
Sep. 19, 2008 |
Allianz Life Insurance Company of North America, et al. (Order)
|
812-13355 |
IC-28383 |
Sep. 19, 2008 |
Triangle Capital Corporation, et al. (Notice)
|
812-13514 |
IC-28382 |
Sep. 19, 2008 |
Trust for Professional Managers, et al. (Notice)
|
812-13483 |
IC-28379 |
Sep. 12, 2008 |
Rafferty Asset Management, LLC, et al. (Notice)
|
812-13517 |
IC-28378 |
Sep. 10, 2008 |
Global X Funds and Global X Management Company LLC (Notice)
|
812-13572 |
IC-28377 |
Sep. 5, 2008 |
Prudential Financial, Inc., et al. (Notice and Temporary Order)
|
812-13505 |
IC-28376 |
Sep. 5, 2008 |
Fidelity Aberdeen Street Trust, et al. (Notice)
|
812-13526 |
IC-28375 |
Sep. 3, 2008 |
Phoenix Equity Trust, et al. (Notice)
|
812-13537 |
IC-28374 |
Sep. 3, 2008 |
Advanced Series Trust, et al. (Order)
|
812-13532 |
IC-28373 |
Sep. 3, 2008 |
Prudential Annuities Life Assurance Corp., et. al. (Order)
|
812-13357-01 |
IC-28372 |
Aug. 29, 2008 |
John Hancock Income Securities Trust, et al. (Notice)
|
812-13381 |
IC-28370 |
Aug. 29, 2008 |
PIMCO Municipal Income Fund, et al. (Notice)
|
812-13451 |
IC-28369 |
Aug. 28, 2008 |
Allianz Life Insurance Company of North America, et al. (Notice)
|
812-13377 |
IC-28368 |
Aug. 26, 2008 |
DNP Select Income Fund Inc. and Duff & Phelps Investment Management Co. (Order)
|
812-13425 |
IC-28367 |
Aug. 26, 2008 |
Javelin Exchange-Traded Trust, et al. (Order)
|
812-13456 |
IC-28366 |
Aug. 26, 2008 |
Goldman Sachs Trust, et al. (Order)
|
812-13507 |
IC-28365 |
Aug. 25, 2008 |
Van Eck Associates Corporation, et al. (Order)
|
812-13528 |
IC-28364 |
Aug. 25, 2008 |
Aberdeen Asset Management Inc. and Aberdeen Funds (Notice)
|
812-13152 |
IC-28358 |
Aug. 19, 2008 |
Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order)
|
812-13454 |
IC-28357 |
Aug. 12, 2008 |
The Mexico Fund, et al. (Order)
|
812-13513 |
IC-28356 |
Aug. 12, 2008 |
PIMCO Funds, et al. (Order)
|
812-13537 |
IC-28355 |
Aug. 8, 2008 |
Advanced Series Trust, et al. (Notice)
|
812-13532 |
IC-28354 |
Aug. 8, 2008 |
Prudential Annuities Life Assurance Corporation, et. al. (Notice)
|
812-13074 |
IC-28352 |
Aug. 5, 2008 |
ING Clarion Real Estate Income Fund, et al. (Order)
|
812-13425 |
IC-28350 |
Jul. 31, 2008 |
Javelin Exchange-Traded Trust, et al. (Notice)
|
812-13507 |
IC-28349 |
Jul. 31, 2008 |
Van Eck Associates Corporation, et al. (Notice)
|
812-13377 |
IC-28348 |
Jul. 31, 2008 |
DNP Select Income Fund Inc., et al. (Notice)
|
812-13456 |
IC-28347 |
Jul. 31, 2008 |
Goldman Sachs Trust, et al. (Notice)
|
812-13401 |
IC-28342 |
Jul. 25, 2008 |
The Penn Mutual Life Insurance Company, et al. (Order)
|
812-13152 |
IC-28341 |
Jul. 24, 2008 |
Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Notice)
|
812-13457 |
IC-28334 |
Jul. 22, 2008 |
Minnesota Life Insurance Company, et al. (Order)
|
812-13454 |
IC-28332 |
Jul. 17, 2008 |
The Mexico Fund, et al. (Notice)
|
812-13513 |
IC-28331 |
Jul. 17, 2008 |
PIMCO Funds, et al. (Notice)
|
812-13074 |
IC-28329 |
Jul. 8, 2008 |
ING Clarion Real Estate Income Fund, et al. (Notice)
|
812-13401 |
IC-28328 |
Jul. 2, 2008 |
The Penn Mutual Life Insurance Company, et al. (Notice)
|
Second Quarter |
812-13457 |
IC-28321 |
Jun. 26, 2008 |
Minnesota Life Insurance Company, et al. (Notice)
|
813-369 |
IC-28301 |
Jun. 18, 2008 |
American International Group, Inc., et al. (Order)
|
812-13475 |
IC-28300 |
Jun. 17, 2008 |
Matrix Capital Group, Inc., et al. (Order)
|
812-13455 |
IC-28297 |
Jun. 6, 2008 |
Prudential Retirement Insurance and Annuity Company, et al. (Order)
|
812-13438 |
IC-28295 |
Jun. 3, 2008 |
Main Street Capital Corporation, et al. (Order)
|
812-13520 |
IC-28294 |
May 30, 2008 |
Harris & Harris Group, Inc. (Order)
|
813-362 |
IC-28289 |
May 28, 2008 |
The Bessemer Group, Inc., et al. (Order)
|
812-13496 |
IC-28288 |
May 28, 2008 |
The RBB Fund, Inc. and Abundance Technologies, Inc. (Order)
|
812-13476 |
IC-28287 |
May 28, 2008 |
Fidelity Rutland Square Trust, et al. (Order)
|
813-369 |
IC-28286 |
May 23, 2008 |
American International Group, Inc., et al (Notice)
|
812-13466 |
IC-28285 |
May 23, 2008 |
ING USA Annuity and Life Insurance Company, et al. (Order)
|
812-13475 |
IC-28284 |
May 22, 2008 |
Matrix Capital Group, Inc., et al. (Notice)
|
812-13508 |
IC-28267 |
May 20, 2008 |
Thrivent Mutual Funds, et al. (Order)
|
812-13438 |
IC-28265 |
May 8, 2008 |
Main Street Capital Corporation, et al. (Notice)
|
812-13246 |
IC-28264 |
May 7, 2008 |
U.S. Bank National Association FAF Advisors, Inc. (Order)
|
812-13455 |
IC-28263 |
May 7, 2008 |
Prudential Retirement Insurance and Annuity Company, et al. (Notice)
|
812-13430 |
IC-28262 |
May 1, 2008 |
ALPS Advisers Inc., et al. (Order)
|
812-13496 |
IC-28260 |
Apr. 30, 2008 |
The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)
|
812-13476 |
IC-28259 |
Apr. 30, 2008 |
Fidelity Rutland Square Trust, et al. (Notice)
|
813-362 |
IC-28258 |
Apr. 29, 2008 |
The Bessemer Group, Incorporated, et al. (Notice)
|
812-13500 |
IC-28257 |
Apr. 28, 2008 |
Franklin California Tax-Free Income Trust, et al. (Order)
|
812-13466 |
IC-28256 |
Apr. 28, 2008 |
ING USA Annuity and Life Insurance Company, et al. (Notice)
|
812-13508 |
IC-28252 |
Apr. 24, 2008 |
Thrivent Mutual Funds, et al. (Notice)
|
812-13368 |
IC-28239 |
Apr. 23, 2008 |
Kohlberg Capital Corporation (Order)
|
812-13246 |
IC-28238 |
Apr. 16, 2008 |
U.S. Bank National Association, et al. (Notice)
|
812-13445 |
IC-28237 |
Apr. 16, 2008 |
American Family Life Insurance Company, et al. (Order)
|
812-13439 |
IC-28236 |
Apr. 16, 2008 |
MetLife Insurance Company of Connecticut, et al. (Order)
|
812-13430 |
IC-28235 |
Apr. 9, 2008 |
ALPS Advisers, Inc. (Notice)
|
812�452 |
IC-28234 |
Apr. 3, 2008 |
Jefferson National Life Insurance Company, et al. (Order)
|
812-13446 |
IC-28233 |
Apr. 1, 2008 |
Prudential Annuities Life Assurance Corporation, et al. (Order)
|
812-13423 |
IC-28232 |
Apr. 1, 2008 |
CUNA Mutual Insurance Society, et al. (Order)
|
812-13437 |
IC-28231 |
Apr. 1, 2008 |
Pruco Life Insurance Company, et al. (Order)
|
812-13418 |
IC-28230 |
Apr. 1, 2008 |
JPMorgan Trust I, et al. (Order)
|
First Quarter |
812-13500 |
IC-28229 |
Mar. 31, 2008 |
Franklin California Tax-Free Income Fund, et al. (Notice)
|
812-13368 |
IC-28228 |
Mar. 28, 2008 |
Kohlberg Capital Corporation (Notice)
|
811-4193 |
IC-28203 |
Mar. 26, 2008 |
RSI Retirement Trust (Order)
|
812-13481 |
IC-28202 |
Mar. 25, 2008 |
Eaton Vance Mutual Funds Trust, et al. (Order)
|
812-13473 |
IC-28201 |
Mar. 25, 2008 |
Advisors Series Trust, et al. (Order)
|
812-13348 |
IC-28200 |
Mar. 25, 2008 |
Patriot Capital Funding, Inc. (Order)
|
812-13367 |
IC-28199 |
Mar. 24, 2008 |
Kohlberg Capital Corporation (Order)
|
812-13445 |
IC-28197 |
Mar. 19, 2008 |
American Family Life Insurance Company, et al. (Notice)
|
812-13447 |
IC-28196 |
Mar. 18, 2008 |
Triangle Capital Corporation (Order)
|
812-13444 |
IC-28195 |
Mar. 17, 2008 |
NETS Trust (Order)
|
812-13452 |
IC-28191 |
Mar. 10, 2008 |
Jefferson National Life Insurance Company, et al. (Notice)
|
812-13439 |
IC-28190 |
Mar. 10, 2008 |
MetLife Insurance Company of Connecticut, et al. (Notice)
|
811-4193 |
IC-28184 |
Mar. 5, 2008 |
RSI Retirement Trust (Notice)
|
812-13418 |
IC-28183 |
Mar. 4, 2008 |
JPMorgan Trust I, et al. (Notice)
|
812-13427 |
IC-28182 |
Mar. 4, 2008 |
Pioneer Bond Fund, et al. (Order)
|
812-13423 |
IC-28181 |
Mar. 4, 2008 |
CUNA Mutual Insurance Society, et al. (Notice)
|
812-13437 |
IC-28180 |
Mar. 4, 2008 |
Pruco Life Insurance Company, et al. (Notice)
|
812-13446 |
IC-28179 |
Mar. 4, 2008 |
Prudential Annuities Life Assurance Corporation, et al. (Notice)
|
812-13348 |
IC-28176 |
Feb. 28, 2008 |
Patriot Capital Funding, Inc. (Notice)
|
812-13473 |
IC-28175 |
Feb. 27, 2008 |
Advisors Series Trust, et al. (Notice)
|
812-13470 |
IC-28174 |
Feb. 27, 2008 |
WisdomTree Trust, et al. (Order)
|
812-13485 |
IC-28173 |
Feb. 27, 2008 |
Barclays Global Fund Advisors, et al. (Order)
|
812-13352 |
IC-28172 |
Feb. 27, 2008 |
Bear Stearns Asset Management, Inc., et al. (Order)
|
812-13386 |
IC-28171 |
Feb. 27, 2008 |
PowerShares Capital Management LLC, et al. (Order)
|
812-13481 |
IC-28170 |
Feb. 26, 2008 |
Eaton Vance Mutual Funds Trust, et al. (Notice)
|
812-13436 |
IC-28169 |
Feb. 26, 2008 |
MLIG Variable Insurance Trust (Order)
|
812-13367 |
IC-28168 |
Feb. 25, 2008 |
Kohlberg Capital Corporation (Notice)
|
812-13467 |
IC-28167 |
Feb. 25, 2008 |
Schroder Series Trust, et al. (Order)
|
812-13444 |
IC-28166 |
Feb. 25, 2008 |
NETS Trust, et al. (Notice)
|
812-13447 |
IC-28165 |
Feb. 20, 2008 |
Triangle Capital Corporation (Notice)
|
812-13363 |
IC-28151 |
Feb. 13, 2008 |
The TIGERS Revenue Trust and VTL Associates, LLC (Order)
|
812-13213 |
IC-28150 |
Feb. 13, 2008 |
Morgan Stanley Investment Management Inc., et al. (Order)
|
812-13424 |
IC-28149 |
Feb. 12, 2008 |
Northern Institutional Funds, Northern Funds, Northern Trust Investments, N.A. (Order)
|
812-13470 |
IC-28147 |
Feb. 6, 2008 |
Wisdom Tree Trust, et al. (Notice)
|
812-13485 |
IC-28146 |
Feb. 6, 2008 |
Barclays Global Fund Advisors, et al. (Notice)
|
812-13427 |
IC-28144 |
Feb. 5, 2008 |
Pioneer Bond Fund, et al. (Notice)
|
812-13352 |
IC-28143 |
Feb. 5, 2008 |
Bear Stearns Asset Management, Inc., et al. (Notice)
|
812-13386 |
IC-28140 |
Feb. 1, 2008 |
PowerShares Capital Management LLC, et al. (Notice)
|
812-13436 |
IC-28139 |
Jan. 31, 2008 |
MLIG Variable Insurance Trust and Roszel Advisors, LLC (Notice)
|
812-13467 |
IC-28133 |
Jan. 24, 2008 |
Schroder Series Trust, et al. (Notice)
|
812-13213 |
IC-28125 |
Jan. 18, 2008 |
Morgan Stanley Investment Management Inc., et al. (Notice)
|
812-13363 |
IC-28123 |
Jan. 18, 2008 |
The TIGERS Revenue Trust and VTL Associates, LLC (Notice)
|
812-13453 |
IC-28122 |
Jan. 16, 2008 |
The UBS Funds, et al. (Order)
|
812-13464 |
IC-28121 |
Jan. 16, 2008 |
Millennium India Acquisition Company, Inc. (Order)
|
812-13411 |
IC-28120 |
Jan. 16, 2008 |
Main Street Capital Corporation, et al. (Order)
|
812-13424 |
IC-28119 |
Jan. 16, 2008 |
Northern Institutional Funds (Notice)
|
ICA File Number List for 2008 |
Release No. |
Date |
Details |
813-369 |
IC-28301 |
Jun. 18, 2008 |
American International Group, Inc., et al. (Order)
|
IC-28286 |
May 23, 2008 |
American International Group, Inc., et al (Notice)
|
813-362 |
IC-28289 |
May 28, 2008 |
The Bessemer Group, Inc., et al. (Order)
|
IC-28258 |
Apr. 29, 2008 |
The Bessemer Group, Incorporated, et al. (Notice)
|
813-355 |
IC-28473 |
Oct. 28, 2008 |
HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Order)
|
IC-28428 |
Sep. 30, 2008 |
HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Notice)
|
812-13585 |
IC-28466 |
Oct. 24, 2008 |
Reserve Municipal Money-Market Trust, et al. (Notice of Application and Temporary Order)
|
IC-28386 |
Sep. 22, 2008 |
The Reserve Fund, on behalf of two of its series, the Primary Fund and the U.S. Government Fund (Order)
Comments received are available.
|
812-13576 |
IC-28465 |
Oct. 24, 2008 |
The Reserve Fund (Notice)
|
812-13572 |
IC-28430 |
Oct. 1, 2008 |
Prudential Financial, Inc., et al. (Order)
|
IC-28377 |
Sep. 5, 2008 |
Prudential Financial, Inc., et al. (Notice and Temporary Order)
|
812-13548 |
IC-28482 |
Oct. 31, 2008 |
Wells Fargo Funds Trust, et al. (Notice)
|
812-13540 |
IC-28464 |
Oct. 23, 2008 |
Eaton Vance Floating-Rate Income Trust, et al. (Order)
|
IC-28431 |
Oct. 2, 2008 |
Eaton Vance Floating-Rate Income Trust, et al. (Notice)
|
812-13537 |
IC-28374 |
Sep. 3, 2008 |
Advanced Series Trust, et al. (Order)
|
IC-28355 |
Aug. 8, 2008 |
Advanced Series Trust, et al. (Notice)
|
812-13533 |
IC-28469 |
Oct. 27, 2008 |
Forward Funds and Forward Management, LLC (Order)
|
IC-28420 |
Sep. 29, 2008 |
Forward Funds and Forward Management, LLC (Notice)
|
812-13532 |
IC-28373 |
Sep. 3, 2008 |
Prudential Annuities Life Assurance Corp., et. al. (Order)
|
IC-28354 |
Aug. 8, 2008 |
Prudential Annuities Life Assurance Corporation, et. al. (Notice)
|
812-13531 |
IC-28443 |
Oct. 21, 2008 |
Aberdeen Asset Management Inc., et al. (Order)
|
IC-28407 |
Sep. 25, 2008 |
Aberdeen Asset Management Inc., et al. (Notice)
|
812-13530 |
IC-28475 |
Oct. 28, 2008 |
Aberdeen Asset Management Inc. and Aberdeen Funds (Order)
|
IC-28429 |
Sep. 30, 2008 |
Aberdeen Asset Management Inc. and Aberdeen Funds (Notice)
|
812-13529 |
IC-28444 |
Oct. 21, 2008 |
Morgan Stanley Series Funds, et al. (Order)
|
IC-28388 |
Sep. 23, 2008 |
Morgan Stanley Series Funds, et al. (Notice)
|
812-13528 |
IC-28385 |
Sep. 22, 2008 |
Aberdeen Asset Management Inc., et al. (Order)
|
IC-28364 |
Aug. 25, 2008 |
Aberdeen Asset Management Inc. and Aberdeen Funds (Notice)
|
812-13526 |
IC-28410 |
Sep. 29, 2008 |
Phoenix Equity Trust, et al. (Order)
|
IC-28375 |
Sep. 3, 2008 |
Phoenix Equity Trust, et al. (Notice)
|
812-13521 |
IC-28445 |
Oct. 21, 2008 |
Delaware Management Business Trust, et al. (Order)
|
IC-28405 |
Sep. 24, 2008 |
Delaware Management Business Trust, et al. (Notice)
|
812-13520 |
IC-28294 |
May 30, 2008 |
Harris & Harris Group, Inc. (Order)
|
812-13517 |
IC-28433 |
Oct. 3, 2008 |
Global X Funds and Global X Management Company LLC (Order)
|
IC-28378 |
Sep. 10, 2008 |
Global X Funds and Global X Management Company LLC (Notice)
|
812-13514 |
IC-28439 |
Oct. 15, 2008 |
Trust for Professional Managers, et al. (Order)
|
IC-28382 |
Sep. 19, 2008 |
Trust for Professional Managers, et al. (Notice)
|
812-13513 |
IC-28356 |
Aug. 12, 2008 |
PIMCO Funds, et al. (Order)
|
IC-28331 |
Jul. 17, 2008 |
PIMCO Funds, et al. (Notice)
|
812-13508 |
IC-28267 |
May 20, 2008 |
Thrivent Mutual Funds, et al. (Order)
|
IC-28252 |
Apr. 24, 2008 |
Thrivent Mutual Funds, et al. (Notice)
|
812-13507 |
IC-28365 |
Aug. 25, 2008 |
Van Eck Associates Corporation, et al. (Order)
|
IC-28349 |
Jul. 31, 2008 |
Van Eck Associates Corporation, et al. (Notice)
|
812-13506 |
IC-28406 |
Sep. 25, 2008 |
Van Kampen Retirement Strategy Trust, et al. (Notice)
|
812-13505 |
IC-28425 |
Sep. 30, 2008 |
Fidelity Aberdeen Street Trust, et al. (Order)
|
IC-28376 |
Sep. 5, 2008 |
Fidelity Aberdeen Street Trust, et al. (Notice)
|
812-13500 |
IC-28257 |
Apr. 28, 2008 |
Franklin California Tax-Free Income Trust, et al. (Order)
|
IC-28229 |
Mar. 31, 2008 |
Franklin California Tax-Free Income Fund, et al. (Notice)
|
812-13497 |
IC-28441 |
Oct. 20, 2008 |
The Zweig Total Return Fund, Inc., et al. (Notice)
|
812-13496 |
IC-28288 |
May 28, 2008 |
The RBB Fund, Inc. and Abundance Technologies, Inc. (Order)
|
IC-28260 |
Apr. 30, 2008 |
The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)
|
812-13491 |
IC-28467 |
Oct. 27, 2008 |
Invesco PowerShares Capital Management LLC, et al. (Order)
|
IC-28411 |
Sep. 29, 2008 |
Invesco PowerShares Capital Management LLC, et al. (Notice)
|
812-13485 |
IC-28173 |
Feb. 27, 2008 |
Barclays Global Fund Advisors, et al. (Order)
|
IC-28146 |
Feb. 6, 2008 |
Barclays Global Fund Advisors, et al. (Notice)
|
812-13483 |
IC-28434 |
Oct. 6, 2008 |
Rafferty Asset Management, LLC, et al. (Order)
|
IC-28379 |
Sep. 12, 2008 |
Rafferty Asset Management, LLC, et al. (Notice)
|
812-13481 |
IC-28202 |
Mar. 25, 2008 |
Eaton Vance Mutual Funds Trust, et al. (Order)
|
IC-28170 |
Feb. 26, 2008 |
Eaton Vance Mutual Funds Trust, et al. (Notice)
|
812-13480 |
IC-28470 |
Oct. 27, 2008 |
Dodge & Cox Funds and Dodge & Cox Incorporated (Order)
|
IC-28409 |
Sep. 29, 2008 |
Dodge & Cox Funds and Dodge & Cox Incorporated (Notice)
|
812-13477 |
IC-28468 |
Oct. 27, 2008 |
First Trust Advisors L.P., et al. (Order)
|
IC-28421 |
Sep. 29, 2008 |
First Trust Advisors L.P. (Notice)
|
812-13476 |
IC-28287 |
May 28, 2008 |
Fidelity Rutland Square Trust, et al. (Order)
|
IC-28259 |
Apr. 30, 2008 |
Fidelity Rutland Square Trust, et al. (Notice)
|
812-13475 |
IC-28300 |
Jun. 17, 2008 |
Matrix Capital Group, Inc., et al. (Order)
|
IC-28284 |
May 22, 2008 |
Matrix Capital Group, Inc., et al. (Notice)
|
812-13474 |
IC-28480 |
Oct. 30, 2008 |
Allianz Life Insurance Company of North America, et al. (Notice)
|
812-13473 |
IC-28201 |
Mar. 25, 2008 |
Advisors Series Trust, et al. (Order)
|
IC-28175 |
Feb. 27, 2008 |
Advisors Series Trust, et al. (Notice)
|
812-13470 |
IC-28174 |
Feb. 27, 2008 |
WisdomTree Trust, et al. (Order)
|
IC-28147 |
Feb. 6, 2008 |
Wisdom Tree Trust, et al. (Notice)
|
812-13467 |
IC-28167 |
Feb. 25, 2008 |
Schroder Series Trust, et al. (Order)
|
IC-28133 |
Jan. 24, 2008 |
Schroder Series Trust, et al. (Notice)
|
812-13466 |
IC-28285 |
May 23, 2008 |
ING USA Annuity and Life Insurance Company, et al. (Order)
|
IC-28256 |
Apr. 28, 2008 |
ING USA Annuity and Life Insurance Company, et al. (Notice)
|
812-13464 |
IC-28121 |
Jan. 16, 2008 |
Millennium India Acquisition Company, Inc. (Order)
See also: Notice: Rel. No. IC-28083
|
812-13458 |
IC-28471 |
Oct. 27, 2008 |
WisdomTree Asset Management, Inc. and WisdomTree Trust (Order)
|
IC-28419 |
Sep. 29, 2008 |
WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice)
|
812-13457 |
IC-28334 |
Jul. 22, 2008 |
Minnesota Life Insurance Company, et al. (Order)
|
IC-28321 |
Jun. 27, 2008 |
Minnesota Life Insurance Company, et al. (Notice)
|
812-13456 |
IC-28366 |
Aug. 26, 2008 |
Goldman Sachs Trust, et al. (Order)
|
IC-28347 |
Jul. 31, 2008 |
Goldman Sachs Trust, et al. (Notice)
|
812-13455 |
IC-28297 |
Jun. 6, 2008 |
Prudential Retirement Insurance and Annuity Company, et al. (Order)
|
IC-28263 |
May 7, 2008 |
Prudential Retirement Insurance and Annuity Company, et al. (Notice)
|
812-13454 |
IC-28357 |
Aug. 12, 2008 |
The Mexico Fund, et al. (Order)
|
IC-28332 |
Jul. 17, 2008 |
The Mexico Fund, et al. (Notice)
|
812-13453 |
IC-28122 |
Jan. 16, 2008 |
The UBS Funds, et al. (Order)
See also: Notice: Rel. No. IC-28080
|
812�452 |
IC-28234 |
Apr. 3, 2008 |
Jefferson National Life Insurance Company, et al. (Order)
|
IC-28191 |
Mar. 10, 2008 |
Jefferson National Life Insurance Company, et al. (Notice)
|
812-13451 |
IC-28384 |
Sep. 19, 2008 |
Allianz Life Insurance Company of North America, et al. (Order)
|
IC-28369 |
Aug. 28, 2008 |
Allianz Life Insurance Company of North America, et al. (Notice)
|
812-13447 |
IC-28196 |
Mar. 18, 2008 |
Triangle Capital Corporation (Order)
|
IC-28165 |
Feb. 20, 2008 |
Triangle Capital Corporation (Notice)
|
812-13446 |
IC-28233 |
Apr. 1, 2008 |
Prudential Annuities Life Assurance Corporation, et al. (Order)
|
IC-28179 |
Mar. 4, 2008 |
Prudential Annuities Life Assurance Corporation, et al. (Notice)
|
812-13445 |
IC-28237 |
Apr. 16, 2008 |
American Family Life Insurance Company, et al. (Order)
|
IC-28197 |
Mar. 19, 2008 |
American Family Life Insurance Company, et al. (Notice)
|
812-13444 |
IC-28195 |
Mar. 17, 2008 |
NETS Trust (Order)
|
IC-28166 |
Feb. 25, 2008 |
NETS Trust, et al. (Notice)
|
812-13439 |
IC-28236 |
Apr. 16, 2008 |
MetLife Insurance Company of Connecticut, et al. (Order)
|
IC-28190 |
Mar. 10, 2008 |
MetLife Insurance Company of Connecticut, et al. (Notice)
|
812-13438 |
IC-28295 |
Jun. 3, 2008 |
Main Street Capital Corporation, et al. (Order)
|
IC-28265 |
May 8, 2008 |
Main Street Capital Corporation, et al. (Notice)
|
812-13437 |
IC-28231 |
Apr. 1, 2008 |
Pruco Life Insurance Company, et al. (Order)
|
IC-28180 |
Mar. 4, 2008 |
Pruco Life Insurance Company, et al. (Notice)
|
812-13436 |
IC-28169 |
Feb. 26, 2008 |
MLIG Variable Insurance Trust (Order)
|
IC-28139 |
Jan. 31, 2008 |
MLIG Variable Insurance Trust and Roszel Advisors, LLC (Notice)
|
812-13430 |
IC-28262 |
May 1, 2008 |
ALPS Advisers Inc., et al. (Order)
|
IC-28235 |
Apr. 9, 2008 |
ALPS Advisers, Inc. (Notice)
|
812-13428 |
IC-28474 |
Oct. 28, 2008 |
MCG Capital Corporation, et al. (Order)
|
IC-28427 |
Sep. 30, 2008 |
MCG Capital Corporation, et al. (Notice)
|
812-13427 |
IC-28182 |
Mar. 4, 2008 |
Pioneer Bond Fund, et al. (Order)
|
IC-28144 |
Feb. 5, 2008 |
Pioneer Bond Fund, et al. (Notice)
|
812-13425 |
IC-28367 |
Aug. 26, 2008 |
Javelin Exchange-Traded Trust, et al. (Order)
|
IC-28350 |
Jul. 31, 2008 |
Javelin Exchange-Traded Trust, et al. (Notice)
|
812-13424 |
IC-28149 |
Feb. 12, 2008 |
Northern Institutional Funds, Northern Funds, Northern Trust Investments, N.A. (Order)
|
IC-28119 |
Jan. 16, 2008 |
Northern Institutional Funds (Notice)
|
812-13423 |
IC-28232 |
Apr. 1, 2008 |
CUNA Mutual Insurance Society, et al. (Order)
|
IC-28181 |
Mar. 4, 2008 |
CUNA Mutual Insurance Society, et al. (Notice)
|
812-13418 |
IC-28183 |
Mar. 4, 2008 |
JPMorgan Trust I, et al. (Notice)
|
IC-28230 |
Apr. 1, 2008 |
JPMorgan Trust I, et al. (Order)
|
812-13411 |
IC-28120 |
Jan. 16, 2008 |
Main Street Capital Corporation, et al. (Order)
See also: Notice: Rel. No. IC-28082
|
812-13401 |
IC-28342 |
Jul. 25, 2008 |
The Penn Mutual Life Insurance Company, et al. (Order)
|
IC-28328 |
Jul. 2, 2008 |
The Penn Mutual Life Insurance Company, et al. (Notice)
|
812-13392 |
IC-28472 |
Oct. 28, 2008 |
H&Q Healthcare Investors, et al. (Order)
|
IC-28426 |
Sep. 30, 2008 |
H&Q Healthcare Investors, et al. (Notice)
|
812-13386 |
IC-28171 |
Feb. 27, 2008 |
PowerShares Capital Management LLC, et al. (Order)
|
IC-28140 |
Feb. 1, 2008 |
PowerShares Capital Management LLC, et al. (Notice)
|
812-13381 |
IC-28412 |
Sep. 29, 2008 |
PIMCO Municipal Income Fund, et al. (Order)
|
IC-28370 |
Aug. 29, 2008 |
PIMCO Municipal Income Fund, et al. (Notice)
|
812-13377 |
IC-28368 |
Aug. 26, 2008 |
DNP Select Income Fund Inc. and Duff & Phelps Investment Management Co. (Order)
|
IC-28348 |
Jul. 31, 2008 |
DNP Select Income Fund Inc., et al. (Notice)
|
812-13368 |
IC-28239 |
Apr. 23, 2008 |
Kohlberg Capital Corporation (Order)
|
IC-28228 |
Mar. 28, 2008 |
Kohlberg Capital Corporation (Notice)
|
812-13367 |
IC-28199 |
Mar. 24, 2008 |
Kohlberg Capital Corporation (Order)
|
IC-28168 |
Feb. 25, 2008 |
Kohlberg Capital Corporation (Notice)
|
812-13363 |
IC-28151 |
Feb. 13, 2008 |
The TIGERS Revenue Trust and VTL Associates, LLC (Order)
|
IC-28123 |
Jan. 18, 2008 |
The TIGERS Revenue Trust and VTL Associates, LLC (Notice)
|
812-13357-01 |
IC-28389 |
Sep. 24, 2008 |
John Hancock Income Securities Trust, John Hancock Investors Trust,
John Hancock Patriot Premium Dividend Fund II, John Hancock Preferred Income Fund, John Hancock Preferred Income Fund II, John Hancock Preferred Income Fund III, John Hancock Tax-Advantaged Dividend Income Fund, John Hancock Tax-Advantaged Global Shareholder Yield Fund, and John Hancock Advisers, LLC (Order)
|
IC-28372 |
Aug. 29, 2008 |
John Hancock Income Securities Trust, et al. (Notice)
|
812-13355 |
IC-28437 |
Oct. 14, 2008 |
Triangle Capital Corporation, et al. (Order)
|
IC-28383 |
Sep. 19, 2008 |
Triangle Capital Corporation, et al. (Notice)
|
812-13352 |
IC-28172 |
Feb. 27, 2008 |
Bear Stearns Asset Management, Inc., et al. (Order)
|
IC-28143 |
Feb. 5, 2008 |
Bear Stearns Asset Management, Inc., et al. (Notice)
|
812-13348 |
IC-28200 |
Mar. 25, 2008 |
Patriot Capital Funding, Inc. (Order)
|
IC-28176 |
Feb. 28, 2008 |
Patriot Capital Funding, Inc. (Notice)
|
812-13246 |
IC-28264 |
May 7, 2008 |
U.S. Bank National Association FAF Advisors, Inc. (Order)
|
IC-28238 |
Apr. 16, 2008 |
U.S. Bank National Association, et al. (Notice)
|
812-13213 |
IC-28150 |
Feb. 13, 2008 |
Morgan Stanley Investment Management Inc., et al. (Order)
|
IC-28125 |
Jan. 18, 2008 |
Morgan Stanley Investment Management Inc., et al. (Notice)
|
812-13152 |
IC-28358 |
Aug. 19, 2008 |
Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order)
|
IC-28341 |
Jul. 24, 2008 |
Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Notice)
|
812-13077 |
IC-28442 |
Oct. 20, 2008 |
Boulder Total Return Fund, Inc., et al. (Notice)
|
812-13074 |
IC-28352 |
Aug. 5, 2008 |
ING Clarion Real Estate Income Fund, et al. (Order)
|
IC-28329 |
Jul. 8, 2008 |
ING Clarion Real Estate Income Fund, et al. (Notice)
|
812-13063 |
IC-28483 |
Nov. 4, 2008 |
Calamos Convertible Opportunities and Income Fund, et al. (Order)
|
IC-28435 |
Oct. 7, 2008 |
Calamos Convertible Opportunities and Income Fund, et al. (Notice)
|
811-4193 |
IC-28203 |
Mar. 26, 2008 |
RSI Retirement Trust (Order)
|
IC-28184 |
Mar. 5, 2008 |
RSI Retirement Trust (Notice)
|
http://www.sec.gov/rules/icreleases.shtml
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