12(d)(3) - Other |
Investment Company |
File No. |
Notice |
Order |
Ares Capital Corporation, et al. |
812-13847 |
29977 (03/09/2012) |
30024 (03/29/2012) |
Kohlberg Capital Corporation |
812-13882 |
29975 (03/05/2012) |
30011 (03/27/2012) |
American Capital, Ltd., et al. |
812-13493 |
29973 (03/01/2012) |
30010 (03/27/2012) |
Cantilever Capital, LLC and Cantilever Group, LLC |
812-13781 |
29896 (12/29/2011) |
29925 (01/24/2012) |
Millenium India Acquisition |
812-13464 |
28083 (12/21/2007) |
28121 (01/16/2008) |
Affiliated Sales & Purchases - Adviser |
Investment Company |
File No. |
Notice |
Order |
Cash Account Trust, et al. |
812-13933 |
30188 (08/31/2012) |
30215 (09/25/2012) |
BofA Funds Series Trust, et al. |
812-13916 |
29741 (08/01/2011) |
29769 (08/24/2011) |
HighMark Capital Management, Inc., et al. |
812-13736 |
29660 (04/26/2011) |
29675 (05/24/2011) |
Morgan Stanley Investment Management Inc., et al. |
812-13656 |
28941 (10/06/2009) |
28986 (10/29/2009) |
Bank of America Fund Trust, et al. (fka Nations Fund Trust) |
812-12903 |
28526 (12/01/2008) |
28573 (12/29/2008) |
Morgan Stanley Investment Management, et al. |
812-13213 |
28125 (01/18/2008) |
28150 (02/13/2008) |
Lehman Brothers Asset Management LLC |
812-12973 |
27920 (08/01/2007) |
27957 (08/28/2007) |
The Gabelli Equity Trust Inc., et al. |
812-13373 |
27808 (04/30/2007) |
27823 (05/22/2007) |
Affiliated Sales & Purchases - In-Kind |
Investment Company |
File No. |
Notice |
Order |
Pruco Life Insurance Company, et al. |
812-13990 |
30186 (08/29/2012) |
30209 (09/20/2012) |
The Singapore Fund, Inc. |
812-13944 |
29817 (09/22/2011) |
29880 (12/08/2011) |
The Chile Fund, Inc. |
812-13749 |
29169 (03/08/2010) |
29194 (03/30/2010) |
The Mexico Equity and Income Fund, Inc. |
812-13294 |
27592 (12/07/2006) |
27654 (01/03/2007) |
Affiliated Sales & Purchases - Other |
Investment Company |
File No. |
Notice |
Order |
Praxis Mutual Funds, et al. |
812-13627 |
30042 (04/23/2012) |
30066 (05/21/2012) |
Business Development Companies - Capital Structure |
Investment Company |
File No. |
Notice |
Order |
Saratoga Investment Corp., et al. |
812-14022 |
30145 (07/23/2012) |
30171 (08/20/2012) |
Fidus Investment Corporation, et al. |
812-13879 |
29974 (03/01/2012) |
30012 (03/27/2012) |
Rand Capital Corporation, et al. |
812-13634 |
29941 (02/01/2012) |
29972 (02/28/2012) |
Horizon Technology Finance Corp. |
812-13876 |
29777 (08/31/2011) |
29821 (09/27/2011) |
Golub Capital BDC, Inc. |
812-13794 |
29756 (08/16/2011) |
29786 (09/13/2011) |
PennantPark Investment Corporation, et al. |
812-13772 |
29665 (05/06/2011) |
29686 (06/01/2011) |
Fifth Street Finance Corp., et al. |
812-13698 |
29500 (11/18/2010) |
29526 (12/14/2010) |
Triangle Capital Corporation, et al. |
812-13771 |
29453 (09/30/2010) |
29482 (10/22/2010) |
MGC Capital Corporation, et al. |
812-13428 |
28427 (09/30/2008) |
28474 (10/28/2008) |
Triangle Capital Corporation, et al. |
812-13355 |
28383 (09/19/2008) |
28437 (10/14/2008) |
Main Street Capital Corp. |
812-13411 |
28082 (12/21/2007) |
28120 (01/16/2008) |
Hercules Technology Growth Capital, Inc., et al. |
812-13238 |
27748 (03/07/2007) |
27776 (04/05/2007) |
Business Development Companies - Compensation |
Investment Company |
File No. |
Notice |
Order |
Medallion Financial Corp. |
812-13666 |
30121 (06/21/2012) |
30139 (07/17/2012) |
Harris & Harris Group, Inc. |
812-13313 |
29976 (03/07/2012) |
30027 (04/03/2012) |
American Capital, Ltd. |
812-13853 |
29744 (08/29/2011) |
29774 (08/30/2011) |
Capital Southwest Corporation |
812-13769 |
29450 (09/29/2010) |
29491 (10/26/2010) |
American Capital, Ltd. |
812-13714 |
29416 (09/14/2010) |
29460 (10/08/2010) |
Kohlberg Capital Corp |
812-13623 |
29376 (08/03/2010) |
29407 (08/31/2010) |
Hercules Technology Group |
812-13716 |
29287 (05/26/2010) |
29303 (06/22/2010) |
Medallion Financial Corp. |
812-13667 |
29201 (04/01/2010) |
29258 (04/26/2010) |
MCG Capital Corp. |
812-13694 |
29191 (03/25/2010) |
29210 (04/20/2010) |
American Capital, Ltd. |
812-13535 |
28895 (09/03/2009) |
28935 (09/30/2009) |
Main Street Capital Corporation, et al. |
812-13649 |
28726 (05/19/2009) |
28768 (06/16/2009) |
Triangle Capital Corp. |
812-13647 |
28692 (04/13/2009) |
28718 (05/05/2009) |
Kohlberg Capital Corporation |
812-13368 |
28228 (03/28/2008) |
28239 (03/23/2008) |
Patriot Capital Funding, Inc. |
812-13348 |
28176 (02/28/2008) |
28200 (03/25/2008) |
Kohlberg Capital Corporation |
812-13367 |
28165 (02/20/2008) |
28196 (03/18/2008) |
Triangle Capital Corporation |
812-13447 |
28165 (02/20/2008) |
28169 (03/18/2008) |
Main Street Capital Corp. |
812-13411 |
28082 (12/21/2007) |
28120 (01/16/2008) |
American Capital Strategies |
812-13398 |
28001 (09/27/2007) |
28020 (10/24/2007) |
Hercules Technology Growth Capital, Inc. |
812-13388 |
27968 (08/28/2007) |
28011 (10/10/2007) |
Medallion Financial Corp. |
812-13290 |
27917 (07/30/2007) |
27955 (08/28/2007) |
Hercules Technology Growth Capital, Inc. |
812-13312 |
27815 (05/02/2007) |
27838 (05/23/2007) |
American Capital Strategies, Ltd. |
812-13308 |
27669 (01/19/2007) |
27702 (02/16/2007) |
Hercules Technology Growth Capital, Inc. |
812-13201 |
27668 (01/09/2007) |
27699 (02/15/2007) |
Co-Investment |
Investment Company |
File No. |
Notice |
Order |
Gladstone Capital Corporation, et al. |
812-13878 |
30125 (06/29/2012) |
30154 (07/26/2012) |
Fidus Investment Corporation, et al. |
812-13879 |
29974 (03/01/2012) |
30012 (03/27/2012) |
Medley Capital Corporation, et al. |
812-13787 |
29968 (02/27/2012) |
30009 (03/26/2012) |
NGP Capital Resources Company, et al. |
812-13695 |
29831 (10/07/2011) |
29860 (11/10/2011) |
Ridgewood Capital Energy Growth, LLC, et al. |
812-13569 |
28931 (09/25/2009) |
28982 (10/21/2009) |
H&Q Healthcare Investors, et al. |
812-13392 |
28426 (09/30/2008) |
28472 (10/28/2008) |
Main Street Capital Corporation, et al. |
812-13438 |
28265 (05/08/2008) |
28295 (06/03/2008) |
Distributions |
Investment Company |
File No. |
Notice |
Order |
Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC |
812-13998 |
30195 (09/05/2012) |
|
Invesco Total Property Market Income Fund, et al. |
812-13927 |
30055 (04/26/2012) |
30069 (05/22/2012) |
Stone Harbor Investment Partners LP |
812-13867 |
29791 (09/16/2011) |
29834 (10/12/2011) |
Tortoise Power & Energy Infrastructure Fund Inc. |
812-13862 |
29755 (08/16/2011) |
29785 (09/12/2011) |
ING Asia Pacific High |
812-13909 |
29735 (07/21/2011) |
29754 (08/16/2011) |
Tri-Continental Corporation, et al. |
812-13465 |
29415 (09/10/2010) |
29457 (10/05/2010) |
Federated Enhanced Treasury Income Fund, et al. |
812-13743 |
29341 (07/14/2010) |
29379 (08/10/2010) |
Lazard Global Total Return and Income Fund |
812-13218 |
29331 (06/24/2010) |
29344 (07/21/2010) |
RMR Real Estate Fund |
812-13058 |
29178 (03/23/2010) |
29213 (04/20/2010) |
The Chile Fund, Inc. |
812-13676 |
29167 (03/02/2010) |
29195 (03/30/2010) |
First Trust/Aberdeen Global Opportunity Income Fund, et al. |
812-13161 |
29163 (02/26/2010) |
29189 (03/24/2010) |
MFS Government Markets Income Trust, et al. |
812-13482 |
28987 (10/29/2009) |
29063 (11/24/2009) |
Pioneer Diversified High Income Trust, et al. |
812-13432 |
28947 (10/16/2009) |
28995 (11/10/2009) |
Neuberger Berman Management LLC, et al. |
812-13086 |
28945 (10/14/2009) |
28994 (11/10/2009) |
Evergreen Income Advantage Fund, et al., |
812-13030 |
28938 (09/30/2009) |
28985 (10/27/2009) |
Alpine Global Dynamic Dividend Fund, et al. |
812-13630 |
28897 (09/04/2009) |
28937 (09/30/2009) |
Clough Global Allocation Fund, et al. |
812-13105 |
28850 (08/24/2009) |
28904 (09/21/2009) |
Reaves Utility Income Fund, et al. |
812-13200 |
28818 (07/14/2009) |
28843 (08/11/2009) |
The Blackrock Investment Quality Municipal Trust Inc. |
812-13235 |
28690 (04/07/2009) |
28719 (05/05/2009) |
Eaton Vance Enhanced Equity Income Fund, et al. |
812-13586 |
28616 (02/10/2009) |
28643 (03/10/2009) |
MacQuarie Global Infrastructure Total, et al. |
812-13397 |
28579 (01/06/2009) |
28611 (02/03/2009) |
SunAmerica Focused Alpha Growth Fund, Inc., et al. |
812-13239 |
28578 (01/06/2009) |
28612 (02/03/2009) |
Boulder Total Return Fund, Inc., et al. |
812-13077 |
28442 (10/20/2008) |
28486 (11/17/2008) |
The Zweig Total Return Fund, Inc., et al. |
812-13497 |
28441 (10/20/2008) |
28485 (11/17/2008) |
Calamos Convertible Opportunities and Income Fund, et al. |
812-13063 |
28435 (10/07/2008) |
28483 (11/04/2008) |
John Hancock Income Securities Trust |
812-13357 |
28372 (08/29/2008) |
28389 (09/24/2008) |
PIMCO Municipal Income Fund, et al. |
812-13381 |
28370 (08/29/2008) |
28412 (09/26/2008) |
DNP Select Income Fund Inc., et al. |
812-13377 |
28348 (07/31/2008) |
28368 (08/26/2008) |
Cohen & Steers Advantage Income Realty Fund, Inc |
812-13152 |
28341 (07/24/2008) |
28358 (08/19/2008) |
The Mexico Fund, Inc., et al. |
812-13454 |
28332 (07/17/2008) |
28357 (08/12/2008) |
ING Clarion Real Estate Income Fund |
812-13074 |
28329 (07/08/2008) |
28352 (08/05/2008) |
Employees Securities Company |
Investment Company |
File No. |
Notice |
Order |
Alvarez & Marsal, Inc., et al. |
813-379 |
30183 (08/28/2012) |
30214 (09/25/2012) |
P.E. Partners III, LLC, et al. |
813-248 |
30143 (07/20/2012) |
30170 (08/16/2012) |
SK Private Investment Fund 1998 LLC, et al. |
813-194 |
30060 (05/04/2012) |
30091 (05/31/2012) |
Jefferies Employees Special Opportunities Partners, LLC, et al. |
813-228 |
30007 (03/23/2012) |
30037 (04/18/2012) |
Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC |
813-377 |
29851 (10/27/2011) |
29869 (11/22/2011) |
Capital International, Inc., et al. |
813-353 |
29577 (02/10/2011) |
29596 (03/08/2011) |
Riverside Casualty, Inc. |
813-361 |
29576 (02/08/2011) |
29597 (03/08/2011) |
RIEF RMP LLC and Renaissance Technologies LLC |
813-358 |
29446 (09/28/2010) |
29489 (10/26/2010) |
Elfun Trusts, et al. |
813-373 |
29441 (09/27/2010) |
29485 (10/25/2010) |
Tudor Employee Investment Fund LLC and Tudor Investment Corporation |
813-359 |
29409 (09/03/2010) |
29449 (09/29/2010) |
The Blackstone Group, L.P. |
813-375 |
29378 (08/05/2010) |
29406 (08/31/2010) |
William Blair & Company, L.L.C. |
813-274 |
28700 (04/22/2009) |
28727 (05/20/2009) |
TWB Investment Partnership L.P. |
813-332 |
28528 (12/09/2008) |
28576 (01/06/2009) |
Wortham Finance L.P. |
813-365 |
28484 (11/10/2008) |
28529 (12/09/2008) |
HLHZ Investments LLC |
813-355 |
28428 (09/30/2008) |
28473 (10/28/2008) |
Distributions |
813-369 |
28286 (05/23/2008) |
28301 (06/18/2008) |
Bessemer Group, Inc., et al. |
813-362 |
28258 (04/29/2008) |
28289 (05/28/2008) |
Kiewit Investment Fund |
813-367 |
28047 (11/05/2007) |
28076 (12/11/2007) |
Tower 21st Century Fund |
813-350 |
28046 (11/08/2007) |
28072 (12/04/2007) |
Raymond James Employee |
813-326 |
28012 (10/11/2007) |
28043 (11/06/2007) |
Stephens, Inc. |
813-306 |
27843 (05/29/2007) |
27875 (06/26/2007) |
Silas Partners I, LLC, et al. |
813-264 |
27770 (03/27/2007) |
27782 (04/24/2007) |
SA Investment Partnership LLC, et al. |
813-284 |
27747 (03/05/2007) |
27774 (04/02/2007) |
Opal Private Equity Fund, LP and Schottenstein, Zox & Dunn Co., L.P.A. |
813-356 |
27612 (12/27/2006) |
27675 (01/23/2007) |
Exchange Traded Funds - Active |
Investment Company |
File No. |
Notice |
Order |
IndexIQ Advisors LLC, et al. |
812-13956 |
30166 (08/13/2012) |
30198 (09/10/2012) |
Arrow Investment Advisers, LLC, et al. |
812-13937 |
30100 (06/07/2012) |
30127 (07/03/2012) |
Federated Investment Management Company and Federated ETF Trust |
812-13946 |
30093 (06/01/2012) |
30123 (06/26/2012) |
Northern Trust Investments, Inc., et al. |
812-13868 |
30045 (04/24/2012) |
30068 (05/22/2012) |
Huntington Asset Advisors, Inc., et al. |
812-13785 |
30032 (04/10/2012) |
30061 (05/08/2012) |
First Trust Exchange-Traded Fund, et al. |
812-13795 |
29983 (03/15/2012) |
30029 (04/10/2012) |
RiverPark Advisors, LLC, et al. |
812-13755 |
29840 (10/19/2011) |
29863 (11/17/2011) |
Russell Exchange Traded Funds Trust, et al. |
812-13815 |
29706 (06/22/2011) |
29727 (07/19/2011) |
Eaton Vance Management, et al. |
812-13759 |
29591 (03/01/2011) |
29620 (03/30/2011) |
iShares Trust, et al. |
812-13601 |
29543 (12/27/2010) |
29571 (01/24/2011) |
SSgA Funds Management, Inc., et al. |
812-13487 |
29499 (11/17/2010) |
29524 (12/13/2010) |
Van Eck Associates Corporation, et al. |
812-13605 |
29459 (10/07/2010) |
29496 (11/03/2010) |
AdvisorShares Investment |
812-13677 |
29264 (05/06/2010) |
29291 (05/28/2010) |
Claymore Exchange-Traded Fund Trust 3 |
812-13534 |
29256 (04/23/2010) |
29271 (05/18/2010) |
U.S. One, Inc. |
812-13658 |
29128 (02/02/2010) |
29164 (03/01/2010) |
Pacific Investment Management Company LLC and PIMCO ETF Trust |
812-13571 |
28948 (10/20/2009) |
28993 (11/10/2009) |
Grail Partners LLC, et al. |
812-13440 |
28571 (12/23/2008) |
28604 (01/16/2009) |
AdvisorShares Investments, LLC and AdvisorShares Trust |
812-13488 |
28568 (12/23/2008) |
28822 (07/20/2009) |
First Trust Exchange-Traded Fund III, et al. |
812-13477 |
28421 (09/29/2008) |
28468 (10/27/2008) |
WisdomTree Investments, Inc., et al. |
812-13458 |
28419 (09/28/2008) |
28471 (10/27/2008) |
PowerShares Capital Management LLC |
812-13491 |
28411 (09/29/2008) |
28467 (10/27/2008) |
WisdomTree Trust, et al. |
812-13470 |
28147 (02/06/2008) |
28174 (02/27/2008) |
Barclays Global Fund Advisors, et al. |
812-13485 |
28146 (02/06/2008) |
28173 (02/27/2008) |
Bear Stearns Asset Management, Inc., et al. |
812-13352 |
28143 (02/06/2008) |
28172 (02/27/2008) |
PowerShares Capital Management LLC, et al. |
812-13386 |
28140 (02/01/2008) |
28171 (02/27/2008) |
Exchange Traded Funds - Index |
Investment Company |
File No. |
Notice |
Order |
Northern Trust Investments, Inc., et al. |
812-13968 |
30211 (09/24/2012) |
|
Factor Advisors, LLC, et al. |
812-13934 |
30204 (09/17/2012) |
|
Emerging Global Advisors, LLC, et al. |
812-13954 |
30184 (08/28/2012) |
30212 (09/25/2012) |
Precidian ETFs Trust, et al. |
812-13981 |
30101 (06/08/2012) |
30129 (07/05/2012) |
Highland Capital Management, L.P., et al. |
812-13478 |
29890 (12/19/2011) |
29918 (01/17/2012) |
Global X Funds, et al. |
812-13830 |
29829 (09/30/2011) |
29852 (10/28/2011) |
NT ETF Trust |
812-13773 |
29752 (08/10/2011) |
29782 (09/06/2011) |
FQF Trust |
812-13741 |
29720 (07/11/2011) |
29747 (08/05/2011) |
Precidian ETFs Trust, et al. |
812-13818 |
29692 (06/09/2011) |
29712 (07/01/2011) |
Russell Investment Management Company, et al. |
812-13669 |
29655 (04/20/2011) |
29671 (05/16/2011) |
ETSpreads, LLC, et al. |
812-13774 |
29501 (11/18/2010) |
29525 (12/14/2010) |
Claymore Exchange-Traded Fund Trust, et al. |
812-13657 |
29458 (10/07/2010) |
29494 (11/02/2010) |
Van Eck Associates Corporation, et al. |
812-13624 |
29455 (10/01/2010) |
29490 (10/26/2010) |
Pax World Funds Trust II |
812-13702 |
29257 (04/26/2010) |
29268 (05/17/2010) |
ShariahShares Exchange-Traded Fund Trust, et al. |
812-13559 |
29127 (01/29/2010) |
29130 (02/22/2010) |
FaithShares Trust, et al. |
812-13638 |
28991 (11/05/2009) |
29065 (12/01/2009) |
Charles Schwab Investment Management, Inc., et al. |
812-13628 |
28933 (09/28/2009) |
28983 (10/23/2009) |
Arrow Investment Advisers, LLC, and Arrow Funds Trust |
812-13405 |
28852 (08/25/2009) |
28910 (09/22/2009) |
OOK, Inc., et al. |
812-13504 |
28851 (08/25/2009) |
28902 (09/17/2009) |
Old Mutual Global Shares Trust, et al. |
812-13614 |
28847 (08/13/2009) |
28898 (09/09/2009) |
Pax World Funds Trust II, et al. |
812-13503 |
28834 (07/22/2009) |
28846 (08/13/2009) |
X Exchange-Traded Funds, Inc., et al. |
812-13449 |
28766 (06/11/2009) |
28814 (07/07/2009) |
WisdomTree Investments, Inc., et al. |
812-13650 |
28755 (06/01/2009) |
28805 (06/29/2009) |
Pacific Investment Management Company LLC |
812-13555 |
28723 (05/11/2009) |
28752 (06/01/2009) |
INDEXIQ ETF Trust |
812-13441 |
28638 (02/27/2009) |
28653 (03/20/2009) |
Global X Funds, et al. |
812-13517 |
28378 (09/10/2008) |
28443 (10/03/2008) |
Javelin Exchange-Traded Trust |
812-13425 |
28350 (07/31/2008) |
28367 (08/26/2008) |
Van Eck Associates Corporation, et al. |
812-13507 |
28349 (07/31/2008) |
28365 (08/25/2008) |
ALPS Advisers, Inc., et al., |
812-13430 |
28235 (04/09/2008) |
28262 (05/02/2008) |
NETS Trust, et al. |
812-13444 |
28166 (02/25/2008) |
28195 (03/17/2008) |
The TIGERS Revenue Trust and VTL Associates LLC |
812-13363 |
28123 (01/18/2008) |
28151 (02/13/2008) |
FocusShares f/n/a MyShares |
812-13376 |
28040 (10/31/2007) |
28066 (11/27/2007) |
Van Eck Associates Corp. |
812-13426 |
28007 (09/28/2007) |
28021 (10/24/2007) |
Claymore Exchange-Traded Fund |
812-13396 |
27982 (09/26/2007) |
28019 (10/23/2007) |
Wisdom Tree Investments, Inc., et al. |
812-13417 |
27976 (09/21/2007) |
28015 (10/17/2007) |
SPA ETF Trust, et al. |
812-13372 |
27963 (08/31/2007) |
27983 (09/26/2007) |
Rydex ETF Trust, et al. |
812-13387 |
27958 (08/28/2007) |
27981 (09/25/2007) |
HealthShares, Inc. |
812-13558 |
27916 (07/27/2007) |
27930 (08/20/2007) |
HealthShares, Inc., et al. |
812-13358 |
27916 (07/27/2007) |
27930 (08/20/2007) |
Ameristock ETF Trust |
812-13332 |
27847 (05/30/2007) |
27874 (06/26/2007) |
PowerShares Exchange-Traded Fund Trust |
812-13335 |
27811 (04/30/2007) |
27841 (05/25/2007) |
Ssga Funds Management, Inc. |
812-13356 |
27809 (04/30/2007) |
27839 (05/25/2007) |
First Trust Exchange-Traded Fund, et al. |
812-13262 |
27772 (03/30/2007) |
27784 (04/25/2007) |
Vanguard Bond Index Funds, et al. |
812-13336 |
27750 (03/09/2007) |
27773 (04/02/2007) |
BLDRS Index Funds Trust, et al. |
812-13344 |
27745 (02/28/2007) |
27768 (03/21/2007) |
NASDAQ-100 Trust, Series 1, et al. |
812-13345 |
27740 (02/27/2007) |
27753 (03/20/2007) |
Van Eck Associates Corporation, et al. |
812-13339 |
27694 (01/31/2007) |
27742 (02/27/2007) |
PowerShares Exchange-Traded Fund Trust, et al. |
812-13343 |
27693 (01/31/2007) |
27743 (02/27/2007) |
Ziegler Exchange Traded Trust, et al. |
812-13224 |
27610 (12/22/2006) |
27664 (01/18/2007) |
Barclays Global Fund Advisors, et al. |
812-13208 |
27608 (12/21/2006) |
27661 (01/17/2007) |
Exchange Traded Funds - Leveraged |
Investment Company |
File No. |
Notice |
Order |
Rafferty Asset Management, LLC, et al. |
812-13610 |
28889 (08/27/2009) |
28905 (09/22/2009) |
ProShares Trust, et al. |
812-13400 |
28696 (04/14/2009) |
28724 (05/12/2009) |
Rafferty Asset Management, LLC, et al. |
812-13483 |
28379 (09/12/2008) |
28434 (10/06/2008) |
Rydex ETF Trust, et al. |
812-13390 |
28000 (09/27/2007) |
28018 (10/23/2007) |
ProShares Trust, et al. |
812-13382 |
27975 (09/21/2007) |
28014 (10/17/2007) |
Rydex ETF Trust, et al. |
812-13337 |
27703 (02/20/2007) |
27754 (03/20/2007) |
ProShares Trust, et al. |
812-13329 |
27609 (12/22/2006) |
27666 (01/18/2007) |
Finance Subsidiaries |
Investment Company |
File No. |
Notice |
Order |
Metlife, Inc., et al. |
812-13549 |
29101 (12/30/2009) |
29124 (01/26/2010) |
Fund of Funds - Direct Investment |
Investment Company |
File No. |
Notice |
Order |
The Hartford Mutual Funds, Inc., et al. |
812-14024 |
30164 (08/08/2012) |
30194 (09/05/2012) |
Forward Funds, et al. |
812-13996 |
29982 (03/15/2012) |
30031 (04/10/2012) |
Capital Research and Management Company, et al. |
812-14007 |
29981 (03/01/2012) |
30033 (03/23/2012) |
Columbia Funds Master Investment Trust, LLC, et al. |
812-13955 |
29980 (03/13/2012) |
30030 (04/10/2012) |
DoubleLine Capital LP and DoubleLine Funds Trust |
812-13983 |
29943 (02/02/2012) |
29971 (02/28/2012) |
Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC |
812-13982 |
29939 (01/30/2012) |
29967 (02/27/2012) |
American Century Strategic Asset Allocations, Inc., et al. |
812-13930 |
29883 (12/13/2011) |
29916 (01/10/2012) |
Seasons Series Trust, et al. |
812-13952 |
29879 (12/08/2011) |
29914 (01/04/2012) |
AllianceBernstein Cap Fund, Inc., et al. |
812-13939 |
29876 (11/29/2011) |
29892 (12/21/2011) |
SEI Investments Management Corporation, et al. |
812-13929 |
29866 (11/18/2011) |
29884 (12/14/2011) |
DFA Investment Dimensions Group, Inc., et al. |
812-13943 |
29820 (09/22/2011) |
29838 (10/18/2011) |
Highland Capital Management, L.P. |
812-13890 |
29790 (09/15/2011) |
29832 (10/12/2011) |
Legg Mason Partners Equity Trust, et al. |
812-13892 |
29789 (09/15/2011) |
29835 (10/12/2011) |
Stone Harbor Investment |
812-13931 |
29784 (09/07/2011) |
29830 (10/04/2011) |
HighMark Funds, et al. |
812-13843 |
29694 (06/16/2011) |
29721 (07/12/2011) |
Russell Investment Company, et al. |
812-13870 |
29623 (04/06/2011) |
29664 (05/03/2011) |
Nuveen Asset Management, et al. |
812-13839 |
29522 (12/08/2010) |
29546 (12/30/2010) |
Northern Lights Fund Trust, et al. |
812-13786 |
29452 (09/30/2010) |
29487 (10/26/2010) |
FFCM, LLC and FQF Trust |
812-13748 |
29292 (06/02/2010) |
29335 (06/29/2010) |
Kinetics Mutual Funds, Inc., et al. |
812-13745 |
29270 (05/17/2010) |
29297 (06/14/2010) |
Calvert Social Investment |
812-13718 |
29209 (04/19/2010) |
29268 (05/17/2010) |
Pioneer Bond Fund |
812-13727 |
29198 (03/31/2010) |
29259 (04/27/2010) |
Rydex Series Funds |
812-13685 |
29179 (03/23/2010) |
29212 (04/20/2010) |
Columbia Funds Series Trust, et al. |
812-13631 |
28896 (09/04/2009) |
28936 (09/20/2009) |
WisdomTree Asset Management, Inc. and WisdomTree Trust |
812-13642 |
28804 (06/29/2009) |
28836 (07/24/2009) |
PowerShares Exchange-Traded Fund Trust, et al. |
812-13604 |
28760 (06/08/2009) |
28813 (07/07/2009) |
First American Strategy Funds, Inc. |
812-13602 |
28683 (03/31/2009) |
28715 (04/28/2009) |
ING Investments, LLC |
812-13538 |
28650 (03/17/2009) |
28693 (04/14/2009) |
Wells Fargo Funds Trust, et al. |
812-13548 |
28482 (10/31/2008) |
28524 (11/26/2008) |
Aberdeen Asset Management |
812-13531 |
28407 (09/25/2008) |
28443 (10/21/2008) |
Delaware Management Business Trust, et al. |
812-13521 |
28405 (09/24/2008) |
28445 (10/20/2008) |
Morgan Stanley Series Funds, et al. |
812-13529 |
28388 (09/23/2008) |
28444 (10/21/2008) |
Fidelity Aberdeen Street Trust, et al. |
812-13505 |
28376 (09/05/2008) |
28425 (09/30/2008) |
Advanced Series Trust, et al. |
812-13537 |
28355 (08/08/2008) |
28374 (09/03/2008) |
PIMCO Funds, et al. |
812-13513 |
28331 (07/17/2008) |
28356 (08/12/2008) |
Thrivent Mutual Funds, et al., |
812-13508 |
28252 (04/28/2008) |
28267 (05/20/2008) |
Franklin California Tax-Free Income Fund, et al. |
812-13500 |
28229 (03/31/2008) |
28257 (04/24/2008) |
J.P. Morgan Trust I, et al. |
812-13418 |
28183 (03/04/2008) |
28230 (04/01/2008) |
Eaton Vance Mutual Fund, et al. |
812-13481 |
28170 (02/26/2008) |
28202 (03/25/2008) |
Schroder Series Trust, et al. |
812-13457 |
28133 (01/24/2008) |
28167 (02/25/2008) |
Schroder Series Trust, et al. |
812-13467 |
28133 (01/24/2008) |
28167 (02/25/2008) |
Vanguard STAR Funds |
812-13412 |
28009 (09/28/2007) |
28024 (10/24/2007) |
DWS Advisor Funds, et al. |
812-13383 |
27919 (07/31/2007) |
27954 (08/27/2007) |
Fund of Funds - Multi-Group |
Investment Company |
File No. |
Notice |
Order |
Financial Investors Trust, et al. |
812-13985 |
30205 (09/18/2012) |
|
Wells Fargo Funds Trust, et al. |
812-13967 |
30201 (09/12/2012) |
|
Prudential Investment Portfolios 3, et al. |
812-13993 |
30200 (09/11/2012) |
|
Credit Suisse Asset Management, LLC, et al. |
812-13966 |
30144 (07/20/2012) |
30169 (08/15/2012) |
The Dreyfus Corporation, et al. |
812-13906 |
30137 (07/12/2012) |
30163 (08/07/2012) |
AQR Capital Management, LLC, et al. |
812-13833 |
30128 (07/03/2012) |
30153 (07/26/2012) |
Federated Investment Management Company and Federated ETF Trust |
812-13946 |
30093 (06/01/2012) |
30123 (06/26/2012) |
Hennion & Walsh, Inc. and Smart Trust |
812-14001 |
30092 (06/04/2012) |
30122 (06/26/2012) |
Van Eck VIP Trust, et al. |
812-13846 |
30063 (05/10/2012) |
30096 (06/05/2012) |
GPS Funds I, et al. |
812-13986 |
30044 (04/24/2012) |
30067 (05/22/2012) |
Huntington Asset Advisors, Inc., et al. |
812-13785 |
30032 (04/10/2012) |
30061 (05/08/2012) |
Pacific Life Insurance Company, et al. |
812-13962 |
29944 (02/13/2012) |
29979 (03/12/2012) |
Henderson Global Funds, et al. |
812-13950 |
29942 (02/01/2012) |
29970 (02/28/2012) |
Highland Capital Management, L.P., et al. |
812-13478 |
29890 (12/19/2011) |
29918 (01/17/2012) |
RiverPark Advisors, LLC, et al. |
812-13755 |
29840 (10/19/2011) |
29863 (11/17/2011) |
Global X Funds, et al. |
812-13830 |
29829 (09/30/2011) |
29852 (10/28/2011) |
Incapital LLC, et al. |
812-13922 |
29828 (09/30/2011) |
29850 (10/26/2011) |
Destracom Investments LLC |
812-13575 |
29825 (09/29/2011) |
29842 (10/25/2011) |
Fifth Third Funds and Fifth |
812-13893 |
29819 (09/22/2011) |
29839 (10/18/2011) |
NT ETF Trust |
812-13773 |
29752 (08/10/2011) |
29782 (09/06/2011) |
FQF Trust |
812-13741 |
29720 (07/11/2011) |
29747 (08/05/2011) |
Russell Exchange Traded Funds Trust, et al. |
812-13815 |
29706 (06/22/2011) |
29727 (07/19/2011) |
Precidian ETFs Trust, et al. |
812-13818 |
29692 (06/09/2011) |
29712 (07/01/2011) |
Russell Investment Management Company, et al. |
812-13669 |
29655 (04/20/2011) |
29671 (05/16/2011) |
Eaton Vance Management, et al. |
812-13759 |
29591 (03/01/2011) |
29620 (03/30/2011) |
ETSpreads, LLC, et al. |
812-13774 |
29501 (11/18/2010) |
29525 (12/14/2010) |
SSgA Funds Management, Inc., et al. |
812-13487 |
29499 (11/17/2010) |
29524 (12/13/2010) |
Van Eck Associates Corporation, et al. |
812-13605 |
29459 (10/07/2010) |
29496 (11/03/2010) |
Claymore Exchange-Traded Fund Trust, et al. |
812-13657 |
29458 (10/07/2010) |
29494 (11/02/2010) |
Jackson National Life Insurance Company, et al. |
812-13765 |
29442 (09/27/2010) |
29484 (10/25/2010) |
Transamerica Asset Management, Inc., et al. |
812-13661 |
29410 (09/03/2010) |
29447 (09/28/2010) |
Aston Funds, et al. |
812-13775 |
29400 (08/26/2010) |
29443 (09/27/2010) |
Millington Securities, Inc., et al. |
812-13709 |
29375 (07/30/2010) |
29386 (08/25/2010) |
Virtus Opportunities Trust |
812-13751 |
29370 (07/27/2010) |
29383 (08/23/2010) |
DWS Advisor Funds, et al. |
812-13539 |
29295 (06/09/2010) |
29339 (07/07/2010) |
EQ Advisors Trust, et al. |
812-13706 |
29294 (06/04/2010) |
29336 (06/20/2010) |
AdvisorShares Investment |
812-13677 |
29264 (05/06/2010) |
29291 (05/28/2010) |
Claymore Exchange-Traded Fund Trust 3 |
812-13534 |
29256 (04/23/2010) |
29271 (05/18/2010) |
Legg Mason Partners |
812-13681 |
29192 (03/26/2010) |
29255 (04/21/2010) |
Lincoln Variable Insurance |
812-13660 |
29168 (03/05/2010) |
29196 (03/31/2010) |
iShares Trust, et al. |
812-13570 |
29129 (02/16/2010) |
29172 (03/10/2010) |
ShariahShares Exchange-Traded Fund Trust, et al. |
812-13559 |
29127 (01/29/2010) |
29130 (02/22/2010) |
Madison Asset Management, LLC |
812-13653 |
29068 (12/07/2009) |
29099 (12/29/2009) |
FaithShares Trust, et al. |
812-13638 |
28991 (11/05/2009) |
29065 (12/01/2009) |
Pacific Investment Management Company LLC and PIMCO ETF Trust |
812-13571 |
28948 (10/20/2009) |
28993 (11/10/2009) |
Charles Schwab Investment Management, Inc., et al. |
812-13628 |
28933 (09/28/2009) |
28983 (10/23/2009) |
Arrow Investment Advisers, LLC, and Arrow Funds Trust |
812-13405 |
28852 (08/25/2009) |
28910 (09/22/2009) |
OOK, Inc., et al. |
812-13504 |
28851 (08/25/2009) |
28902 (09/17/2009) |
Old Mutual Global Shares Trust, et al. |
812-13614 |
28847 (08/13/2009) |
28898 (09/09/2009) |
Pax World Funds Trust II, et al. |
812-13503 |
28834 (07/22/2009) |
28846 (08/13/2009) |
WisdomTree Investments, Inc., et al. |
812-13650 |
28755 (06/01/2009) |
28805 (06/29/2009) |
Phoenix Life Insurance Company, et al. |
812-13564 |
28686 (04/03/2009) |
28714 (04/28/2009) |
Massachusetts Financial Services Company, et al. |
812-13519 |
28649 (03/17/2009) |
28694 (04/14/2009) |
INDEXIQ ETF Trust |
812-13441 |
28638 (02/27/2009) |
28653 (03/20/2009) |
DFA Investment Dimensions Group Inc. |
812-13541 |
28637 (02/26/2009) |
28654 (03/24/2009) |
Allstate Financial Investment Trust, et al. |
812-13523 |
28581 (01/12/2009) |
28614 (02/09/2009) |
Aberdeen Asset Management, Inc. |
812-13530 |
28429 (09/30/2008) |
28475 (10/28/2008) |
WisdomTree Investments, Inc. et al. |
812-13458 |
28419 (09/28/2008) |
28471 (10/27/2008) |
Van Kampen Retirement Strategy Trust, et al. |
812-13506 |
28406 (09/25/2008) |
28440 (10/17/2008) |
Javelin Exchange-Traded Trust |
812-13425 |
28350 (07/31/2008) |
28367 (08/26/2008) |
Goldman Sachs Trust, et al. |
812-13456 |
28347 (07/31/2008) |
28366 (08/26/2008) |
The RBB Fund, et al. |
812-13496 |
28260 (04/30/2008) |
28288 (05/28/2008) |
Fidelity Rutland Square Trust, et al. |
812-13476 |
28259 (04/30/2008) |
28287 (05/28/2008) |
MLIG Variable Insurance Trust and Rozel Advisors LLC |
812-13436 |
28139 (01/31/2008) |
28169 (02/26/2008) |
Northern Institutional Funds, et al. |
812-13424 |
28119 (01/06/2008) |
28149 (02/12/2008) |
The UBS Funds, et al. |
812-13453 |
28080 (12/19/2007) |
28122 (01/16/2008) |
Rafferty Asset Management |
812-13416 |
28039 (10/30/2007) |
28067 (11/27/2007) |
Fidelity Rutland Square |
812-13232 |
28008 (09/28/2007) |
28023 (10/24/2007) |
Wisdom Tree Investments, Inc., et al. |
812-13417 |
27976 (09/21/2007) |
28015 (10/17/2007) |
DWS Advisor Funds |
812-13364 |
27919 (07/31/2007) |
27954 (08/27/2007) |
John Hancock Trust |
812-13341 |
27848 (05/30/2007) |
27873 (06/26/2007) |
HealthShares, Inc. |
812-13288 |
27844 (05/29/2007) |
27871 (06/21/2007) |
Van Eck Worldwide Insurance Trust |
812-13304 |
27820 (05/09/2007) |
27849 (06/01/2007) |
First Trust Exchange-Traded Fund, et al. |
812-13340 |
27812 (04/30/2007) |
27845 (05/30/2007) |
The RBB Fund, Inc. and Abundance Technologies, Inc. |
812-13295 |
27749 (03/08/2007) |
27775 (04/03/2007) |
Van Eck Associates Corporation, et al. |
812-13339 |
27694 (01/31/2007) |
27742 (02/27/2007) |
PowerShares Exchange-Traded Fund Trust, et al. |
812-13343 |
27693 (01/31/2007) |
27743 (02/27/2007) |
ProFunds, et al. |
812-13029 |
27599 (12/14/2006) |
27658 (01/09/2007) |
NexBank Securities, Inc. and NexBank Series |
812-13278 |
27602 (12/18/2006) |
27659 (01/16/2007) |
Members Mutual Funds, et al. |
812-13133 |
27598 (12/13/2006) |
27657 (01/09/2007) |
Inadvertent Investment Companies - 3(b)(2) |
Investment Company |
File No. |
Notice |
Order |
Rio Tinto plc and Rio Tinto Limited |
812-13777 |
29889 (12/19/2011) |
29921 (01/17/2012) |
Dolby Laboratories, Inc. |
812-13582 |
29454 (10/01/2010) |
29492 (10/27/2010) |
SeaCo. Ltd. |
812-13753 |
29176 (03/17/2010) |
29206 (04/09/2010) |
RealNetworks, Inc. |
812-13399 |
27877 (06/28/2007) |
27888 (07/24/2007) |
Hill Physicians Medical Group, Inc. |
812-13255 |
27804 (04/26/2007) |
27824 (05/02/2007) |
Inadvertent Investment Companies - 6(c) |
Investment Company |
File No. |
Notice |
Order |
Steel Partners Holdings L.P. |
812-13793 |
30056 (04/27/2012) |
30070 (05/23/2012) |
Beverly Hills Bancorp Inc. |
812-13767 |
30036 (04/18/2012) |
30064 (05/15/2012) |
Korea Finance Corp. |
812-13752 |
29332 (06/25/2010) |
29343 (07/20/2010) |
Hill Physicians Medical Group, Inc. |
812-13255 |
27804 (04/26/2007) |
27824 (05/02/2007) |
Inadvertent Investment Companies - Foreign Banks/Insurance |
Investment Company |
File No. |
Notice |
Order |
Korea Finance Corp. |
812-13752 |
29332 (06/25/2010) |
29343 (07/20/2010) |
Compagnie de Financement Foncier |
812-13573 |
28835 (07/22/2009) |
28848 (08/13/2009) |
Inadvertent Investment Companies - Other |
Investment Company |
File No. |
Notice |
Order |
Sunwest Rollover Member LLC |
812-13778 |
30014 (03/29/2012) |
30046 (04/24/2012) |
Ineligible - Disqualified Firm |
Investment Company |
File No. |
Notice |
Order |
Wells Fargo Bank, N.A., et al. |
812-14074 |
|
30210 (09/21/2012) |
ReconTrust Company, N.A., et al. |
812-14068 |
30174 (08/20/2012) |
30203 (09/17/2012) |
GE Asset Management Incorporated, et al. |
812-13994 |
29926 (01/24/2012) |
29952 (02/22/2012) |
Wells Fargo Bank, N.A., et al. |
812-13987 |
29881 (12/09/2011) |
29914 (01/04/2012) |
BAC Home Loan Servicing, LP |
812-13910 |
29726 (07/18/2011) |
29753 (08/15/2011) |
J.P. Morgan Securities LLC, et al. |
812-13919 |
29719 (07/11/2011) |
29749 (08/05/2011) |
J.P. Morgan Securities LLC, et al. |
812-13914 |
29711 (06/29/2011) |
29737 (07/26/2011) |
UBS AG, et al. |
812-13902 |
29666 (05/09/2011) |
29690 (06/06/2011) |
Citigroup Global Markets Inc., et al. |
812-13808 |
29464 (10/19/2010) |
29498 (11/15/2010) |
GE Asset Management Incorporated, et al. |
812-13807 |
29374 (07/30/2010) |
29385 (08/25/2010) |
Goldman Sachs & Co., et al. |
812-13796 |
29366 (07/21/2010) |
29382 (08/18/2010) |
Assurant, Inc. |
812-13746 |
29125 (01/26/2010) |
29133 (02/23/2010) |
Investools |
812-13728 |
29093 (12/16/2009) |
29110 (01/12/2010) |
GE Asset Management Incorporated and GE Investment Distributors, Inc. |
812-13680 |
28845 (08/11/2009) |
28899 (09/09/2009) |
Banc of America Securities LLC, et al. |
812-13662 |
28764 (06/09/2009) |
28810 (07/07/2009) |
Deutsche Bank Securities Inc., et al. |
812-13664 |
28763 (06/09/2009) |
28811 (07/07/2009) |
RBC Capital Markets Corporation, et al. |
812-13663 |
28762 (06/09/2009) |
28812 (07/07/2009) |
UBS AG |
812-13645 |
28652 (03/19/2009) |
28695 (04/14/2009) |
Citigroup, Inc. |
812-13641 |
28647 (03/12/2009) |
28688 (04/07/2009) |
E*Trade Financial Corporation |
812-13639 |
28645 (03/12/2009) |
28689 (04/07/2009) |
Wachovia Securities, LLC, et al. |
812-13632 |
28618 (02/18/2009) |
28648 (03/17/2009) |
Citigroup Global |
812-13615 |
28572 (12/23/2008) |
28605 (01/16/2009) |
UBS Securities LLC |
812-13609 |
28569 (12/23/2008) |
28606 (01/16/2009) |
Prudential Financial, Inc., et al. |
812-13572 |
28377 (09/05/2008) |
28430 (10/01/2008) |
The BISYS Group, Inc. |
812-13394 |
27978 (09/24/2007) |
28017 (10/22/2007) |
American International Group, Inc. |
812-13259 |
27931 (08/20/2007) |
27970 (09/17/2007) |
Barclays Global Fund Advisors |
812-13391 |
27851 (06/06/2007) |
27882 (07/05/2007) |
Insurance Products - Bonus Recapture |
Investment Company |
File No. |
Notice |
Order |
Jackson National Life Insurance Company, et al. |
812-13841 |
29621 (03/31/2011) |
29658 (04/25/2011) |
Nationwide Life Insurance Company, et al. |
812-13756 |
29337 (07/02/2010) |
29369 (07/27/2010) |
Pruco Life Insurance Company, et al. |
812-13713 |
29302 (06/18/2010) |
29342 (07/15/2010) |
Jackson National Life Insurance Company of New York, et al. |
812-13710 |
29265 (05/10/2010) |
29293 (06/03/2010) |
Jackson National Life Insurance Company, et al. |
812-13703 |
29205 (04/07/2010) |
29262 (04/30/2010) |
Annuity Investors Life, et al. |
812-13612 |
28909 (09/22/2009) |
28948 (10/20/2009) |
Jackson Nat’l Life Ins. Company, et al. |
812-13584 |
28890 (08/27/2009) |
28907 (09/22/2009) |
ING USA Annuity & Life Ins. Co., et al. |
812-13600 |
28646 (03/13/2009) |
28687 (04/03/2009) |
Prudential Annuities Life Assurance Co., et al. |
812-13532 |
28354 (08/08/2008) |
28373 (09/03/2008) |
Minnesota Life Insurance Co., et al. |
812-13457 |
28321 (06/26/2008) |
28334 (07/22/2008) |
CUNA Mutual Insurance Society, et al. |
812-13423 |
28181 (03/04/2008) |
28232 (04/01/2008) |
Pruco Life Insurance Company, et al. |
812-13437 |
28180 (03/04/2008) |
28231 (04/01/2008) |
Prudential Annuities Life Assurance Corp., et al. |
812-13446 |
28179 (03/04/2008) |
28233 (04/01/2008) |
Minnesota Life Insurance Company, et al. |
812-13365 |
27960 (08/30/2007) |
27979 (09/25/2007) |
Jackson National Life Insurance Co., et al. |
812-13320 |
27603 (12/19/2006) |
27660 (01/16/2007) |
Insurance Products - Exchange Offer |
Investment Company |
File No. |
Notice |
Order |
Prudential Retirement Insurance and Annuity Co., et al. |
812-13455 |
28263 (05/07/2008) |
28297 (06/06/2008) |
Hartford Life Insurance Co., et al. |
812-13267 |
27933 (08/22/2007) |
27972 (09/18/2007) |
Insurance Products - Fund Substitution |
Investment Company |
File No. |
Notice |
Order |
Pruco Life Insurance Company, et al. |
812-13990 |
30186 (08/29/2012) |
30209 (09/20/2012) |
New York Life Insurance & Annuity Company, et al. |
812-13903 |
29923 (01/19/2012) |
29947 (02/14/2012) |
TIAA-CREF Life Insurance Company, et al. |
812-13791 |
29709 (06/28/2011) |
29687 (06/01/2011) |
Allianz Life Insurance Company of North America, et al. |
812-13821 |
29693 (06/10/2011) |
29716 (07/06/2011) |
Country Investors Life Assurance Co., et al. |
812-13865 |
29691 (06/09/2011) |
29717 (07/07/2011) |
National Life Insurance Company, et al. |
812-13806 |
29662 (04/29/2011) |
29627 (04/07/2011) |
American Family Life Insurance Company, et al. |
812-13842 |
29617 (03/24/2011) |
29656 (04/21/2011) |
Met Life Insurance Company of CT, et al. |
812-13816 |
29544 (12/28/2010) |
29570 (01/24/2011) |
American Life Insurance Company, et al. |
812-13780 |
29521 (11/30/2010) |
29545 (12/29/2010) |
Nationwide Life Insurance Company, et al. |
812-13648 |
29486 (10/25/2010) |
29505 (11/22/2010) |
AXA Equitable Life Insurance Company, et al. |
812-13686 |
29338 (07/07/2010) |
29372 (07/29/2010) |
MetLife Insurance Company of Connecticut, et al. |
812-13700 |
29190 (03/25/2010) |
29211 (04/20/2010) |
Integrity Life Insurance Company, et al. |
812-13690 |
29171 (03/10/2010) |
29204 (04/07/2010) |
Nationwide Life Ins. Co., et al. |
812-13495 |
28767 (06/12/2009) |
28815 (07/08/2009) |
MetLife Ins. Co. of Connecticut, et al. |
812-13588 |
28678 (03/25/2009) |
28699 (04/20/2009) |
Sun Life Assurance Company of Canada (U.S.), et al. |
812-13402 |
28570 (12/23/2008) |
28607 (01/22/2009) |
Riversource Life Insurance Co., et al. |
812-13492 |
28527 (12/04/2008) |
28575 (12/30/2008) |
Allianz Life Insurance Co. of North America, et al. |
812-13474 |
28480 (10/30/2008) |
28521 (11/25/2008) |
Allianz Life Insurance Co. of North America, et al. |
812-13451 |
28369 (08/28/2008) |
28384 (09/19/2008) |
The Penn Mutual Life Insurance Company, et al. |
812-13401 |
28328 (07/02/2008) |
28342 (07/25/2008) |
ING USA Annuity & Life Insurance Co., et al. |
812-13466 |
28256 (04/28/2008) |
28285 (05/23/2008) |
American Family Life Insurance Co., et al. |
812-13445 |
28197 (03/19/2008) |
28237 (04/16/2008) |
Jefferson National Life Insurance Co., et al. |
812-13452 |
28191 (03/10/2008) |
28234 (04/03/2008) |
MetLife Insurance Co. of Connecticut, et al. |
812-13439 |
28190 (03/10/2008) |
28236 (04/16/2008) |
MetLife Insurance Company of Connecticut, et al. |
812-13380 |
28013 (10/12/2007) |
28044 (11/07/2007) |
MONY Life Insurance Co. of America, et al. |
812-13346 |
27909 (07/24/2007) |
27929 (08/17/2007) |
ING Life Insurance and Annuity Company, et al. |
812-13361 |
27869 (06/20/2007) |
27885 (07/16/2007) |
Lincoln Variable Insurance Products Trust, et al. |
812-13287 |
27821 (05/11/2007) |
27850 (06/04/2007) |
Jefferson National Life Insurance Co., et al. |
812-13342 |
27779 (04/06/2007) |
27813 (04/30/2007) |
MetLife Insurance Co. of Connecticut, et al. |
812-13347 |
27778 (04/06/2007) |
27810 (04/30/2007) |
John Hancock Life Insurance Co., et al. |
812-13318 |
27752 (03/19/2007) |
27781 (04/16/2007) |
Country Investors Life Assurance Co., et al. |
812-13325 |
27695 (02/02/2007) |
27744 (02/28/2007) |
Integrity Life Insurance Co., et al. |
812-13321 |
27677 (01/24/2007) |
27738 (02/23/2007) |
Sun Life Assurance Co. of Canada (U.S.), et al. |
812-13282 |
27651 (12/29/2006) |
27688 (01/25/2007) |
Insurance Products - Substitution Related Affiliated Securities Transactions |
Investment Company |
File No. |
Notice |
Order |
New York Life Insurance & Annuity Company, et al. |
812-13903 |
29923 (01/19/2012) |
29947 (02/14/2012) |
Allianz Life Insurance Company of North America, et al. |
812-13821 |
29693 (06/10/2011) |
29716 (07/06/2011) |
Met Life Insurance Company of CT, et al. |
812-13816 |
29544 (12/28/2010) |
29570 (01/24/2011) |
Nationwide Life Insurance Company, et al. |
812-13648 |
29486 (10/25/2010) |
29505 (11/22/2010) |
AXA Equitable Life Insurance Company, et al. |
812-13686 |
29338 (07/07/2010) |
29372 (07/29/2010) |
MetLife Insurance Company of Connecticut, et al. |
812-13700 |
29190 (03/25/2010) |
29211 (04/20/2010) |
Nationwide Life Ins. Co., et al. |
812-13495 |
28767 (06/12/2009) |
28815 (07/08/2009) |
MetLife Ins. Co. of Connecticut, et al. |
812-13588 |
28678 (03/25/2009) |
28699 (04/20/2009) |
Sun Life Assurance Company of Canada (U.S.), et al. |
812-13402 |
28570 (12/23/2008) |
28607 (01/22/2009) |
Riversource Life Insurance Co., et al. |
812-13492 |
28527 (12/04/2008) |
28575- (12/30/2008) |
Allianz Life Insurance Co. of North America, et al. |
812-13474 |
28480 (10/30/2008) |
28521 (11/25/2008) |
Allianz Life Insurance Co. of North America, et al. |
812-13451 |
28369 (08/28/2008) |
28384 (09/19/2008) |
The Penn Mutual Life Insurance Company, et al. |
812-13401 |
28328 (07/02/2008) |
28342 (07/25/2008) |
Jefferson National Life Insurance Co., et al. |
812-13452 |
28191 (03/10/2008) |
28234 (04/03/2008) |
MetLife Insurance Co. of Connecticut, et al. |
812-13439 |
28190 (03/10/2008) |
28236 (04/16/2008) |
John Hancock Life Insurance Company, et al. |
812-13414 |
28065 (11/26/2007) |
28081 (12/21/2007) |
MetLife Insurance Company of Connecticut, et al. |
812-13380 |
28013 (10/12/2007) |
28044 (11/07/2007) |
MONY Life Insurance Co. of America, et al. |
812-13346 |
27909 (07/24/2007) |
27929 (08/17/2007) |
ING Life Insurance and Annuity Company, et al. |
812-13361 |
27869 (06/20/2007) |
27885 (07/16/2007) |
Lincoln Variable Insurance Products Trust, et al. |
812-13287 |
27821 (05/11/2007) |
27850 (06/04/2007) |
Jefferson National Life Insurance Co., et al. |
812-13342 |
27779 (04/06/2007) |
27813 (04/30/2007) |
MetLife Insurance Co. of Connecticut, et al. |
812-13347 |
27778 (04/06/2007) |
27810 (04/30/2007) |
Sun Life Assurance Co. of Canada (U.S.), et al. |
812-13282 |
27651 (12/29/2006) |
27688 (01/25/2007) |
Insurance Products - Mixed and Shared Funding |
Investment Company |
File No. |
Notice |
Order |
Northern Lights Var. Trust, et al. |
812-13863 |
29729 (07/19/2011) |
29757 (08/16/2011) |
Fairholme VP Series Fund, Inc., et al. |
812-13854 |
29619 (03/28/2011) |
29661 (04/26/2011) |
MML Series Investment Fund, et al. |
812-13611 |
28849 (08/20/2009) |
28901 (09/15/2009) |
Mainstay VP Series Fund, Inc., et al. |
812-13515 |
28619 (02/20/2009) |
28651 (03/18/2009) |
TIAA-CREF Life Funds, et al. |
812-13563 |
28530 (12/10/2008) |
28577 (01/06/2009) |
Financial Investors Variable Insurance Trust, et al. |
812-13359 |
27965 (09/04/2007) |
27999 (09/27/2007) |
Sentinel Variable Products Trust, et al. |
812-13353 |
27921 (08/03/2007) |
27959 (08/29/2007) |
Delaware VI P Trust, et al. |
812-13333 |
27886 (07/16/2007) |
27926 (08/09/2007) |
Principal Variable Contracts Fund, Inc., et al. |
812-13338 |
27852 (06/18/2007) |
27887 (07/17/2007) |
XTF Advisors Trust, et al. |
812-13334 |
27783 (04/25/2007) |
27825 (05/22/2007) |
Wilshire Variable Insurance Trust, et al. |
812-13272 |
27701 (02/16/2007) |
27751 (03/15/2007) |
Interfund Lending |
Investment Company |
File No. |
Notice |
Order |
John Hancock Variable Insurance Trust, et al. |
812-13621 |
29865 (11/18/2011) |
29885 (12/14/2011) |
MFS Series Trust I, et al. |
812-13606 |
29827 (09/30/2011) |
29849 (10/26/2011) |
Principal Funds Inc. |
812-13869 |
29824 (09/29/2011) |
29843 (10/25/2011) |
Northern Funds |
812-13707 |
29368 (07/23/2010) |
29381 (08/18/2010) |
The Alger Funds, et al. |
812-13578 |
28819 (07/16/2009) |
28844 (08/11/2009) |
The Managers Funds, et al. |
812-13551 |
28748 (05/28/2009) |
28770 (06/23/2009) |
Dodge & Cox Funds |
812-13480 |
28409 (09/29/2008) |
28470 (10/27/2008) |
Pioneer Bond Fund, et al. |
812-13427 |
28144 (02/05/2008) |
28182 (03/04/2008) |
Interval Funds |
Investment Company |
File No. |
Notice |
Order |
BlackRock Preferred Partners LLC, et al. |
812-13964 |
30160 (08/02/2012) |
30182 (08/28/2012) |
BTOP50 CTA Index Fund |
812-12984 |
28045 (11/08/2007) |
28074 (12/04/2007) |
Joint Transaction |
Investment Company |
File No. |
Notice |
Order |
Main Street Capital Corporation, et al. |
812-13804 |
29922 (01/17/2012) |
29946 (02/14/2012) |
TIAA-CREF Funds, et al. |
812-13831 |
29707 (06/24/2011) |
29728 (07/19/2011) |
Forward Funds, et al. |
812-13543 |
28640 (03/03/2009) |
28682 (03/30/2009) |
The Franklin, Templeton and Mutual Series Funds, et al. |
812-13499 |
28574 (12/29/2008) |
28608 (01/26/2009) |
MFS Series Trust X, et al. |
812-13234 |
27662 (01/13/2007) |
27698 (02/13/2007) |
Multi-Class |
Investment Company |
File No. |
Notice |
Order |
Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC |
812-14008 |
30103 (06/14/2012) |
30133 (07/10/2012) |
ASGI Agility Income Fund |
812-13866 |
29793 (09/19/2011) |
29837 (10/15/2011) |
Highland Capital Management, L.P., et al. |
812-13221 |
28888 (08/27/2009) |
28908 (09/22/2009) |
Allianz RCM Global EcoTrends Fund |
812-13364 |
27936 (08/23/2007) |
27971 (09/18/2007) |
Multi-Manager - Voting |
Investment Company |
File No. |
Notice |
Order |
LoCorr Fund Management, LLC and LoCorr Investment Trust |
812-13913 |
30168 (08/14/2012) |
30199 (09/11/2012) |
Franklin Advisers, Inc. and Franklin Templeton International Trust |
812-13900 |
30105 (06/18/2012) |
30138 (07/17/2012) |
Hirtle Callaghan & Co., LLC and HC Capital Trust |
812-13859-01 |
30102 (06/11/2012) |
30132 (07/10/2012) |
Preservation Trust Advisors, LLC and Northern Lights Fund Trust |
812-13965 |
29937 (01/26/2012) |
29951 (02/22/2012) |
Genesis Capital, LLC and Northern Lights Fund Trust |
812-13935 |
29867 (11/21/2011) |
29888 (12/19/2011) |
Bandon Capital Management, LLC and Northern Lights Fund Trust |
812-13936 |
29864 (11/17/2011) |
29882 (12/13/2011) |
Curian Series Trust, et al. |
812-13855 |
29794 (09/19/2011) |
29836 (10/17/2011) |
RidgeWorth Funds |
812-13860 |
29743 (08/03/2011) |
29773 (08/30/2011) |
HIGHMARK Funds, et al. |
812-13143 |
29723 (07/12/2011) |
29750 (08/08/2011) |
Altegris Advisors, L.L.C., et al. |
812-13851 |
29689 (06/01/2011) |
29710 (06/28/2011) |
The Integrity Funds, et al. |
812-13763 |
29399 (08/25/2010) |
29418 (09/21/2010) |
WisdomTree Asset Management, Inc. and WisdomTree Trust |
812-13733 |
29380 (08/13/2010) |
29412 (09/08/2010) |
Members Mutual Funds, et al. |
812-13654 |
29062 (11/23/2009) |
29096 (12/22/2009) |
AdvisorOne Funds and CLS Investments, LLC |
812-13643 |
28894 (08/31/2009) |
28932 (09/28/2009) |
Forward Funds, et al. |
812-13533 |
28420 (09/29/2008) |
28469 (10/27/2008) |
Phoenix Equity Trust, et al. |
812-13526 |
28375 (09/03/2008) |
28410 (09/29/2008) |
AARP Funds |
812-13251 |
27918 (07/31/2007) |
27956 (08/28/2007) |
First Investors Equity Funds |
812-13350 |
27826 (05/23/2007) |
27868 (06/20/2007) |
Forward Funds, et al. |
812-13249 |
27777 (04/05/2007) |
27814 (05/01/2007) |
Liberty All-Star Equity Fund, et al. |
812-13327 |
27741 (02/27/2007) |
27769 (03/27/2007) |
Multi-Manager - Voting & Disclosure |
Investment Company |
File No. |
Notice |
Order |
Neuberger Berman Alternative Funds, et al. |
812-13988-01 |
30206 (09/18/2012) |
|
Cash Account Trust, et al. |
812-13512 |
30151 (07/25/2012) |
30172 (08/20/2012) |
Capital Research and Management Company, et al. |
812-13616-09 |
30150 (07/25/2012) |
30173 (08/20/2012) |
IndexIQ Advisors LLC, et al. |
812-13957 |
30130 (07/09/2012) |
30161 (08/03/2012) |
Advisors Series Trust and Orinda Asset Management, LLC |
812-13889 |
30043 (04/23/2012) |
30065 (05/21/2012) |
Domini Social Investment Trust and Domini Social Investments LLC |
812-13971 |
29984 (03/21/2012) |
30035 (04/17/2012) |
Investment Managers Ser |
812-13891 |
29787 (09/13/2011) |
29833 (10/12/2011) |
Pax World Funds Series Trust, et al. |
812-13883 |
29751 (08/10/2011) |
29783 (09/07/2011) |
Sterling Capital Funds, et al. |
812-13834 |
29713 (07/01/2011) |
29738 (07/26/2011) |
Simple Alternatives, LLC, et al. |
812-13801 |
29616 (03/24/2011) |
29629 (04/19/2011) |
Highland Capital Management, L.P. and Highland Funds I |
812-13770 |
29445 (09/27/2010) |
29488 (10/26/2010) |
American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company |
812-13708 |
29444 (09/27/2010) |
29483 (10/25/2010) |
Northern Lights Fund Trust |
812-13651 |
29208 (04/16/2010) |
29267 (05/12/2010) |
Lincoln Variable Insurance |
812-13732 |
29170 (03/09/2010) |
29197 (03/31/2010) |
Cash Account Trust, et al. |
812-13678 |
29094 (12/16/2009) |
29109 (01/12/2010) |
Strategic Funds, Inc., et al. |
812-13712 |
29064 (11/30/2009) |
29097 (12/23/2009) |
Grail Advisors LLC and Grail Advisors ETF Trust |
812-13516 |
28900 (09/14/2009) |
28944 (10/08/2009) |
GE Funds, et al. |
812-13545 |
28808 (07/02/2009) |
28839 (07/28/2009) |
Embarcadero Funds, Inc., et al. |
812-13633 |
28769 (06/22/2009) |
28820 (07/20/2009) |
Trust for Professional Managers, et al. |
812-11351 |
28382 (09/19/2008) |
28439 (10/15/2008) |
Aberdeen Asset Management Inc. |
812-13528 |
28364 (08/25/2008) |
28385 (09/22/2008) |
Advisors Series Trust, et al. |
812-13473 |
28175 (02/27/2008) |
28201 (03/25/2008) |
Unified Series Trust |
812-13450 |
28071 (11/30/2007) |
28117 (12/27/2007) |
JNF Advisors, Inc. |
812-13419 |
28010 (10/02/2007) |
28038 (10/29/2007) |
Trust for Professional Managers, Inc. |
812-13408 |
27964 (08/31/2007) |
27995 (09/26/2007) |
Aston Funds |
812-13375 |
27879 (06/29/2007) |
27910 (07/25/2007) |
First American Investment Funds, Inc. |
812-13268 |
27818 (05/04/2007) |
27846 (05/30/2007) |
Old Westbury Funds, Inc. and Bessemer Investment Management LLC |
812-13286 |
27807 (04/27/2007) |
27837 (05/23/2007) |
New River Funds and New River Advisers LLC |
812-13319 |
27653 (01/03/2007) |
27690 (01/31/2007) |
Forum Funds, et al. |
812-13265 |
27605 (12/20/2006) |
27665 (01/18/2007) |
The MainStay Funds, et al. |
812-13257 |
27595 (12/11/2006) |
27656 (01/08/2007) |
Other |
Investment Company |
File No. |
Notice |
Order |
Harris & Harris Group, Inc. |
812-14029 |
N/A |
30104 (06/15/2012) |
Central Securities Corporation |
812-13857 |
29915 (01/06/2012) |
29940 (02/01/2012) |
Harris & Harris Group, Inc. |
812-13896 |
N/A |
29736 (07/22/2011) |
Harris & Harris Group, Inc. |
812-13768 |
N/A |
29289 (05/28/2010) |
PNC Bank, National Association |
812-13640 |
29066 (12/03/2009) |
29100 (12/29/2009) |
Pioneer Floating Rate Trust and Pioneer High Income Trust |
812-13636 |
28998 (11/20/2009) |
29070 (12/15/2009) |
DNP Select Income Fund Inc., et al. |
812-13617 |
28891 (08/27/2009) |
28906 (09/22/2009) |
Federated Core Trust III, et al. |
812-13421 |
28806 (06/30/2009) |
28834 (07/27/2009) |
Harris & Harris Group, Inc. |
812-13655 |
28761 (06/09/2009) |
28761 (06/09/2009) |
Nuveen Tax-Advantaged Total Return Strategy Fund, et al. |
812-13619 |
28758 (06/04/2009) |
28893 (08/28/2009) |
Flaherty & Crumrine Preferred Income Fund Incorporated, et al. |
812-13598 |
28722 (05/08/2009) |
28754 (06/01/2009) |
Cohen & Steers Advantage Income Realty Fund, Inc., et al. |
812-13594 |
28721 (05/08/2009) |
28753 (06/01/2009) |
Citibank, N.A., et al. |
812-13618 |
28717 (04/29/2009) |
28746 (05/26/2009) |
Bridgeway Capital Management, Inc. |
812-13525 |
28685 (04/01/2009) |
28716 (04/28/2009) |
Calamos Convertible Opportunities and Income Fund, et al. |
812-13552 |
28603 (01/14/2009) |
28615 (02/10/2009) |
Reserve Municipal Money-Market Trust, et al. |
812-13585 |
N/A |
28466 (10/24/2008) |
The Reserve Fund |
812-13576 |
N/A |
28386 (09/22/2008) |
Eaton Vance Floating Rate-Income Trust |
812-13540 |
28431 (10/02/2008) |
28464 (10/23/2008) |
Harris & Harris Group, Inc. |
812-13520 |
N/A |
28294 (05/30/2008) |
MMA PRAXIS Mutual Funds |
812-13413 |
27977 (09/24/2007) |
28016 (10/22/2007) |
Harris & Harris Group, Inc. |
812-13374 |
N/A |
27870 (06/20/2007) |
HSBC Securities (USA) Inc. |
812-13186 |
27805 (04/26/2007) |
27822 (05/22/2007) |
Deutsche Bank Trust Company Americas |
812-13212 |
27644 (12/28/2006) |
27673 (01/23/2007) |
Securities Lending (Withdrawn) |
Investment Company |
File No. |
Notice |
Order |
U.S. Bank National Association, et al. |
812-13246 |
28238 (04/16/2008) |
28264 (05/07/2008) |
Two-Tier Real Estate Partnerships |
Investment Company |
File No. |
Notice |
Order |
WNC Tax Credits 40, LLC, et al. |
812-13885 |
29715 (07/06/2011) |
29742 (08/02/2011) |
WNC Tax Credits 38, LLC |
812-13687 |
29202 (04/02/2010) |
29260 (04/27/2010) |
Unit Investment Trusts - Other |
Investment Company |
File No. |
Notice |
Order |
AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. |
812-14005 |
30134 (07/10/2012) |
30162 (08/06/2012) |
Destra Capital Investments LLC and Destra Unit Investment Trust |
812-13574-01 |
30059 (05/03/2012) |
30087 (05/30/2012) |
Incapital LLC and Incapital Unit Trust |
812-13921 |
29924 (01/24/2012) |
29949 (02/21/2012) |
Millington Securities, Inc. |
812-13595 |
29160 (02/25/2010) |
29177 (03/22/2010) |
Advisors Asset Management, Inc. |
812-13536 |
28613 (02/06/2009) |
28641 (03/04/2009) |
Matrix Capital Group, Inc. |
812-13475 |
28284 (05/22/2008) |
28300 (06/17/2008) |
NexBank Securities, Inc. and NexBank Series |
812-13279 |
27655 (01/04/2007) |
27691 (01/30/2007) |