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|
Investment Company Act Notices and Orders
File Number Listing
This page lists notices and orders issued on or after January 1, 2007, relating to applications filed under the Investment Company Act. See Public Records and Information for instructions on obtaining paper copies of applications not filed electronically on EDGAR.
See also:
File No. |
Release No. |
Date |
Investment Company |
813-379 |
IC-30214 |
Sep. 25, 2012 |
Alvarez & Marsal, Inc., et al. (Order)
|
813-379 |
IC-30183 |
Aug. 28, 2012 |
Alvarez & Marsal, Inc., et al. (Notice)
|
813-377
|
IC-29869
|
Nov. 22, 2011
|
Citadel LLC, et al. (Order)
|
813-377
|
IC-29851
|
Oct. 27, 2011
|
Citadel LLC, et al. (Notice)
|
813-375
|
IC-29406
|
Aug. 31, 2010
|
Blackstone Group, L.P. (Order)
|
813-375
|
IC-29378
|
Aug. 5, 2010
|
The Blackstone Group, L.P. (Notice)
|
813-373
|
IC-29485
|
Oct. 25, 2010
|
Elfun Trusts, et al. (Order)
|
813-373
|
IC-29441
|
Sep. 27, 2010
|
Elfun Trusts, et al. (Notice)
|
813-369
|
IC-28301
|
Jun. 18, 2008
|
American International Group, Inc., et al. (Order)
|
813-369
|
IC-28286
|
May 23, 2008
|
American International Group, Inc., et al (Notice)
|
813-367
|
IC-28076
|
Dec. 11, 2007
|
Kiewit Investment Fund LLLP (Order)
|
813-367
|
IC-28047
|
Nov. 15, 2007
|
Kiewit Investment Fund LLLP (Notice)
|
813-365
|
IC-28529
|
Dec. 9, 2008
|
Wortham Finance, L.P., et al. (Order)
|
813-365
|
IC-28484
|
Nov. 10, 2008
|
Wortham Finance, L.P. et al. (Notice)
|
813-362
|
IC-28289
|
May 28, 2008
|
The Bessemer Group, Inc., et al. (Order)
|
813-362
|
IC-28258
|
Apr. 29, 2008
|
The Bessemer Group, Incorporated, et al. (Notice)
|
813-361
|
IC-29597
|
Mar. 8, 2011
|
Riverside Casualty, Inc. (Order)
|
813-361
|
IC-29576
|
Feb. 8, 2011
|
Riverside Casualty, Inc. (Notice)
|
813-359
|
IC-29409
|
Sep. 3, 2010
|
Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Notice)
|
813-359
|
IC-29449
|
Sep. 29, 2010
|
Tudor Employee Investment Fund LLC and Tudor Investment Corporation (Order)
|
813-358
|
IC-29446
|
Sep. 28, 2010
|
RIEF RMP LLC and Renaissance Technologies LLC (Notice)
|
813-358
|
IC-29489
|
Oct. 26, 2010
|
RIEF RMP LLC and Renaissance Technologies LLC (Order)
|
813-356 |
IC-27612 |
Dec. 27, 2006 |
Opal Private Equity Fund, L.P. et al. (Notice)
|
813-356
|
IC-27675
|
Jan. 23, 2007
|
Opal Private Equity Fund, LP, and Schottenstein, Zox and Dunn Co., L.P.A. (Order)
|
813-355
|
IC-28473
|
Oct. 28, 2008
|
HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Order)
|
813-355
|
IC-28428
|
Sep. 30, 2008
|
HLHZ Investments II, L.L.C. and Houlihan, Lokey, Howard & Zukin, Inc. (Notice)
|
813-353
|
IC-29596
|
Mar. 8, 2011
|
Capital International, Inc. (Order)
|
813-353
|
IC-29577
|
Feb. 10, 2011
|
Capital International, Inc., et al. (Notice)
|
813-350
|
IC-28072
|
Dec. 4, 2007
|
Tower 21st Century Fund, LLC, et al. (Order)
|
813-350
|
IC-28046
|
Nov. 8, 2007
|
Tower 21st Century Fund LLC, et al. (Notice)
|
813-332
|
IC-28576
|
Jan. 6, 2009
|
TWB Investment Partnership, L.P., et al. (Order)
|
813-332
|
IC-28528
|
Dec. 9, 2008
|
TWB Investment Partnership, L.P., et al. (Notice)
|
813-326
|
IC-28043
|
Nov. 6, 2007
|
Raymond James Employee Investment Fund I, L.P., et al. (Order)
|
813-326
|
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)
|
813-306
|
IC-27843
|
May 29, 2007
|
Stephens Inc., et al. (Notice)
|
813-284 |
IC-27774 |
Apr. 2, 2007 |
SA Investment Partnership LLC, et al. (Order)
|
813-284
|
IC-27747
|
Mar. 5, 2007
|
SA Investment Partnership LLC, et al. (Notice)
|
813-274
|
IC-28727
|
May 20, 2009
|
William Blair & Company, L.L.C., Wilblairco II, L.L.C. (Order)
|
813-274
|
IC-28700
|
Apr. 22, 2009
|
William Blair & Company, L.L.C. and Wilblairco II, L.L.C. (Notice)
|
813-264
|
IC-27782
|
Apr. 24, 2007
|
Silas Partners I, LLC, et al. (Order)
|
813-264
|
IC-27770
|
Mar. 27, 2007
|
Silas Partners I, LLC et al. (Notice)
|
813-248 |
IC-30170 |
Aug. 16, 2012 |
P.E. Partners III, LLC, et al. (Order)
|
813-248 |
IC-30143 |
Jul. 20, 2012 |
P.E. Partners III, LLC, et al. (Notice)
|
813-228 |
IC-30037 |
Apr. 18, 2012 |
Jefferies Employees Special Opportunities Partners, LLC, et al. (Order)
|
813-228
|
IC-30007
|
Mar. 23, 2012
|
Jefferies Employees Special Opportunities Partners, LLC, et al. (Notice)
|
813-194 |
IC-30091 |
May 31, 2012 |
SK Private Investment Fund 1998 LLC et al. (Order)
|
813-194 |
IC-30060 |
May 4, 2012 |
SK Private Investment Fund 1998 LLC, et al. (Notice)
|
812-14074 |
IC-30210 |
Sep. 21, 2012 |
Wells Fargo Bank, N.A., et al. (Temporary Order) |
812-14068 |
IC-30203 |
Sep. 17, 2012 |
ReconTrust Company, N.A., et al. (Order)
|
812-14068 |
IC-30174 |
Aug. 20, 2012 |
ReconTrust Company, N.A., et al. (Notice)
|
812-14024 |
IC-30194 |
Sep. 5, 2012 |
The Hartford Mutual Funds, Inc., et al. (Order)
|
812-14024 |
IC-30164 |
Aug. 8, 2012 |
The Hartford Mutual Funds, Inc., et al. (Notice)
|
812-14022 |
IC-30171 |
Aug. 20, 2012 |
Saratoga Investment Corp., et al. (Order)
|
812-14022 |
IC-30145 |
Jul. 23, 2012 |
Saratoga Investment Corp., et al. (Notice)
|
812-14029 |
IC-30104 |
Jun. 15, 2012 |
Harris & Harris Group, Inc. (Certification)
|
812-14008
|
IC-30133
|
Jul. 10, 2012
|
Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC (Order)
|
812-14008 |
IC-30103 |
Jun. 14, 2012 |
Versus Capital Multi-Manager Real Estate Income Fund LLC and Versus Capital Advisors LLC (Notice)
|
812-14007
|
IC-29981
|
Mar. 14, 2012
|
Capital Research and Management Company, et al. (Notice)
|
812-14007 |
IC-30033 |
Apr. 10, 2012 |
Capital Research and Management Company, et al. (Order)
|
812-14007
|
IC-29981
|
Mar. 14, 2012
|
Capital Research and Management Company, et al. (Notice)
|
812-14005
|
IC-30162
|
Aug. 6, 2012
|
AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. (Order)
|
812-14005
|
IC-30134
|
Jul. 10, 2012
|
AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc. (Notice)
|
812-14001 |
IC-30122 |
Jun. 26, 2012 |
Hennion & Walsh, Inc. and Smart Trust (Order)
|
812-14001 |
IC-30092 |
May 31, 2012 |
Hennion & Walsh, Inc. and Smart Trust (Notice)
|
812-14000 |
IC-30224 |
Sep. 27, 2012 |
PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc. (Notice) |
812-13998 |
IC-30195 |
Sep. 5, 2012 |
Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC (Notice)
|
812-13996
|
IC-30031
|
Apr. 10, 2012
|
Forward Funds, et al. (Order)
|
812-13996
|
IC-29982
|
Mar. 15, 2012
|
Forward Funds, et al. (Notice)
|
812-13996
|
IC-29982
|
Mar. 15, 2012
|
Forward Funds, et al. (Notice)
|
812-13994
|
IC-29952
|
Feb. 22, 2012
|
GE Asset Management Incorporated, et al.(Order)
|
812-13994
|
IC-29926
|
Jan. 24, 2012
|
GE Asset Management Incorporated, et al. (Notice)
|
812-13994
|
IC-29952
|
Feb. 22, 2012
|
GE Asset Management Incorporated, et al.(Order)
|
812-13994 |
IC-29926 |
Jan. 24, 2012 |
GE Asset Management Incorporated, et al. (Notice)
|
812-13993 |
IC-30200 |
Sep. 11, 2012 |
Prudential Investment Portfolios 3, et al. (Notice)
|
812-13990 |
IC-30209 |
Sep. 20, 2012 |
Pruco Life Insurance Company, et.al (Order) |
812-13990 |
IC-30186 |
Aug. 29, 2012 |
Pruco Life Insurance Company, et al. (Notice)
|
812-13988-01 |
IC-30206 |
Sep. 18, 2012 |
Neuberger Berman Alternative Funds, et al. (Notice) |
812-13987
|
IC-29881
|
Dec. 9, 2011
|
Wells Fargo Bank, N.A. (Notice and Temporary Order)
|
812-13986 |
IC-30044 |
Apr. 24, 2012 |
GPS Funds I, et al. (Notice)
|
812-13985 |
IC-30205 |
Sep. 18, 2012 |
Financial Investors Trust, et al. (Notice) |
812-13983
|
IC-29971
|
Feb. 28, 2012
|
DoubleLine Funds Trust, et al. (Order)
|
812-13983
|
IC-29943
|
Feb. 2, 2012
|
DoubleLine Capital LP and DoubleLine Funds Trust (Notice)
|
812-13983
|
IC-29971
|
Feb. 28, 2012
|
DoubleLine Funds Trust, et al. (Order)
|
812-13983
|
IC-29943
|
Feb. 2, 2012
|
DoubleLine Capital LP and DoubleLine Funds Trust (Notice)
|
812-13982
|
IC-29967
|
Feb. 27, 2012
|
Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Order)
|
812-13982
|
IC-29939
|
Jan. 30, 2012
|
Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Notice)
|
812-13982
|
IC-29967
|
Feb. 27, 2012
|
Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Order)
|
812-13982
|
IC-29939
|
Jan. 31, 2012
|
Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Notice)
|
812-13981 |
IC-30129 |
Jul. 5, 2012 |
Precidian ETFs Trust, et al. (Order)
|
812-13981
|
IC-30101
|
Jun. 8, 2012
|
Precidian ETFs Trust, et al. (Notice)
|
812-13971 |
IC-30035 |
Apr. 17, 2012 |
Domini Social Investment Trust and Domini Social Investments LLC (Order)
|
812-13971
|
IC-29984
|
Mar. 21, 2012
|
Domini Social Investment Trust and Domini Social Investments LLC (Notice)
|
812-13968 |
IC-30211 |
Sep. 24, 2012 |
Northern Trust Investments, Inc., et al. (Notice) |
812-13967 |
IC-30201 |
Sep. 12, 2012 |
Wells Fargo Funds Trust, et al. (Notice)
|
812-13966 |
IC-30169 |
Aug. 15, 2012 |
Credit Suisse Asset Management, LLC, et al. (Order)
|
812-13966 |
IC-30144 |
Jul. 20, 2012 |
Credit Suisse Asset Management, LLC, et al. (Notice)
|
812-13965
|
IC-29951
|
Feb. 22, 2012
|
Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Order)
|
812-13965
|
IC-29937
|
Jan. 26, 2012
|
Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Notice)
|
812-13965
|
IC-29951
|
Feb. 22, 2012
|
Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Order)
|
812-13965
|
IC-29937
|
Jan. 26, 2012
|
Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Notice)
|
812-13964 |
IC-30182 |
Aug. 28, 2012 |
BlackRock Preferred Partners LLC, et al. (Order)
|
812-13964 |
IC-30160 |
Aug. 2, 2012 |
BlackRock Preferred Partners LLC, et al. (Notice)
|
812-13962
|
IC-29979
|
Mar. 12, 2012
|
Pacific Life Insurance Company, et al. (Order)
|
812-13962
|
IC-29944
|
Feb. 13, 2012
|
Pacific Life Insurance Company, et al. (Notice)
|
812-13962
|
IC-29979
|
Mar. 12, 2012
|
Pacific Life Insurance Company, et al. (Order)
|
812-13962
|
IC-29944
|
Feb. 13, 2012
|
Pacific Life Insurance Company, et al. (Notice)
|
812-13957 |
IC-30161 |
Aug. 3, 2012 |
IndexIQ Advisors LLC, et al. (Order)
|
812-13957 |
IC-30130 |
Jul. 9, 2012 |
IndexIQ Advisors LLC, et al. (Notice)
|
812-13956 |
IC-30198 |
Sep. 10, 2012 |
IndexIQ Advisors LLC, et al. (Order)
|
812-13956 |
IC-30166 |
Aug. 13, 2012 |
IndexIQ Advisors LLC, et al. (Notice)
|
812-13955
|
IC-30030
|
Apr. 10, 2012
|
Columbia Funds Master Investment Trust, LLC, et al. (Order)
|
812-13955
|
IC-29980
|
Mar. 13, 2012
|
Columbia Funds Master Investment Trust, LLC, et al. (Notice)
|
812-13955
|
IC-29980
|
Mar. 13, 2012
|
Columbia Funds Master Investment Trust, LLC, et al. (Notice)
|
812-13954 |
IC-30212 |
Sep. 25, 2010 |
Emerging Global Advisors, LLC, et al. (Order)
|
812-13954 |
IC-30184 |
Aug. 28, 2010 |
Emerging Global Advisors, LLC, et al. (Notice)
|
812-13952
|
IC-29914
|
Jan. 4, 2012
|
Seasons Series Trust, et al. (Order)
|
812-13952
|
IC-29914
|
Jan. 4, 2012
|
Seasons Series Trust, et al. (Order)
|
812-13952
|
IC-29879
|
Dec. 8, 2011
|
Seasons Series Trust, et al. (Notice)
|
812-13950
|
IC-29970
|
Feb. 28, 2012
|
Henderson Global Funds et al. (Order)
|
812-13950
|
IC-29942
|
Feb. 1, 2012
|
Henderson Global Funds, et al. (Notice)
|
812-13950
|
IC-29970
|
Feb. 28, 2012
|
Henderson Global Funds et al. (Order)
|
812-13950
|
IC-29942
|
Feb. 1, 2012
|
Henderson Global Funds, et al. (Notice)
|
812-13946 |
IC-30123 |
Jun. 26, 2012 |
Federated Investment Management Company and Federated ETF Trust (Order)
|
812-13946 |
IC-30093 |
Jun. 1, 2012 |
Federated Investment Management Company and Federated ETF Trust (Notice)
|
812-13944
|
IC-29880
|
Dec. 8, 2011
|
The Singapore Fund, Inc. (Order)
|
812-13944
|
IC-29817
|
Sep. 22, 2011
|
The Singapore Fund, Inc. (Notice) (Comments received are available.)
|
812-13943
|
IC-29838
|
Oct. 18, 2011
|
DFA Investment Dimensions Group Inc., et al. (Order)
|
812-13943
|
IC-29820
|
Sep. 22, 2011
|
DFA Investment Dimensions Group Inc., et al. (Notice)
|
812-13939
|
IC-29892
|
Dec. 21, 2011
|
AllianceBernstein Cap Fund, Inc., et al. (Order)
|
812-13939
|
IC-29876
|
Nov. 29, 2011
|
AllianceBernstein Cap Fund, Inc., et al. (Notice)
|
812-13937 |
IC-30127 |
Jul. 3, 2012 |
Arrow Investment Advisers, LLC, et al. (Order)
|
812-13937 |
IC-30100 |
June 6, 2012 |
Arrow Investment Advisers, LLC, et al. (Notice)
|
812-13936
|
IC-29882
|
Dec. 13, 2011
|
Bandon Capital Management, LLC and Northern Lights Fund Trust (Order)
|
812-13936
|
IC-29864
|
Nov. 17, 2011
|
Bandon Capital Management, LLC and Northern Lights Fund Trust (Notice)
|
812-13935
|
IC-29888
|
Dec. 19, 2011
|
Genesis Capital, LLC and Northern Lights Fund Trust (Order)
|
812-13935
|
IC-29867
|
Nov. 21, 2011
|
Genesis Capital, LLC and Northern Lights Fund Trust (Notice)
|
812-13934 |
IC-30204 |
Sep. 17, 2012 |
Factor Advisors, LLC, et al. (Notice) |
812-13933 |
IC-30215 |
Sep. 25, 2012 |
Cash Account Trust, et al. (Order)
|
812-13933 |
IC-30188 |
Aug. 31, 2012 |
Cash Account Trust, et al. (Notice)
|
812-13931
|
IC-29830
|
Oct. 4, 2011
|
Stone Harbor Investment Partners LP, et al. (Order)
|
812-13931
|
IC-29784
|
Sep. 7, 2011
|
Stone Harbor Investment Partners LP, et al. (Notice)
|
812-13930
|
IC-29916
|
Jan. 10, 2012
|
American Century Strategic Asset Allocations, Inc. (Order)
|
812-13930
|
IC-29916
|
Jan. 10, 2012
|
American Century Strategic Asset Allocations, Inc. (Order)
|
812-13930
|
IC-29883
|
Dec. 13, 2011
|
American Century Strategic Asset Allocations, Inc., et al. (Notice)
|
812-13929
|
IC-29884
|
Dec. 14, 2011
|
SEI Investments Management Corporation et al. (Order)
|
812-13929
|
IC-29866
|
Nov. 18, 2011
|
SEI Investments Management Corporation, et al. (Notice)
|
812-13927 |
IC-30069 |
May 22, 2012 |
Invesco Total Property Market Income Fund, et al. (Order)
|
812-13927 |
IC-30055 |
Apr. 26, 2012 |
Invesco Total Property Market Income Fund, et al. (Notice)
|
812-13922
|
IC-29850
|
Oct. 26, 2011
|
Incapital LLC, et al. (Order)
|
812-13922
|
IC-29828
|
Sep. 30, 2011
|
Incapital LLC, et al. (Notice)
|
812-13921
|
IC-29949
|
Feb. 21, 2012
|
Incapital LLC and Incapital Unit Trust (Order)
|
812-13921
|
IC-29924
|
Jan. 24, 2012
|
Incapital LLC and Incapital Unit Trust (Notice)
|
812-13921
|
IC-29949
|
Feb. 21, 2012
|
Incapital LLC and Incapital Unit Trust (Order)
|
812-13921
|
IC-29924
|
Jan. 24, 2012
|
Incapital LLC and Incapital Unit Trust (Notice)
|
812-13919
|
IC-29749
|
Aug. 8, 2011
|
J.P. Morgan Securities LLC, et al. (Order)
|
812-13919
|
IC-29719
|
Jul. 11, 2011
|
J.P. Morgan Securities LLC, et al. (Notice)
|
812-13916
|
IC-29769
|
Aug. 24, 2011
|
BofA Funds Series Trust, et al. (Order)
|
812-13916
|
IC-29741
|
Aug. 1, 2011
|
BofA Funds Series Trust, et al. (Notice)
|
812-13914
|
IC-29737
|
Jul. 26, 2011
|
J.P. Morgan Securities LLC, et al. (Order)
|
812-13914
|
IC-29711
|
Jun. 29, 2011
|
J.P. Morgan Securities LLC, et al. (Notice)
|
812-13913
|
IC-30199
|
Sep. 11, 2012
|
LoCorr Fund Management, LLC and LoCorr Investment Trust (Order)
|
812-13913
|
IC-30168
|
Aug. 14, 2012
|
LoCorr Fund Management, LLC and LoCorr Investment Trust (Notice)
|
812-13910
|
IC-29753
|
Aug. 15, 2011
|
BAC Home Loans Servicing, LP, et al. (Order)
|
812-13910
|
IC-29726
|
Jul. 18, 2011
|
BAC Home Loans Servicing, LP, et al. (Notice and Temporary Order)
|
812-13910
|
IC-29688
|
Jun. 1, 2011
|
BAC Home Loans Servicing, LP, et al. (Temporary Order)
|
812-13909
|
IC-29754
|
Aug. 16, 2011
|
ING Asia Pacific High Dividend Equity Income Fund et al. (Order)
|
812-13909
|
IC-29735
|
Jul. 21, 2011
|
ING Asia Pacific High Dividend Equity Income Fund, et al. (Notice)
|
812-13906 |
IC-30163 |
Aug. 7, 2012 |
The Dreyfus Corporation, et al. (Order)
|
812-13906 |
IC-30137 |
Jul. 12, 2012 |
The Dreyfus Corporation, et al. (Notice)
|
812-13903
|
IC-29947
|
Feb. 14, 2012
|
New York Life Insurance and Annuity Corporation, et al. (Corrected Order)
|
812-13903
|
IC-29923
|
Jan. 19, 2012
|
New York Life Insurance and Annuity Corporation, et al. (Corrected Notice)
|
812-13903
|
IC-29947
|
Feb. 14, 2012
|
New York Life Insurance and Annuity Corporation, et al. (Corrected Order)
|
812-13903
|
IC-29923
|
Jan. 19, 2012
|
New York Life Insurance and Annuity Corporation, et al. (Corrected Notice)
|
812-13902
|
IC-29690
|
Jun. 6, 2011
|
UBS AG, et al. (Order)
|
812-13902
|
IC-29666
|
May 9, 2011
|
UBS AG, et al. (Notice and Temporary Order)
|
812-13900 |
IC-30138 |
Jul. 17, 2012 |
Franklin Advisers, Inc. and Franklin Templeton International Trust (Order)
|
812-13900 |
IC-30105 |
Jun. 18, 2012 |
Franklin Advisers, Inc. and Franklin Templeton International Trust (Notice)
|
812-13896
|
IC-29736
|
Jul. 22, 2011
|
Harris & Harris Group, Inc. (Certification)
|
812-13893
|
IC-29839
|
Oct. 18, 2011
|
Fifth Third Funds and Fifth Third Asset Management, Inc. (Order)
|
812-13893
|
IC-29819
|
Sep. 22, 2011
|
Fifth Third Funds and Fifth Third Asset Management, Inc. (Notice)
|
812-13892
|
IC-29835
|
Oct. 12, 2011
|
Legg Mason Partners Equity Trust, et al. (Order)
|
812-13892
|
IC-29789
|
Sep. 15, 2011
|
Legg Mason Partners Equity Trust, et al. (Notice)
|
812-13891
|
IC-29833
|
Oct. 12, 2011
|
Investment Managers Series Trust, et al. (Order)
|
812-13891
|
IC-29787
|
Sep. 13, 2011
|
Investment Managers Series Trust, et al. (Notice)
|
812-13890
|
IC-29832
|
Oct. 12, 2011
|
Highland Capital Management, L.P., et al. (Order)
|
812-13890
|
IC-29790
|
Sep. 15, 2011
|
Highland Capital Management, L.P., et al. (Notice)
|
812-13889 |
IC-30043 |
Apr. 23, 2012 |
Advisors Series Trust and Orinda Asset Management, LLC (Notice)
|
812-13885
|
IC-29742
|
Aug. 2, 2011
|
WNC Tax Credits 40, LLC, et al. (Order)
|
812-13885
|
IC-29715
|
Jul. 6, 2011
|
WNC Tax Credits 40, LLC, et al. (Notice)
|
812-13883
|
IC-29783
|
Sep. 7, 2011
|
Pax World Funds Series Trust I, et al. (Order)
|
812-13883
|
IC-29751
|
Aug. 10, 2011
|
Pax World Funds Series Trust I, et al. (Notice)
|
812-13882
|
IC-30011
|
Mar. 27, 2012
|
Kohlberg Capital Corporation (Order)
|
812-13882
|
IC-29975
|
Mar. 5, 2012
|
Kohlberg Capital Corporation (Notice)
|
812-13882
|
IC-29975
|
Mar. 5, 2012
|
Kohlberg Capital Corporation (Notice)
|
812-13879
|
IC-30012
|
Mar. 27, 2012
|
Fidus Investment Corporation, et al. (Order)
|
812-13879
|
IC-29974
|
Mar. 1, 2012
|
Fidus Investment Corporation, et al. (Notice)
|
812-13879
|
IC-29974
|
Mar. 1, 2012
|
Fidus Investment Corporation, et al. (Notice)
|
812-13878 |
IC-30154 |
Jul. 26, 2012 |
Gladstone Capital Corporation, et al. (Order)
|
812-13878 |
IC-30125 |
Jun. 29, 2012 |
Gladstone Capital Corporation, et al. (Notice)
|
812-13876
|
IC-29821
|
Sep. 27, 2011
|
Horizon Technology Finance Corporation, et al. (Order)
|
812-13876
|
IC-29777
|
Aug. 31, 2011
|
Horizon Technology Finance Corporation, et al. (Notice)
|
812-13870
|
IC-29664
|
May 3, 2011
|
Russell Investment Company, et al. (Order)
|
812-13870
|
IC-29623
|
Apr. 6, 2011
|
Russell Investment Company, et al. (Notice)
|
812-13869
|
IC-29843
|
Oct. 25, 2011
|
Principal Funds, Inc., et al. (Order)
|
812-13869
|
IC-29824
|
Sep. 29, 2011
|
Principal Funds, Inc., et al. (Notice)
|
812-13868 |
IC-30068 |
May 22, 2012 |
Northern Trust Investments, Inc., et al. (Order)
|
812-13868 |
IC-30045 |
Apr. 24, 2012 |
Northern Trust Investments, Inc., et al. (Notice)
|
812-13867
|
IC-29834
|
Oct. 12, 2011
|
Stone Harbor Emerging Markets Income Fund, et al. (Order)
|
812-13867
|
IC-29791
|
Sep. 16, 2011
|
Stone Harbor Emerging Markets Income Fund, et al. (Notice)
|
812-13866
|
IC-29837
|
Oct. 17, 2011
|
ASGI Agility Income Fund, et al. (Order)
|
812-13866
|
IC-29793
|
Sep. 19, 2011
|
ASGI Agility Income Fund, et al. (Notice)
|
812-13865
|
IC-29717
|
Jul. 7, 2011
|
COUNTRY Investors Life Assurance Company, et al. (Order)
|
812-13865
|
IC-29691
|
Jun. 9, 2011
|
COUNTRY Investors Life Assurance Company, et al. (Notice)
|
812-13863
|
IC-29757
|
Aug. 16, 2011
|
Northern Lights Variable Trust, et al. (Order)
|
812-13863
|
IC-29729
|
Jul. 19, 2011
|
Northern Lights Variable Trust, et. al. (Notice)
|
812-13862
|
IC-29785
|
Sep. 12, 2011
|
Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Order)
|
812-13862
|
IC-29755
|
Aug. 16, 2011
|
Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. (Notice)
|
812-13860
|
IC-29773
|
Aug. 30, 2011
|
RidgeWorth Funds et al. (Order)
|
812-13860
|
IC-29743
|
Aug. 3, 2011
|
RidgeWorth Funds et al. (Notice)
|
812-13859-01
|
IC-30132
|
Jul. 10, 2012
|
Hirtle Callaghan & Co., LLC and HC Capital Trust (Order)
|
812-13859-01
|
IC-30102
|
Jun. 11, 2012
|
Hirtle Callaghan & Co., LLC and HC Capital Trust (Notice)
|
812-13857
|
IC-29940
|
Feb. 1, 2012
|
Central Securities Corporation (Order)
|
812-13857
|
IC-29915
|
Jan. 6, 2012
|
Central Securities Corporation (Notice)
|
812-13857
|
IC-29940
|
Feb. 1, 2012
|
Central Securities Corporation (Order)
|
812-13857
|
IC-29915
|
Jan. 6, 2012
|
Central Securities Corporation (Notice)
|
812-13855
|
IC-29836
|
Oct. 17, 2011
|
Curian Series Trust and Curian Capital, LLC (Order)
|
812-13855
|
IC-29794
|
Sep. 19, 2011
|
Curian Series Trust and Curian Capital, LLC (Notice)
|
812-13854
|
IC-29661
|
Apr. 26, 2011
|
Fairholme VP Series Fund, Inc. et al. (Order)
|
812-13854
|
IC-29619
|
Mar. 28, 2011
|
Fairholme VP Series Fund, Inc. et al. (Notice)
|
812-13853
|
IC-29774
|
Aug. 30, 2011
|
American Capital, Ltd. (Order)
|
812-13853
|
IC-29744
|
Aug. 3, 2011
|
American Capital, Ltd. (Notice)
|
812-13851
|
IC-29710
|
Jun. 28, 2011
|
Altegris Advisors, L.L.C. and Northern Lights Fund Trust (Order)
|
812-13851
|
IC-29689
|
Jun. 1, 2011
|
Altegris Advisors, L.L.C. and Northern Lights Fund Trust (Notice)
|
812-13847
|
IC-30024
|
Mar. 30, 2012
|
Ares Capital Corporation, Ares Capital Management LLC, and Ivy Hill Asset Management, L.P. (Order)
|
812-13847
|
IC-29977
|
Mar. 9, 2012
|
Ares Capital Corporation et al. (Notice)
|
812-13847
|
IC-29977
|
Mar. 9, 2012
|
Ares Capital Corporation et al. (Notice)
|
812-13846 |
IC-30096 |
June 5, 2012 |
Van Eck VIP Trust, et al. (Order)
|
812-13846 |
IC-30063 |
May 10, 2012 |
Van Eck VIP Trust, et al. (Notice)
|
812-13843
|
IC-29721
|
Jul. 12, 2011
|
HighMark Funds, et al. (Order)
|
812-13843
|
IC-29694
|
Jun. 16, 2011
|
Highmark Funds, et al. (Notice)
|
812-13842
|
IC-29656
|
Apr. 21, 2011
|
American Family Life Insurance Company, et al. (Order)
|
812-13842
|
IC-29617
|
Mar. 24, 2011
|
American Family Life Insurance Company, et al. (Notice)
|
812-13841
|
IC-29658
|
Apr. 25, 2011
|
Jackson National Life Insurance Company, et al. (Order)
|
812-13841
|
IC-29621
|
Mar. 31, 2011
|
Jackson National Life Insurance Company, et al. (Notice)
|
812-13839
|
IC-29546
|
Dec. 30, 2010
|
Nuveen Asset Management, et al. (Order)
|
812-13839
|
IC-29522
|
Dec. 8, 2010
|
Nuveen Asset Management, et al. (Notice)
|
812-13834
|
IC-29738
|
Jul. 26, 2011
|
Sterling Capital Funds and Sterling Capital Management LLC (Order)
|
812-13834
|
IC-29713
|
Jul. 1, 2011
|
Sterling Capital Funds and Sterling Capital Management LLC (Notice)
|
812-13833 |
IC-30153 |
Jul. 26, 2012 |
AQR Capital Management, LLC (Order)
|
812-13833 |
IC-30128 |
Jul. 3, 2012 |
AQR Capital Management, LLC, et al. (Notice)
|
812-13831
|
IC-29728
|
Jul. 19, 2011
|
TIAA-CREF Funds, et al. (Order)
|
812-13831
|
IC-29707
|
Jun. 24, 2011
|
TIAA-CREF Funds, et al. (Notice)
|
812-13830
|
IC-29852
|
Oct. 28, 2011
|
Global X Funds, et al. (Order)
|
812-13830
|
IC-29829
|
Sep. 30, 2011
|
Global X Funds, et al. (Notice)
|
812-13821
|
IC-29716
|
Jul. 6, 2011
|
Allianz Life Insurance Company of North America, et al. (Order)
|
812-13821
|
IC-29693
|
Jun. 10, 2011
|
Allianz Life Insurance Company of North America, et al. (Notice)
|
812-13820 |
IC-30222 |
Sep. 26, 2012 |
PowerShares Exchange-Traded Fund Trust, et al. (Notice) |
812-13818
|
IC-29712
|
Jul. 1, 2011
|
Precidian ETFs Trust, et al. (Order)
|
812-13818
|
IC-29692
|
Jun. 9, 2011
|
Precidian ETFs Trust, et al. (Notice)
|
812-13816
|
IC-29570
|
Jan. 24, 2011
|
MetLife Insurance Company of Connecticut, et al. (Order)
|
812-13816
|
IC-29544
|
Dec. 28, 2010
|
MetLife Insurance Company of Connecticut, et al. (Notice)
|
812-13815
|
IC-29727
|
Jul. 19, 2011
|
Russell Exchange Traded Funds Trust, et al. (Order)
|
812-13815
|
IC-29706
|
Jun. 22, 2011
|
Russell Exchange Traded Funds Trust, et al. (Notice)
|
812-13808
|
IC-29498
|
Nov. 15, 2010
|
Citigroup Global Markets Inc., et al. (Order)
|
812-13808
|
IC-29464
|
Oct. 19, 2010
|
Citigroup Global Markets Inc., et al. (Notice)
|
812-13807
|
IC-29385
|
Aug. 25, 2010
|
GE Asset Management Incorporated, et al. (Order)
|
812-13807
|
IC-29374
|
Jul. 30, 2010
|
GE Asset Management Incorporated and GE Investment Distributors, Inc. (Notice and Temporary Order)
|
812-13806
|
IC-29662
|
Apr. 29, 2011
|
National Life Insurance Company, et al. (Order)
|
812-13806
|
IC-29627
|
Apr. 7, 2011
|
National Life Insurance Company, et al. (Notice)
|
812-13804
|
IC-29946
|
Feb. 14, 2012
|
Main Street Capital Corporation, et al. (Order)
|
812-13804
|
IC-29922
|
Jan. 17, 2012
|
Main Street Capital Corporation, et al. (Notice)
|
812-13804
|
IC-29946
|
Feb. 14, 2012
|
Main Street Capital Corporation, et al. (Order)
|
812-13804
|
IC-29922
|
Jan. 17, 2012
|
Main Street Capital Corporation, et al. (Notice)
|
812-13801
|
IC-29629
|
Apr. 19, 2011
|
Simple Alternatives, LLC (Order)
|
812-13801
|
IC-29616
|
Mar. 24, 2011
|
Simple Alternatives, LLC and The RBB Fund, Inc. (Notice)
|
812-13793 |
IC-30070 |
May 23, 2012 |
Steel Partners Holdings L.P. (Order)
|
812-13793 |
IC-30056 |
Apr. 27, 2012 |
Steel Partners Holdings L.P. (Notice)
|
812-13796
|
IC-29382
|
Aug. 18, 2010
|
Goldman, Sachs & Co., et al. (Order)
|
812-13796
|
IC-29366
|
Jul. 21, 2010
|
Goldman, Sachs & Co., et al. (Notice and Temporary Order)
|
812-13795
|
IC-30029
|
Apr. 10, 2012
|
First Trust Exchange-Traded Fund, et al. (Order)
|
812-13795
|
IC-29983
|
Mar. 15, 2012
|
First Trust Exchange-Traded Fund, et al. (Notice)
|
812-13795
|
IC-29983
|
Mar. 15, 2012
|
First Trust Exchange-Traded Fund, et al. (Notice)
|
812-13794
|
IC-29786
|
Sep. 13, 2011
|
Golub Capital BDC, Inc., et al. (Order)
|
812-13794
|
IC-29756
|
Aug. 16, 2011
|
Golub Capital BDC, Inc., et al. (Notice)
|
812-13791
|
IC-29709
|
Jun. 28, 2011
|
TIAA-CREF Life Insurance Company, et al. (Order)
|
812-13791
|
IC-29687
|
Jun. 1, 2011
|
TIAA-CREF Life Insurance Company, et al. (Notice)
|
812-13791
|
IC-29600
|
Mar. 22, 2011
|
TIAA-CREF Life Insurance Company, et al. (Notice)
|
812-13787
|
IC-30009
|
Mar. 26, 2012
|
Medley Capital Corporation, et al. (Order)
|
812-13787
|
IC-29968
|
Feb. 27, 2012
|
Medley Capital Corporation, et al. (Notice)
|
812-13787
|
IC-29968
|
Feb. 27, 2012
|
Medley Capital Corporation, et al. (Notice)
|
812-13786
|
IC-29487
|
Oct. 26, 2010
|
Northern Lights Fund Trust, et al. (Order)
|
812-13786
|
IC-29452
|
Sep. 30, 2010
|
Northern Lights Fund Trust, et al. (Notice)
|
812-13785 |
IC-30061 |
May 8, 2012 |
Huntington Asset Advisors, Inc., et al. (Order)
|
812-13785
|
IC-30032
|
Apr. 10, 2012
|
Huntington Asset Advisors, Inc., et al. (Notice)
|
812-13781
|
IC-29925
|
Jan. 24, 2012
|
Cantilever Capital, LLC and Cantilever Group, LLC (Order)
|
812-13781
|
IC-29925
|
Jan. 24, 2012
|
Cantilever Capital, LLC and Cantilever Group, LLC (Order)
|
812-13781
|
IC-29896
|
Dec. 29, 2011
|
Cantilever Capital, LLC and Cantilever Group, LLC (Notice)
|
812-13780
|
IC-29545
|
Dec. 29, 2010
|
American United Life Insurance Company, et al. (Order)
|
812-13780
|
IC-29521
|
Nov. 30, 2010
|
American United Life Insurance Company, et al. (Notice)
|
812-13778 |
IC-30046 |
Apr. 24, 2012 |
Sunwest Rollover Member LLC (Order)
|
812-13778
|
IC-30014
|
Mar. 29, 2012
|
Sunwest Rollover Member LLC (Notice)
|
812-13777
|
IC-29921
|
Jan. 17, 2012
|
Rio Tinto plc et al. (Order)
|
812-13777
|
IC-29921
|
Jan. 17, 2012
|
Rio Tinto plc et al. (Order)
|
812-13777
|
IC-29889
|
Dec. 19, 2011
|
Rio Tinto plc and Rio Tinto Limited (Notice)
|
812-13775
|
IC-29443
|
Sep. 27, 2010
|
Aston Funds, et al. (Order)
|
812-13775
|
IC-29400
|
Aug. 26, 2010
|
Aston Funds, et al. (Notice)
|
812-13774
|
IC-29525
|
Dec. 14, 2010
|
ETSpreads, LLC, et al. (Order)
|
812-13774
|
IC-29501
|
Nov. 18, 2010
|
ETSpreads, LLC, et al. (Notice)
|
812-13773
|
IC-29782
|
Sep. 6, 2011
|
Northern Trust Investments, Inc., et al. (Order)
|
812-13773
|
IC-29752
|
Aug. 10, 2011
|
Northern Trust Investments, Inc., et al. (Notice)
|
812-13772
|
IC-29686
|
Jun. 1, 2011
|
PennantPark Investment Corporation, et al. (Order)
|
812-13772
|
IC-29665
|
May 6, 2011
|
PennantPark Investment Corporation, et al. (Notice)
|
812-13771
|
IC-29482
|
Oct. 22, 2010
|
Triangle Capital Corporation, et al. (Order)
|
812-13771
|
IC-29453
|
Sep. 30, 2010
|
Triangle Capital Corporation, et al. (Notice)
|
812-13770
|
IC-29488
|
Oct. 26, 2010
|
Highland Capital Management, L.P. and Highland Funds I (Order)
|
812-13770
|
IC-29445
|
Sep. 27, 2010
|
Highland Capital Management, L.P. and Highland Funds I (Notice)
|
812-13769
|
IC-29491
|
Oct. 26, 2010
|
Capital Southwest Corporation (Order)
|
812-13769
|
IC-29450
|
Sep. 29, 2010
|
Capital Southwest Corporation (Notice)
|
812-13768
|
IC-29289
|
May 28, 2010
|
Harris & Harris Group, Inc. (Certification)
|
812-13767 |
IC-30064 |
May 15, 2012 |
Beverly Hills Bancorp Inc. (Order)
|
812-13767 |
IC-30036 |
Apr. 18, 2012 |
Beverly Hills Bancorp Inc. (Notice)
|
812-13765
|
IC-29484
|
Oct. 25, 2010
|
Jackson National Life Insurance Company, et al. (Order)
|
812-13765
|
IC-29442
|
Sep. 27, 2010
|
Jackson National Life Insurance Company, et al. (Notice)
|
812-13763
|
IC-29418
|
Sep. 21, 2010
|
The Integrity Funds, et al. (Order)
|
812-13763
|
IC-29399
|
Aug. 25, 2010
|
The Integrity Funds, et al. (Notice)
|
812-13759
|
IC-29620
|
Mar. 30, 2011
|
Eaton Vance Management, et al. (Order)
|
812-13759
|
IC-29591
|
Mar. 1, 2011
|
Eaton Vance Management, et al. (Notice)
|
812-13756
|
IC-29369
|
Jul. 27, 2010
|
Nationwide Life Insurance Company, et. al. (Order)
|
812-13756
|
IC-29337
|
Jul. 2, 2010
|
Nationwide Life Insurance Company, et. al. (Notice)
|
812-13755
|
IC-29863
|
Nov. 17, 2011
|
RiverPark Advisors, LLC, et al. (Order)
|
812-13755
|
IC-29840
|
Oct. 19, 2011
|
RiverPark Advisors, LLC, et al. (Notice)
|
812-13753
|
IC-29206
|
Apr. 9, 2010
|
SeaCo Ltd. (Order)
|
812-13753
|
IC-29176
|
Mar. 17, 2010
|
SeaCo Ltd. (Notice)
|
812-13752
|
IC-29343
|
Jul. 20, 2010
|
Korea Finance Corporation (Order)
|
812-13752
|
IC-29332
|
Jun. 25, 2010
|
Korea Finance Corporation (Notice)
|
812-13751
|
IC-29383
|
Aug. 23, 2010
|
Virtus Opportunities Trust, et al. (Order)
|
812-13751
|
IC-29370
|
Jul. 27, 2010
|
Virtus Opportunities Trust, et al. (Notice)
|
812-13749
|
IC-29194
|
Mar. 30, 2010
|
The Chile Fund, Inc. (Order)
|
812-13749
|
IC-29169
|
Mar. 8, 2010
|
The Chile Fund, Inc. (Notice)
|
812-13748
|
IC-29335
|
Jun. 29, 2010
|
FFCM, LLC and FQF Trust (Order)
|
812-13748
|
IC-29292
|
Jun. 2, 2010
|
FFCM, LLC and FQF Trust (Notice)
|
812-13746
|
IC-29133
|
Feb. 23, 2010
|
Assurant, Inc., et al. (Order)
|
812-13746
|
IC-29125
|
Jan. 26, 2010
|
Assurant, Inc., et al. (Notice)
|
812-13745
|
IC-29297
|
Jun. 14, 2010
|
Kinetics Mutual Funds, Inc., et al. (Order)
|
812-13745
|
IC-29270
|
May 17, 2010
|
Kinetics Mutual Funds, Inc., et al. (Notice)
|
812-13743
|
IC-29379
|
Aug. 10, 2010
|
Federated Enhanced Treasury Income Fund, et al. (Order)
|
812-13743
|
IC-29341
|
Jul. 14, 2010
|
Federated Enhanced Treasury Income Fund, et al. (Notice)
|
812-13741
|
IC-29747
|
Aug. 5, 2011
|
FQF Trust, et al. (Order)
|
812-13741
|
IC-29720
|
Jul. 11, 2011
|
FQF Trust, et al. (Notice)
|
812-13736
|
IC-29675
|
May 24, 2011
|
HighMark Capital Management Inc., et al. (Order)
|
812-13736
|
IC-29660
|
Apr. 26, 2011
|
HighMark Capital Management, Inc., et al. (Notice)
|
812-13733
|
IC-29412
|
Sep. 8, 2010
|
WisdomTree Asset Management Inc., et al. (Order)
|
812-13733
|
IC-29380
|
Aug. 13, 2010
|
WisdomTree Asset Management Inc, et al. (Notice)
|
812-13732
|
IC-29197
|
Mar. 31, 2010
|
Lincoln Investment Advisors Corporation, et al. (Order)
|
812-13732
|
IC-29170
|
Mar. 9, 2010
|
Lincoln Investment Advisors Corporation, et al. (Notice)
|
812-13728
|
IC-29110
|
Jan. 12, 2010
|
Investools Inc., et al. (Order)
|
812-13728
|
IC-29093
|
Dec. 16, 2009
|
Investools Inc., et al. (Notice and Temporary Order)
|
812-13727
|
IC-29259
|
Apr. 27, 2010
|
Pioneer Bond Fund, et al. (Order)
|
812-13727
|
IC-29198
|
Mar. 31, 2010
|
Pioneer Bond Fund, et al. (Notice)
|
812-13718
|
IC-29268
|
May 17, 2010
|
Calvert Social Investment Fund, et al. (Order)
|
812-13718
|
IC-29209
|
Apr. 19, 2010
|
Calvert Social Investment Fund, et al. (Notice)
|
812-13716
|
IC-29303
|
Jun. 22, 2010
|
Hercules Technology Growth Capital, Inc. (Order)
|
812-13716
|
IC-29287
|
May 26, 2010
|
Hercules Technology Growth Capital, Inc. (Notice)
|
812-13714
|
IC-29460
|
Oct. 8, 2010
|
American Capital, Ltd. (Order)
|
812-13714
|
IC-29416
|
Sep. 14, 2010
|
American Capital, Ltd. (Notice)
|
812-13713
|
IC-29342
|
Jul. 15, 2010
|
Pruco Life Insurance Company, et. al. (Order)
|
812-13713
|
IC-29302
|
Jun. 18, 2010
|
Pruco Life Insurance Company, et. al. (Notice)
|
812-13712
|
IC-29097
|
Dec. 23, 2009
|
Strategic Funds, Inc., et al. (Order)
|
812-13712
|
IC-29064
|
Nov. 30, 2009
|
Strategic Funds, Inc., et al. (Notice)
|
812-13710
|
IC-29293
|
Jun. 3, 2010
|
Jackson National Life Insurance Company of New York, et al. (Order)
|
812-13710
|
IC-29265
|
May 10, 2010
|
Jackson National Life Insurance Company of New York, et al. (Notice)
|
812-13709-01
|
IC-29386
|
Aug. 25, 2010
|
Millington Securities, Inc., et al. (Order)
|
812-13709-01
|
IC-29375
|
Jul. 30, 2010
|
Millington Securities, Inc., et al. (Notice)
|
812-13708
|
IC-29483
|
Oct. 25, 2010
|
American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company (Order)
|
812-13708
|
IC-29444
|
Sep. 27, 2010
|
American Fidelity Dual Strategy Fund, Inc. and American Fidelity Assurance Company (Notice)
|
812-13707
|
IC-29381
|
Aug. 18, 2010
|
Northern Funds, et al. (Order)
|
812-13707
|
IC-29368
|
Jul. 23, 2010
|
Northern Funds, et al. (Notice)
|
812-13706
|
IC-29336
|
Jun. 30, 2010
|
EQ Advisors Trust, et al. (Order)
|
812-13706
|
IC-29294
|
Jun. 4, 2010
|
EQ Advisors Trust, et al. (Notice)
|
812-13703
|
IC-29262
|
Apr. 30, 2010
|
Jackson National Life Insurance Company, et al. (Order)
|
812-13703
|
IC-29205
|
Apr. 7, 2010
|
Jackson National Life Insurance Company, et al. (Notice)
|
812-13702
|
IC-29269
|
May 17, 2010
|
Pax World Funds Trust II, et al. (Order)
|
812-13702
|
IC-29257
|
Apr. 26, 2010
|
Pax World Funds Trust II, et al. (Notice)
|
812-13700
|
IC-29211
|
Apr. 20, 2010
|
MetLife Insurance Company of Connecticut, et al. (Order)
|
812-13700
|
IC-29190
|
Mar. 25, 2010
|
MetLife Insurance Company of Connecticut, et al. (Notice)
|
812-13698
|
IC-29526
|
Dec. 14, 2010
|
Fifth Street Finance Corp., et al. (Order)
|
812-13698
|
IC-29500
|
Nov. 18, 2010
|
Fifth Street Finance Corp., et al. (Notice)
|
812-13695
|
IC-29860
|
Nov. 10, 2011
|
NGP Capital Resources Company, et al. (Order)
|
812-13695
|
IC-29831
|
Oct. 7, 2011
|
NGP Capital Resources Company, et al. (Notice)
|
812-13694
|
IC-29210
|
Apr. 20, 2010
|
MCG Capital Corporation (Order)
|
812-13694
|
IC-29191
|
Mar. 25, 2010
|
MCG Capital Corporation (Notice)
|
812-13690
|
IC-29204
|
Apr. 7, 2010
|
Integrity Life Insurance Company, et al (Order)
|
812-13690
|
IC-29171
|
Mar. 10, 2010
|
Integrity Life Insurance Company, et al (Notice)
|
812-13687
|
IC-29260
|
Apr. 27, 2010
|
WNC Tax Credits 38, LLC, et al. (Order)
|
812-13687
|
IC-29202
|
Apr. 2, 2010
|
WNC Tax Credits 38, LLC, et al. (Notice)
|
812-13686
|
IC-29372
|
Jul. 29, 2010
|
AXA Equitable Life Insurance Company, et al. (Order)
|
812-13686
|
IC-29338
|
Jul. 7, 2010
|
AXA Equitable Life Insurance Company, et al. (Notice)
|
812-13685
|
IC-29212
|
Apr. 20, 2010
|
Rydex Series Funds, et al. (Order)
|
812-13685
|
IC-29179
|
Mar. 23, 2010
|
Rydex Series Funds, et al. (Notice)
|
812-13681
|
IC-29255
|
Apr. 21, 2010
|
Legg Mason Partners Equity Trust, et al. (Order)
|
812-13681
|
IC-29192
|
Mar. 26, 2010
|
Legg Mason Partners Equity Trust, et al. (Notice)
|
812-13680
|
IC-28899
|
Sep. 9, 2009
|
GE Asset Management Incorporated and GE Investment Distributors, Inc. (Order)
|
812-13680
|
IC-28845
|
Aug. 11, 2009
|
GE Asset Management Incorporated, et al. (Notice and Temporary Order)
|
812-13678
|
IC-29109
|
Jan. 12, 2010
|
Cash Account Trust, et al. (Order)
|
812-13678
|
IC-29094
|
Dec. 16, 2009
|
Cash Account Trust, et al. (Notice)
|
812-13677
|
IC-29291
|
May 28, 2010
|
AdvisorShares Investments, LLC and AdvisorShares Trust (Order)
|
812-13677
|
IC-29264
|
May 6, 2010
|
AdvisorShares Investments, LLC and AdvisorShares Trust (Notice)
|
812-13676
|
IC-29195
|
Mar. 30, 2010
|
The Chile Fund, et al. (Order)
|
812-13676
|
IC-29167
|
Mar. 2, 2010
|
The Chile Fund, et al. (Notice)
|
812-13669
|
IC-29671
|
May 16, 2011
|
Russell Investment Management Company, et al. (Order)
|
812-13669
|
IC-29655
|
Apr. 20, 2011
|
Russell Investment Management Company, et al. (Notice)
|
812-13667
|
IC-29258
|
Apr. 26, 2010
|
Medallion Financial Corp. (Order)
|
812-13667
|
IC-29201
|
Apr. 1, 2010
|
Medallion Financial Corp. (Notice)
|
812-13666 |
IC-30139 |
Jul. 17, 2012 |
Medallion Financial Corp. (Order)
|
812-13666 |
IC-30121 |
Jun. 21, 2012 |
Medallion Financial Corp. (Notice)
|
812-13664
|
IC-28811
|
Jul. 7, 2009
|
Deutsche Bank Securities Inc., et al. (Order)
|
812-13664
|
IC-28763
|
Jun. 9, 2009
|
Deutsche Bank Securities Inc., et al. (Notice and Temporary Order)
|
812-13663
|
IC-28812
|
Jul. 7, 2009
|
RBC Capital Markets Corporation, et al. (Order)
|
812-13663
|
IC-28762
|
Jun. 9, 2009
|
RBC Capital Markets Corporation, et al. (Notice and Temporary Order)
|
812-13662
|
IC-28810
|
Jul. 7, 2009
|
Banc of America Securities LLC, et al. (Order)
|
812-13662
|
IC-28764
|
Jun. 9, 2009
|
Banc of America Securities LLC, et al. (Notice and Temporary Order)
|
812-13661
|
IC-29447
|
Sep. 28, 2010
|
Transamerica Asset Management, Inc., et al. (Order)
|
812-13661
|
IC-29410
|
Sep. 3, 2010
|
Transamerica Asset Management, Inc., et al. (Notice)
|
812-13660
|
IC-29196
|
Mar. 31, 2010
|
Lincoln Variable Insurance Products Trust, et al. (Order)
|
812-13660
|
IC-29168
|
Mar. 5, 2010
|
Lincoln Variable Insurance Products Trust, et al. (Notice)
|
812-13658-01
|
IC-29164
|
Mar. 1, 2010
|
U.S. One, Inc. and U.S. One Trust (Order)
|
812-13658-01
|
IC-29128
|
Feb. 2, 2010
|
U.S. One, Inc. and U.S. One Trust (Notice)
|
812-13657
|
IC-29494
|
Nov. 2, 2010
|
Claymore Exchange-Traded Fund Trust, et al. (Order)
|
812-13657
|
IC-29458
|
Oct. 7, 2010
|
Claymore Exchange-Traded Fund Trust, et al. (Notice)
|
812-13656
|
IC-28986
|
Oct. 29, 2009
|
Morgan Stanley Investment Management Inc. et al. (Order)
|
812-13656
|
IC-28941
|
Oct. 6, 2009
|
Morgan Stanley Investment Management Inc., et al. (Notice)
|
812-13655
|
IC-28761
|
Jun. 9, 2009
|
Harris & Harris Group, Inc. (Certification)
|
812-13654-01
|
IC-29096
|
Dec. 22, 2009
|
Members Mutual Funds, et al. (Order)
|
812-13654
|
IC-29062
|
Nov. 23, 2009
|
Members Mutual Funds, et al. (Notice)
|
812-13653
|
IC-29099
|
Dec. 29, 2009
|
Madison Asset Management, LLC, et al. (Order)
|
812-13653
|
IC-29068
|
Dec. 7, 2009
|
Madison Asset Management, LLC, et al. (Notice)
|
812-13651
|
IC-29267
|
May 12, 2010
|
Northern Lights Fund Trust, et al. (Order)
|
812-13651
|
IC-29208
|
Apr. 16, 2010
|
Northern Lights Fund Trust, et al. (Notice)
|
812-13650
|
IC-28805
|
Jun. 29, 2009
|
WisdomTree Investments, Inc., et al. (Order)
|
812-13650
|
IC-28755
|
Jun. 1, 2009
|
WisdomTree Investments, Inc., et al. (Notice)
|
812-13649
|
IC-28768
|
Jun. 16, 2009
|
Main Street Capital Corporation, et al. (Order)
|
812-13649
|
IC-28726
|
May 19, 2009
|
Main Street Capital Corporation, et al. (Notice)
|
812-13648
|
IC-29505
|
Nov. 22, 2010
|
Nationwide Life Insurance Company, et al. (Order)
|
812-13648
|
IC-29486
|
Oct. 25, 2010
|
Nationwide Life Insurance Company, et al. (Notice)
|
812-13647
|
IC-28718
|
May 5, 2009
|
Triangle Capital Corporation (Order)
|
812-13647
|
IC-28692
|
Apr. 13, 2009
|
Triangle Capital Corporation (Notice)
|
812-13645
|
IC-28695
|
Apr. 14, 2009
|
UBS AG, et al. (Order)
|
812-13645
|
IC-28652
|
Mar. 19, 2009
|
UBS AG, et al. (Notice and Temporary Order)
|
812-13643
|
IC-28932
|
Sep. 28, 2009
|
AdvisorOne Funds and CLS Investments, LLC (Order)
|
812-13643
|
IC-28894
|
Aug. 31, 2009
|
AdvisorOne Funds and CLS Investments, LLC (Notice)
|
812-13642
|
IC-28836
|
Jul. 24, 2009
|
WisdomTree Asset Management Inc. (Order)
|
812-13642
|
IC-28804
|
Jun. 29, 2009
|
WisdomTree Asset Management, Inc. and WisdomTree Trust (Notice)
|
812-13641
|
IC-28688
|
Apr. 7, 2009
|
Automated Trading Desk Specialists, LLC, et al. (Order)
|
812-13641
|
IC-28647
|
Mar. 12, 2009
|
Automated Trading Desk Specialists, LLC, et al. (Notice)
|
812-13640
|
IC-29100
|
Dec. 29, 2009
|
PNC Bank, National Association (Order)
|
812-13640
|
IC-29066
|
Dec. 3, 2009
|
PNC Bank, National Association (Notice)
|
812-13639
|
IC-28689
|
Apr. 7, 2009
|
E*TRADE Capital Markets LLC, et al. (Order)
|
812-13639
|
IC-28645
|
Mar. 12, 2009
|
E*TRADE Capital Markets LLC, et al. (Notice)
|
812-13638
|
IC-29065
|
Dec. 1, 2009
|
FaithShares Trust, et al. (Order)
|
812-13638
|
IC-28991
|
Nov. 5, 2009
|
FaithShares Trust, et al. (Notice)
|
812-13636
|
IC-29070
|
Dec. 15, 2009
|
Pioneer Floating Rate Trust and Pioneer High Income Trust (Order)
|
812-13636
|
IC-28998
|
Nov. 20, 2009
|
Pioneer Floating Rate Trust and Pioneer High Income Trust (Notice)
|
812-13634
|
IC-29972
|
Feb. 28, 2012
|
Rand Capital Corporation, et al. (Order)
|
812-13634
|
IC-29941
|
Feb. 1, 2012
|
Rand Capital Corporation, et al. (Notice)
|
812-13634
|
IC-29972
|
Feb. 28, 2012
|
Rand Capital Corporation, et al. (Order)
|
812-13634
|
IC-29941
|
Feb. 1, 2012
|
Rand Capital Corporation, et al. (Notice)
|
812-13633
|
IC-28820
|
Jul. 20, 2009
|
Embarcadero Funds, Inc., et al. (Order)
|
812-13633
|
IC-28769
|
Jun. 22, 2009
|
Embarcadero Funds, Inc., et al. (Notice)
|
812-13632
|
IC-28648
|
Mar. 17, 2009
|
Wachovia Securities, LLC, et al. (Order)
|
812-13632
|
IC-28618
|
Feb. 18, 2009
|
Wachovia Securities, LLC, et al. (Notice and Temporary Order)
|
812-13631
|
IC-28936
|
Sep. 30, 2009
|
Columbia Funds Series Trust, et al. (Order)
|
812-13631
|
IC-28896
|
Sep. 4, 2009
|
Columbia Funds Series Trust, et al. (Notice)
|
812-13630
|
IC-28937
|
Sep. 30, 2009
|
Alpine Global Dynamic Dividend Fund, et al. (Order)
|
812-13630
|
IC-28897
|
Sep. 4, 2009
|
Alpine Global Dynamic Dividend Fund, et al. (Notice)
|
812-13628
|
IC-28983
|
Oct. 23, 2009
|
Charles Schwab Investment Management, Inc., et al. (Order)
|
812-13628
|
IC-28933
|
Sep. 28, 2009
|
Charles Schwab Investment Management, Inc., et al. (Notice)
|
812-13627 |
IC-30042 |
Apr. 23, 2012 |
Praxis Mutual Funds, et al. (Notice)
|
812-13624
|
IC-29490
|
Oct. 26, 2010
|
Van Eck Associates Corporation, et al. (Order)
|
812-13624
|
IC-29455
|
Oct. 1, 2010
|
Van Eck Associates Corporation, et al. (Notice)
|
812-13623
|
IC-29407
|
Aug. 31, 2010
|
Kohlberg Capital Corporation (Order)
|
812-13623
|
IC-29376
|
Aug. 3, 2010
|
Kohlberg Capital Corporation (Notice)
|
812-13621
|
IC-29885
|
Dec. 14, 2011
|
John Hancock Variable Insurance Trust, et al. (Order)
|
812-13621
|
IC-29865
|
Nov. 18, 2011
|
John Hancock Variable Insurance Trust, et al. (Notice)
|
812-13619
|
IC-28893
|
Aug. 28, 2009
|
Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Order)
|
812-13619
|
IC-28758
|
Jun. 4, 2009
|
Nuveen Tax-Advantaged Total Return Strategy Fund, et al. (Notice) (Comments received are available.)
|
812-13618
|
IC-28746
|
May 26, 2009
|
Citibank, N.A. (Order)
|
812-13618
|
IC-28717
|
Apr. 29, 2009
|
Citibank, N.A. (Notice)
|
812-13617
|
IC-28906
|
Sep. 22, 2009
|
DNP Select Income Fund Inc., et al. (Order)
|
812-13617
|
IC-28891
|
Aug. 27, 2009
|
DNP Select Income Fund Inc., et al. (Notice)
|
812-13616-09 |
IC-30173 |
Aug. 20, 2012 |
Capital Research and Management Company, et al. (Order)
|
812-13616-09 |
IC-30150 |
Jul. 25, 2012 |
Capital Research and Management Company, et al. (Notice)
|
812-13615
|
IC-28605
|
Jan. 16, 2009
|
Citigroup Global Markets Inc., et al. (Order)
|
812-13615
|
IC-28572
|
Dec. 23, 2008
|
Citigroup Global Markets Inc., et al. (Notice and Temporary Order)
|
812-13614
|
IC-28898
|
Sep. 9, 2009
|
Old Mutual Global Shares Trust, et al. (Order)
|
812-13614
|
IC-28847
|
Aug. 13, 2009
|
Old Mutual Global Shares Trust, et al. (Notice)
|
812-13612
|
IC-28948
|
Oct. 20, 2009
|
Annuity Investors Life Insurance Company, et al. (Order)
|
812-13612
|
IC-28909
|
Sep. 22, 2009
|
Annuity Investors Life Insurance Company, et al. (Notice)
|
812-13611
|
IC-28901
|
Sep. 15, 2009
|
MML Series Investment Fund, et al. (Order)
|
812-13611
|
IC-28849
|
Aug. 20, 2009
|
MML Series Investment Fund, et al. (Notice)
|
812-13610
|
IC-28905
|
Sep. 22, 2009
|
Rafferty Asset Management, LLC, et al. (Order)
|
812-13610
|
IC-28889
|
Aug. 27, 2009
|
Rafferty Asset Management, LLC, et al. (Notice)
|
812-13609
|
IC-28606
|
Jan. 16, 2009
|
UBS Securities LLC, et al. (Order)
|
812-13609
|
IC-28569
|
Dec. 23, 2008
|
UBS Securities LLC, et al. (Notice and Temporary Order)
|
812-13606
|
IC-29849
|
Oct. 26, 2011
|
MFS Series Trust I, et al. (Order)
|
812-13606
|
IC-29827
|
Sep. 30, 2011
|
MFS Series Trust I, et al. (Notice)
|
812-13605
|
IC-29496
|
Nov. 3, 2010
|
Van Eck Associates Corporation, et al. (Order)
|
812-13605
|
IC-29459
|
Oct. 7, 2010
|
Van Eck Associates Corporation, et al. (Notice)
|
812-13604
|
IC-28813
|
Jul. 7, 2009
|
PowerShares Exchange-Traded Fund Trust, et al. (Order)
|
812-13604
|
IC-28760
|
Jun. 8, 2009
|
PowerShares Exchange-Traded Fund Trust, et al. (Notice)
|
812-13602
|
IC-28715
|
Apr. 28, 2009
|
First American Strategy Funds, Inc., et al. (Order)
|
812-13602
|
IC-28683
|
Mar. 31, 2009
|
First American Strategy Funds, Inc. (Notice)
|
812-13601
|
IC-29571
|
Jan. 24, 2011
|
iShares Trust et al. (Order)
|
812-13601
|
IC-29543
|
Dec. 27, 2010
|
iShares Trust et al. (Notice)
|
812-13600
|
IC-28687
|
Apr. 3, 2009
|
ING USA Annuity and Life Insurance Company, et al. (Order)
|
812-13600
|
IC-28646
|
Mar. 13, 2009
|
ING USA Annuity and Life Insurance Company, et al. (Notice)
|
812-13598
|
IC-28754
|
Jun. 1, 2009
|
Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Order)
|
812-13598
|
IC-28722
|
May 8, 2009
|
Flaherty & Crumrine Preferred Income Fund Incorporated, et al. (Notice)
|
812-13595
|
IC-29177
|
Mar. 22, 2010
|
Millington Securities, Inc., et al. (Order)
|
812-13595
|
IC-29160
|
Feb. 25, 2010
|
Millington Securities, Inc., et al. (Notice)
|
812-13594
|
IC-28753
|
Jun. 1, 2009
|
Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order)
|
812-13594
|
IC-28721
|
May 8, 2009
|
Cohen & Steers Advantage Income Realty Fund, et al. (Notice)
|
812-13588
|
IC-28699
|
Apr. 20, 2009
|
MetLife Insurance Company of Connecticut, et al. (Order)
|
812-13588
|
IC-28678
|
Mar. 25, 2009
|
MetLife Insurance Company of Connecticut, et al. (Notice)
|
812-13586
|
IC-28643
|
Mar. 10, 2009
|
Eaton Vance Enhanced Equity Income Fund, et al. (Order)
|
812-13586
|
IC-28616
|
Feb. 10, 2009
|
Eaton Vance Enhanced Equity Income Fund, et al. (Notice)
|
812-13585
|
IC-28466
|
Oct. 24, 2008
|
Reserve Municipal Money-Market Trust, et al. (Notice of Application and Temporary Order)
|
812-13584
|
IC-28907
|
Sep. 22, 2009
|
Jackson National Life Insurance Company, et al. (Order)
|
812-13584
|
IC-28890
|
Aug. 27, 2009
|
Jackson National Life Insurance Company, et al. (Notice)
|
812-13582
|
IC-29492
|
Oct. 27, 2010
|
Dolby Laboratories, Inc. (Order)
|
812-13582
|
IC-29454
|
Oct. 1, 2010
|
Dolby Laboratories, Inc. (Notice)
|
812-13574-01 |
IC-30087 |
May 30, 2012 |
Destra Capital Investments LLC and Destra Unit Investment Trust (Order)
|
812-13574-01 |
IC-30059 |
May 3, 2012 |
Destra Capital Investments LLC and Destra Unit Investment Trust (Notice)
|
812-13578
|
IC-28844
|
Aug. 11, 2009
|
The Alger Funds, et al. (Order)
|
812-13578
|
IC-28819
|
Jul. 16, 2009
|
The Alger Funds, et al. (Notice)
|
812-13576
|
IC-28465
|
Oct. 24, 2008
|
The Reserve Fund (Notice) (Comments received are available.; See also: Responses to Frequently Asked Questions about The Reserve Fund and Money Market Funds)
|
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)
|
812-13575
|
IC-29842
|
Oct. 25, 2011
|
Destra Capital Investments LLC and Destra Unit Investment Trust (Order)
|
812-13575
|
IC-29825
|
Sep. 29, 2011
|
Destra Capital Investments LLC and Destra Unit Investment Trust (Notice)
|
812-13573
|
IC-28848
|
Aug. 13, 2009
|
Compagnie de Financement Foncier (Order)
|
812-13573
|
IC-28835
|
Jul. 22, 2009
|
Compagnie de Financement Foncier (Notice)
|
812-13572
|
IC-28430
|
Oct. 1, 2008
|
Prudential Financial, Inc., et al. (Order)
|
812-13572
|
IC-28377
|
Sep. 5, 2008
|
Prudential Financial, Inc., et al. (Notice and Temporary Order)
|
812-13571
|
IC-28993
|
Nov. 10, 2009
|
Pacific Investment Management Company LLC (Order)
|
812-13571
|
IC-28949
|
Oct. 20, 2009
|
Pacific Investment Management Company LLC and PIMCO ETF Trust (Notice)
|
812-13570
|
IC-29172
|
Mar. 10, 2010
|
iShares Trust et al. (Order)
|
812-13570
|
IC-29129
|
Feb. 16, 2010
|
iShares Trust et al. (Notice)
|
812-13569
|
IC-28982
|
Oct. 21, 2009
|
Ridgewood Capital Energy Growth Fund, LLC, et al. (Order)
|
812-13569
|
IC-28931
|
Sep. 25, 2009
|
Ridgewood Capital Energy Growth Fund, LLC, et al. (Notice)
|
812-13564
|
IC-28714
|
Apr. 28, 2009
|
Phoenix Life Insurance Company, et al. (Order)
|
812-13564
|
IC-28686
|
Apr. 3, 2009
|
Phoenix Life Insurance Company, et al. (Notice)
|
812-13563
|
IC-28577
|
Jan. 6, 2009
|
TIAA-CREF Life Funds, et al. (Order)
|
812-13563
|
IC-28530
|
Dec. 10, 2008
|
TIAA-CREF Life Funds, et al. (Notice)
|
812-13559
|
IC-29130
|
Feb. 22, 2010
|
ShariahShares Exchange-Traded Fund Trust, et al. (Order)
|
812-13559
|
IC-29127
|
Jan. 29, 2010
|
ShariahShares Exchange-Traded Fund Trust, et al. (Notice)
|
812-13555
|
IC-28752
|
Jun. 1, 2009
|
Pacific Investment Management Company LLC and PIMCO ETF Trust (Order)
|
812-13555
|
IC-28723
|
May 11, 2009
|
Pacific Investment Management Company LLC and PIMCO ETF Trust (Notice)
|
812-13552
|
IC-28615
|
Feb. 10, 2009
|
Calamos Convertible Opportunities and Income Fund, et al. (Order)
|
812-13552
|
IC-28603
|
Jan. 14, 2009
|
Calamos Convertible Opportunities and Income Fund, et al.(Notice)
|
812-13551
|
IC-28770
|
Jun. 23, 2009
|
The Managers Funds, et al. (Order)
|
812-13551
|
IC-28748
|
May 28, 2009
|
The Managers Funds, et al. (Notice)
|
812-13549
|
IC-29124
|
Jan. 26, 2010
|
MetLife, Inc. et al. (Order)
|
812-13549
|
IC-29101
|
Dec. 30, 2009
|
MetLife, Inc., et al. (Notice)
|
812-13548
|
IC-28524
|
Nov. 26, 2008
|
Wells Fargo Funds Trust, et al. (Order)
|
812-13548
|
IC-28482
|
Oct. 31, 2008
|
Wells Fargo Funds Trust, et al. (Notice)
|
812-13545
|
IC-28839
|
Jul. 28, 2009
|
GE Funds, et al. (Order)
|
812-13545
|
IC-28808
|
Jul. 2, 2009
|
GE Funds, et al. (Notice)
|
812-13543
|
IC-28682
|
Mar. 30, 2009
|
Forward Funds, et al. (Order)
|
812-13543
|
IC-28640
|
Mar. 3, 2009
|
Forward Funds, et al. (Notice)
|
812-13541
|
IC-28654
|
Mar. 24, 2009
|
DFA Investment Dimensions Group Inc., et al. (Order)
|
812-13541
|
IC-28637
|
Feb. 26, 2009
|
DFA Investment Dimensions Group Inc., et al. (Notice)
|
812-13540
|
IC-28464
|
Oct. 23, 2008
|
Eaton Vance Floating-Rate Income Trust, et al. (Order)
|
812-13540
|
IC-28431
|
Oct. 2, 2008
|
Eaton Vance Floating-Rate Income Trust, et al. (Notice)
|
812-13539
|
IC-29339
|
Jul. 7, 2010
|
DWS Advisor Funds, et al. (Order)
|
812-13539
|
IC-29295
|
Jun. 9, 2010
|
DWS Advisor Funds, et al. (Notice)
|
812-13538
|
IC-28693
|
Apr. 14, 2009
|
ING Investments, LLC (Order)
|
812-13538
|
IC-28650
|
Mar. 17, 2009
|
ING Investments, LLC, et al. (Corrected Notice)
|
812-13537
|
IC-28374
|
Sep. 3, 2008
|
Advanced Series Trust, et al. (Order)
|
812-13537
|
IC-28355
|
Aug. 8, 2008
|
Advanced Series Trust, et al. (Notice)
|
812-13536
|
IC-28641
|
Mar. 4, 2009
|
Advisors Asset Management, Inc. and Advisors Disciplined Trust (Order)
|
812-13536
|
IC-28613
|
Feb. 6, 2009
|
Advisors Asset Management, Inc. and Advisors Disciplined Trust (Notice)
|
812-13535
|
IC-28935
|
Sep. 30, 2009
|
American Capital, Ltd. (Order)
|
812-13535
|
IC-28895
|
Sep. 3, 2009
|
American Capital, Ltd. (Notice)
|
812-13534
|
IC-29271
|
May 18, 2010
|
Claymore Exchange-Traded Fund Trust 3 et al. (Order)
|
812-13534
|
IC-29256
|
Apr. 23, 2010
|
Claymore Exchange-Traded Fund Trust 3 et al. (Notice)
|
812-13533
|
IC-28469
|
Oct. 27, 2008
|
Forward Funds and Forward Management, LLC (Order)
|
812-13533
|
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)
|
812-13532
|
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)
|
812-13531
|
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)
|
812-13530
|
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)
|
812-13529
|
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)
|
812-13528
|
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)
|
812-13526
|
IC-28375
|
Sep. 3, 2008
|
Phoenix Equity Trust, et al. (Notice)
|
812-13525
|
IC-28716
|
Apr. 28, 2009
|
Bridgeway Capital Management, Inc. (Order)
|
812-13525
|
IC-28685
|
Apr. 1, 2009
|
Bridgeway Capital Management, Inc. (Notice)
|
812-13523
|
IC-28614
|
Feb. 9, 2009
|
Allstate Financial Investment Trust, et al. (Order)
|
812-13523
|
IC-28581
|
Jan. 12, 2009
|
Allstate Financial Investment Trust, et al. (Notice)
|
812-13521
|
IC-28445
|
Oct. 21, 2008
|
Delaware Management Business Trust, et al. (Order)
|
812-13521
|
IC-28405
|
Sep. 24, 2008
|
Delaware Management Business Trust, et al. (Notice)
|
812-13520
|
IC-28294
|
May 30, 2008
|
Harris & Harris Group, Inc. (Order)
|
812-13519
|
IC-28694
|
Apr. 14, 2009
|
Massachusetts Financial Services Company, et al. (Order)
|
812-13519
|
IC-28649
|
Mar. 17, 2009
|
Massachusetts Financial Services Company, et al. (Notice)
|
812-13517
|
IC-28433
|
Oct. 3, 2008
|
Global X Funds and Global X Management Company LLC (Order)
|
812-13517
|
IC-28378
|
Sep. 10, 2008
|
Global X Funds and Global X Management Company LLC (Notice)
|
812-13516-01
|
IC-28944
|
Oct. 8, 2009
|
Grail Advisors, LLC and Grail Advisors ETF Trust (Order)
|
812-13516-01
|
IC-28900
|
Sep. 14, 2009
|
Grail Advisors LLC and Grail Advisors ETF Trust (Notice)
|
812-13515
|
IC-28651
|
Mar. 18, 2009
|
Mainstay VP Series Fund, et al. (Order)
|
812-13515
|
IC-28619
|
Feb. 20, 2009
|
Mainstay VP Series Fund, Inc. (Notice)
|
812-13514
|
IC-28439
|
Oct. 15, 2008
|
Trust for Professional Managers, et al. (Order)
|
812-13514
|
IC-28382
|
Sep. 19, 2008
|
Trust for Professional Managers, et al. (Notice)
|
812-13513
|
IC-28356
|
Aug. 12, 2008
|
PIMCO Funds, et al. (Order)
|
812-13513
|
IC-28331
|
Jul. 17, 2008
|
PIMCO Funds, et al. (Notice)
|
812-13512 |
IC-30172 |
Aug. 20, 2012 |
Cash Account Trust, et al. (Order)
|
812-13512 |
IC-30151 |
Jul. 25, 2012 |
Cash Account Trust, et al. (Notice)
|
812-13508
|
IC-28267
|
May 20, 2008
|
Thrivent Mutual Funds, et al. (Order)
|
812-13508
|
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)
|
812-13507
|
IC-28349
|
Jul. 31, 2008
|
Van Eck Associates Corporation, et al. (Notice)
|
812-13506
|
IC-28440
|
Oct. 17, 2008
|
Van Kampen Retirement Strategy Trust, et al. (Order)
|
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)
|
812-13505
|
IC-28376
|
Sep. 5, 2008
|
Fidelity Aberdeen Street Trust, et al. (Notice)
|
812-13504
|
IC-28902
|
Sep. 17, 2009
|
OOK, Inc., et al. (Order)
|
812-13504
|
IC-28851
|
Aug. 25, 2009
|
OOK, Inc., et al. (Notice)
|
812-13503
|
IC-28846
|
Aug. 13, 2009
|
Pax World Funds Trust II, et al. (Order)
|
812-13503
|
IC-28834
|
Jul. 22, 2009
|
Pax World Funds Trust II, et al. (Notice)
|
812-13500
|
IC-28257
|
Apr. 28, 2008
|
Franklin California Tax-Free Income Trust, et al. (Order)
|
812-13500
|
IC-28229
|
Mar. 31, 2008
|
Franklin California Tax-Free Income Fund, et al. (Notice)
|
812-13499
|
IC-28608
|
Jan. 26, 2009
|
Franklin Templeton Fund Allocator Series, et al. (Order)
|
812-13499
|
IC-28574
|
Dec. 29, 2008
|
Franklin Templeton Fund Allocator Series, et al. (Notice)
|
812-13497
|
IC-28485
|
Nov. 17, 2008
|
The Zweig Total Return Fund, Inc., et al. (Order)
|
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)
|
812-13496
|
IC-28260
|
Apr. 30, 2008
|
The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)
|
812-13495
|
IC-28815
|
Jul. 8, 2009
|
Nationwide Life Insurance Company, et al. (Order)
|
812-13495
|
IC-28767
|
Jun. 12, 2009
|
Nationwide Life Insurance Company, et al. (Notice)
|
812-13493
|
IC-30010
|
Mar. 27, 2012
|
American Capital, Ltd., et al. (Order)
|
812-13493
|
IC-29973
|
Mar. 1, 2012
|
American Capital, Ltd., et al. (Notice)
|
812-13493
|
IC-29973
|
Mar. 1, 2012
|
American Capital, Ltd., et al. (Notice)
|
812-13492
|
IC-28575
|
Dec. 30, 2008
|
RiverSource Life Insurance Company, et al. (Order)
|
812-13492
|
IC-28527
|
Dec. 4, 2008
|
RiverSource Life Insurance Company, et al. (Notice)
|
812-13491
|
IC-28467
|
Oct. 27, 2008
|
Invesco PowerShares Capital Management LLC, et al. (Order)
|
812-13491
|
IC-28411
|
Sep. 29, 2008
|
Invesco PowerShares Capital Management LLC, et al. (Notice)
|
812-13488
|
IC-28822
|
Jul. 20, 2009
|
AdvisorShares Investments, LLC, et al. (Order)
|
812-13488
|
IC-28568
|
Dec. 23, 2008
|
AdvisorShares Investments, LLC and AdvisorShares Trust (Notice) (Comments received are available.)
|
812-13487
|
IC-29524
|
Dec. 13, 2010
|
SSgA Funds Management, Inc., et al. (Order)
|
812-13487
|
IC-29499
|
Nov. 17, 2010
|
SSgA Funds Management, Inc., et al. (Notice)
|
812-13485
|
IC-28173
|
Feb. 27, 2008
|
Barclays Global Fund Advisors, et al. (Order)
|
812-13485
|
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)
|
812-13483
|
IC-28379
|
Sep. 12, 2008
|
Rafferty Asset Management, LLC, et al. (Notice)
|
812-13482
|
IC-29063
|
Nov. 24, 2009
|
MFS Government Markets Income Trust, et al. (Order)
|
812-13482
|
IC-28987
|
Oct. 29, 2009
|
MFS Government Markets Income Trust, et al. (Notice)
|
812-13481
|
IC-28202
|
Mar. 25, 2008
|
Eaton Vance Mutual Funds Trust, et al. (Order)
|
812-13481
|
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)
|
812-13480
|
IC-28409
|
Sep. 29, 2008
|
Dodge & Cox Funds and Dodge & Cox Incorporated (Notice)
|
812-13478
|
IC-29918
|
Jan. 17, 2012
|
Highland Capital Management, L.P. et al. (Order)
|
812-13478
|
IC-29918
|
Jan. 17, 2012
|
Highland Capital Management, L.P. et al. (Order)
|
812-13478
|
IC-29890
|
Dec. 19, 2011
|
Highland Capital Management, L.P., et al. (Notice)
|
812-13477
|
IC-28468
|
Oct. 27, 2008
|
First Trust Advisors L.P., et al. (Order)
|
812-13477
|
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)
|
812-13476
|
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)
|
812-13475
|
IC-28284
|
May 22, 2008
|
Matrix Capital Group, Inc., et al. (Notice)
|
812-13474
|
IC-28521
|
Nov. 25, 2008
|
Allianz Life Insurance Company of North America, et al. (Order)
|
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)
|
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)
|
812-13470
|
IC-28147
|
Feb. 6, 2008
|
Wisdom Tree Trust, et al. (Notice)
|
812-13467
|
IC-28167
|
Feb. 25, 2008
|
Schroder Series Trust, et al. (Order)
|
812-13467
|
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)
|
812-13466
|
IC-28256
|
Apr. 28, 2008
|
ING USA Annuity and Life Insurance Company, et al. (Notice)
|
812-13465
|
IC-29457
|
Oct. 5, 2010
|
Tri-Continental Corporation, et al. (Order)
|
812-13465
|
IC-29415
|
Sep. 10, 2010
|
Tri-Continental Corporation, et al. (Notice)
|
812-13464
|
IC-28121
|
Jan. 16, 2008
|
Millennium India Acquisition Company, Inc. (Order)
|
812-13464
|
IC-28083
|
Dec. 21, 2007
|
Millennium India Acquisition Company Inc. (Notice)
|
812-13458
|
IC-28471
|
Oct. 27, 2008
|
WisdomTree Asset Management, Inc. and WisdomTree Trust (Order)
|
812-13458
|
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)
|
812-13457
|
IC-28321
|
Jun. 26, 2008
|
Minnesota Life Insurance Company, et al. (Notice)
|
812-13456
|
IC-28366
|
Aug. 26, 2008
|
Goldman Sachs Trust, et al. (Order)
|
812-13456
|
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)
|
812-13455
|
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)
|
812-13454
|
IC-28332
|
Jul. 17, 2008
|
The Mexico Fund, et al. (Notice)
|
812-13453
|
IC-28122
|
Jan. 16, 2008
|
The UBS Funds, et al. (Order)
|
812-13453
|
IC-28080
|
Dec. 19, 2007
|
The UBS Funds, et al. (Notice)
|
812–13452
|
IC-28234
|
Apr. 3, 2008
|
Jefferson National Life Insurance Company, et al. (Order)
|
812-13452
|
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)
|
812-13451
|
IC-28369
|
Aug. 28, 2008
|
Allianz Life Insurance Company of North America, et al. (Notice)
|
812-13450
|
IC-28117
|
Dec. 27, 2007
|
Unified Series Trust, et al. (Order)
|
812-13450
|
IC-28071
|
Nov. 30, 2007
|
Unified Series Trust and Envestnet Asset Management, Inc. (Notice)
|
812-13449
|
IC-28814
|
Jul. 7, 2009
|
X Exchange-Traded Funds, Inc., et al. (Order)
|
812-13449
|
IC-28766
|
Jun. 11, 2009
|
X Exchange-Traded Funds, Inc., et al. (Notice)
|
812-13447
|
IC-28196
|
Mar. 18, 2008
|
Triangle Capital Corporation (Order)
|
812-13447
|
IC-28165
|
Feb. 20, 2008
|
Triangle Capital Corporation (Notice)
|
812-13446
|
IC-28233
|
Apr. 1, 2008
|
Prudential Annuities Life Assurance Corporation, et al. (Order)
|
812-13446
|
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)
|
812-13445
|
IC-28197
|
Mar. 19, 2008
|
American Family Life Insurance Company, et al. (Notice)
|
812-13444
|
IC-28195
|
Mar. 17, 2008
|
NETS Trust (Order)
|
812-13444
|
IC-28166
|
Feb. 25, 2008
|
NETS Trust, et al. (Notice)
|
812-13441
|
IC-28653
|
Mar. 20, 2009
|
IndexIQ ETF Trust, et al. (Order)
|
812-13441
|
IC-28638
|
Feb. 27, 2009
|
IndexIQ ETF Trust, et al. (Notice)
|
812-13440
|
IC-28604
|
Jan. 16, 2009
|
Grail Advisors, LLC and Grail Advisors ETF Trust (formerly known as Grail Advisors' Alpha ETF Trust) (Order)
|
812-13440
|
IC-28571
|
Dec. 23, 2008
|
Grail Advisors, LLC and Grail Advisors' Alpha ETF Trust (Notice)
|
812-13439
|
IC-28236
|
Apr. 16, 2008
|
MetLife Insurance Company of Connecticut, et al. (Order)
|
812-13439
|
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)
|
812-13438
|
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)
|
812-13437
|
IC-28180
|
Mar. 4, 2008
|
Pruco Life Insurance Company, et al. (Notice)
|
812-13436
|
IC-28169
|
Feb. 26, 2008
|
MLIG Variable Insurance Trust (Order)
|
812-13436
|
IC-28139
|
Jan. 31, 2008
|
MLIG Variable Insurance Trust and Roszel Advisors, LLC (Notice)
|
812-13432-02
|
IC-28995
|
Nov. 10, 2009
|
Pioneer Diversified High Income Trust, et al. (Order)
|
812-13432-02
|
IC-28947
|
Oct. 16, 2009
|
Pioneer Diversified High Income Trust, et al. (Notice)
|
812-13430
|
IC-28262
|
May 1, 2008
|
ALPS Advisers Inc., et al. (Order)
|
812-13430
|
IC-28235
|
Apr. 9, 2008
|
ALPS Advisers, Inc. (Notice)
|
812-13428
|
IC-28474
|
Oct. 28, 2008
|
MCG Capital Corporation, et al. (Order)
|
812-13428
|
IC-28427
|
Sep. 30, 2008
|
MCG Capital Corporation, et al. (Notice)
|
812-13427
|
IC-28182
|
Mar. 4, 2008
|
Pioneer Bond Fund, et al. (Order)
|
812-13427
|
IC-28144
|
Feb. 5, 2008
|
Pioneer Bond Fund, et al. (Notice)
|
812-13426
|
IC-28021
|
Oct. 24, 2007
|
Van Eck Associates Corporation, et al. (Order)
|
812-13426
|
IC-28007
|
Sep. 28, 2007
|
Van Eck Associates Corporation, et al. (Notice)
|
812-13425
|
IC-28367
|
Aug. 26, 2008
|
Javelin Exchange-Traded Trust, et al. (Order)
|
812-13425
|
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)
|
812-13424
|
IC-28119
|
Jan. 16, 2008
|
Northern Institutional Funds (Notice)
|
812-13423
|
IC-28232
|
Apr. 1, 2008
|
CUNA Mutual Insurance Society, et al. (Order)
|
812-13423
|
IC-28181
|
Mar. 4, 2008
|
CUNA Mutual Insurance Society, et al. (Notice)
|
812-13421
|
IC-28837
|
Jul. 27, 2009
|
Federated Core Trust III and Federated Investment Management Company (Order)
|
812-13421
|
IC-28806
|
Jun. 30, 2009
|
Federated Core Trust III, et al. (Notice)
|
812-13419
|
IC-28038
|
Oct. 29, 2007
|
JNF Advisors, Inc. and Northern Lights Variable Trust (Order)
|
812-13419
|
IC-28010
|
Oct. 2, 2007
|
JNF Advisors, Inc. and Northern Lights Variable Trust (Notice)
|
812-13418
|
IC-28230
|
Apr. 1, 2008
|
JPMorgan Trust I, et al. (Order)
|
812-13418
|
IC-28183
|
Mar. 4, 2008
|
JPMorgan Trust I, et al. (Notice)
|
812-13417
|
IC-28015
|
Oct. 17, 2007
|
WisdomTree Investments, Inc., et al. (Order)
|
812-13417
|
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)
|
812-13416
|
IC-28039
|
Oct. 30, 2007
|
Rafferty Asset Management, et al. (Notice)
|
812-13414
|
IC-28081
|
Dec. 21, 2007
|
John Hancock Life Insurance Company (U.S.A.), et al. (Order)
|
812-13414
|
IC-28065
|
Nov. 26, 2007
|
John Hancock Life Insurance Company (U.S.A.), et al. (Notice)
|
812-13413
|
IC-28016
|
Oct. 22, 2007
|
MMA Praxis Mutual Funds et al. (Order)
|
812-13413
|
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)
|
812-13412
|
IC-28009
|
Sep. 28, 2007
|
Vanguard STAR Funds, et al. (Notice)
|
812-13411
|
IC-28120
|
Jan. 16, 2008
|
Main Street Capital Corporation, et al. (Order)
|
812-13411
|
IC-28082
|
Dec. 21, 2007
|
Main Street Capital Corporation, et al. (Notice)
|
812-13408
|
IC-27995
|
Sep. 26, 2007
|
Trust for Professional Managers, et al. (Order)
|
812-13408
|
IC-27964
|
Aug. 31, 2007
|
Trust for Professional Managers, Inc., et al. (Notice)
|
812-13405
|
IC-28910
|
Sep. 22, 2009
|
Arrow Investment Advisers, LLC, et al. (Order)
|
812-13405
|
IC-28852
|
Aug. 25, 2009
|
Arrow Investment Advisers, LLC, et al. (Notice)
|
812-13402
|
IC-28607
|
Jan. 22, 2009
|
Sun Life Assurance Company of Canada (U.S.), et al. (Order)
|
812-13402
|
IC-28570
|
Dec. 23, 2008
|
Sun Life Assurance Company of Canada (U.S.), et al. (Notice)
|
812-13401
|
IC-28342
|
Jul. 25, 2008
|
The Penn Mutual Life Insurance Company, et al. (Order)
|
812-13401
|
IC-28328
|
Jul. 2, 2008
|
The Penn Mutual Life Insurance Company, et al. (Notice)
|
812-13400
|
IC-28724
|
May 12, 2009
|
ProShares Trust, et al. (Order)
|
812-13400
|
IC-28696
|
Apr. 14, 2009
|
ProShares Trust, et al. (Notice)
|
812-13399
|
IC-27888
|
Jul. 24, 2007
|
RealNetworks, Inc. (Order)
|
812-13399
|
IC-27877
|
Jun. 28, 2007
|
RealNetworks, Inc. (Notice)
|
812-13398
|
IC-28020
|
Oct. 24, 2007
|
American Capital Strategies, Ltd. (Order)
|
812-13398
|
IC-28001
|
Sep. 27, 2007
|
American Capital Strategies, Ltd. (Notice)
|
812-13397
|
IC-28611
|
Feb. 3, 2009
|
Macquarie Global Infrastructure Total Return Fund Inc., et al. (Order)
|
812-13397
|
IC-28579
|
Jan. 6, 2009
|
Macquarie Global Infrastructure Total Return Fund, Inc., et al. (Notice)
|
812-13396
|
IC-28019
|
Oct. 23, 2007
|
Claymore Exchange-Traded Fund Trust, et al. (Order)
|
812-13396
|
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)
|
812-13394
|
IC-27978
|
Sep. 24, 2007
|
Citi Investor Services, Inc. f/n/a The BISYS Group, Inc., et al. (Notice and Order)
|
812-13394
|
IC-27915
|
Jul. 27, 2007
|
The BISYS Group Inc., et al. (Order)
|
812-13392
|
IC-28472
|
Oct. 28, 2008
|
H&Q Healthcare Investors, et al. (Order)
|
812-13392
|
IC-28426
|
Sep. 30, 2008
|
H&Q Healthcare Investors, et al. (Notice)
|
812-13391
|
IC-27882
|
Jul. 5, 2007
|
Barclays Global Fund Advisors (Order)
|
812-13391
|
IC-27851
|
Jun. 6, 2007
|
Barclays Global Fund Advisors (Notice)
|
812-13390
|
IC-28018
|
Oct. 23, 2007
|
Rydex ETF Trust, et al. (Order)
|
812-13390
|
IC-28000
|
Sep. 27, 2007
|
Rydex ETF Trust, et al. (Notice)
|
812-13388
|
IC-28011
|
Oct. 10, 2007
|
Hercules Technology Growth Capital, Inc. (Order)
|
812-13388
|
IC-27968
|
Sep. 12, 2007
|
Hercules Technology Growth Capital, Inc. (Notice)
|
812-13387
|
IC-27981
|
Sep. 25, 2007
|
Rydex ETF Trust, et al. (Order)
|
812-13387
|
IC-27958
|
Aug. 28, 2007
|
Rydex ETF Trust, et al. (Notice)
|
812-13386
|
IC-28171
|
Feb. 27, 2008
|
PowerShares Capital Management LLC, et al. (Order)
|
812-13386
|
IC-28140
|
Feb. 1, 2008
|
PowerShares Capital Management LLC, et al. (Notice)
|
812-13383
|
IC-27954
|
Aug. 27, 2007
|
DWS Advisor Funds, et al. (Order)
|
812-13383
|
IC-27919
|
Jul. 31, 2007
|
DWS Advisor Funds, et al. (Notice)
|
812-13382
|
IC-28014
|
Oct. 17, 2007
|
ProShares Trust, et al. (Order)
|
812-13382
|
IC-27975
|
Sep. 21, 2007
|
ProShares Trust, et al. (Notice)
|
812-13381
|
IC-28412
|
Sep. 29, 2008
|
PIMCO Municipal Income Fund, et al. (Order)
|
812-13381
|
IC-28370
|
Aug. 29, 2008
|
PIMCO Municipal Income Fund, et al. (Notice)
|
812-13380
|
IC-28044
|
Nov. 7, 2007
|
MetLife Insurance Company of Connecticut, et al. (Order)
|
812-13380
|
IC-28013
|
Oct. 12, 2007
|
MetLife Insurance Company of Connecticut, et al. (Notice)
|
812-13377
|
IC-28368
|
Aug. 26, 2008
|
DNP Select Income Fund Inc. and Duff & Phelps Investment Management Co. (Order)
|
812-13377
|
IC-28348
|
Jul. 31, 2008
|
DNP Select Income Fund Inc., et al. (Notice)
|
812-13376
|
IC-28066
|
Nov. 27, 2007
|
FocusShares Trust F/N/A MyShares Trust, et al. (Order)
|
812-13376
|
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)
|
812-13375
|
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)
|
812-13373
|
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)
|
812-13372
|
IC-27963
|
Aug. 31, 2007
|
SPA ETF Trust and SPA ETF Inc. (Notice)
|
812-13368
|
IC-28239
|
Apr. 23, 2008
|
Kohlberg Capital Corporation (Order)
|
812-13368
|
IC-28228
|
Mar. 28, 2008
|
Kohlberg Capital Corporation (Notice)
|
812-13367
|
IC-28199
|
Mar. 24, 2008
|
Kohlberg Capital Corporation (Order)
|
812-13367
|
IC-28168
|
Feb. 25, 2008
|
Kohlberg Capital Corporation (Notice)
|
812-13365
|
IC-27979
|
Sep. 25, 2007
|
Minnesota Life Insurance Company, et. al. (Order)
|
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)
|
812-13364
|
IC-27936
|
Aug. 23, 2007
|
Allianz RCM Global EcoTrends Fund, et al. (Notice)
|
812-13363
|
IC-28151
|
Feb. 13, 2008
|
The TIGERS Revenue Trust and VTL Associates, LLC (Order)
|
812-13363
|
IC-28123
|
Jan. 18, 2008
|
The TIGERS Revenue Trust and VTL Associates, LLC (Notice)
|
812-13361
|
IC-27885
|
Jul. 16, 2007
|
ING Life Insurance and Annuity Company, et al. (Order)
|
812-13361
|
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)
|
812-13359
|
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)
|
812-13358
|
IC-27916
|
Jul. 27, 2007
|
HealthShares, Inc. (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)
|
812-13357-01
|
IC-28372
|
Aug. 29, 2008
|
John Hancock Income Securities Trust, et al. (Notice)
|
812-13356
|
IC-27839
|
May 25, 2007
|
SSgA Funds Management, Inc., et al. (Order)
|
812-13356
|
IC-27809
|
Apr. 30, 2007
|
SSgA Funds Management, Inc., et al. (Notice)
|
812-13355
|
IC-28437
|
Oct. 14, 2008
|
Triangle Capital Corporation, et al. (Order)
|
812-13355
|
IC-28383
|
Sep. 19, 2008
|
Triangle Capital Corporation, et al. (Notice)
|
812-13353
|
IC-27959
|
Aug. 29, 2007
|
Sentinel Variable Products Trust, et al. (Order)
|
812-13353
|
IC-27921
|
Aug. 3, 2007
|
Sentinel Variable Products Trust and Sentinel Asset Management, Inc. (Notice)
|
812-13352
|
IC-28172
|
Feb. 27, 2008
|
Bear Stearns Asset Management, Inc., et al. (Order)
|
812-13352
|
IC-28143
|
Feb. 5, 2008
|
Bear Stearns Asset Management, Inc., et al. (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)
|
812-13350
|
IC-27826
|
May 23, 2007
|
First Investors Equity Funds, et al. (Notice)
|
812-13348
|
IC-28200
|
Mar. 25, 2008
|
Patriot Capital Funding, Inc. (Order)
|
812-13348
|
IC-28176
|
Feb. 28, 2008
|
Patriot Capital Funding, Inc. (Notice)
|
812-13347
|
IC-27810
|
Apr. 30, 2007
|
MetLife Insurance Company of Connecticut, et al. (Order)
|
812-13347
|
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)
|
812-13346
|
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)
|
812-13345
|
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)
|
812-13344
|
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)
|
812-13343
|
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)
|
812-13342
|
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)
|
812-13341
|
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)
|
812-13340
|
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)
|
812-13339
|
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)
|
812-13338
|
IC-27852
|
Jun. 18, 2007
|
Principal Variable Contracts Fund, Inc., et al. (Notice)
|
812-13337
|
IC-27754
|
Mar. 20, 2007
|
Rydex ETF Trust, Rydex Distributors, Inc. and PADCO Advisors II, Inc. (Order)
|
812-13337
|
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)
|
812-13336
|
IC-27750
|
Mar. 9, 2007
|
Vanguard Bond Index Funds, et al. (Notice)
|
812-13335
|
IC-27841
|
May 25, 2007
|
PowerShares Exchange-Traded Fund Trust, et al. (Order)
|
812-13335
|
IC-27811
|
Apr. 30, 2007
|
PowerShares Exchange-Traded Fund Trust, et al. (Notice)
|
812-13334
|
IC-27825
|
May 22, 2007
|
XTF Advisors Trust, et al. (Order)
|
812-13334
|
IC-27783
|
Apr. 25, 2007
|
XTF Advisors Trust, et al. (Notice)
|
812-13333
|
IC-27926
|
Aug. 9, 2007
|
Delaware VIP Trust, et al. (Order)
|
812-13333
|
IC-27886
|
Jul. 16, 2007
|
Delaware VIP Trust et al. (Notice)
|
812-13332
|
IC-27874
|
Jun. 26, 2007
|
Ameristock ETF Trust, et al. (Order)
|
812-13332
|
IC-27847
|
May 30, 2007
|
Ameristock ETF Trust, et al. (Notice)
|
812-13329 |
IC-27609 |
Dec. 22, 2006 |
ProShares 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)
|
812-13327
|
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)
|
812-13325
|
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)
|
812-13321
|
IC-27677
|
Jan. 24, 2007
|
Integrity Life Insurance Company, et al. (Notice)
|
812-13320 |
IC-27603 |
Dec. 19, 2006 |
Jackson National Life Insurance Company, et al. (Notice)
|
812-13319
|
IC-27690
|
Jan. 30, 2007
|
New River Funds and New River Advisers LLC (Order)
|
812-13320
|
IC-27660
|
Jan. 16, 2007
|
Jackson National Life Insurance Company, et al. (Order)
|
812-13319
|
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)
|
812-13318
|
IC-27752
|
Mar. 19, 2007
|
John Hancock Life Insurance Company, et al. (Notice)
|
812-13313
|
IC-30027
|
Apr. 3, 2012
|
Harris & Harris Group, Inc. (Order)
|
812-13313
|
IC-29976
|
Mar. 7, 2012
|
Harris & Harris Group, Inc. (Notice)
|
812-13313
|
IC-29976
|
Mar. 7, 2012
|
Harris & Harris Group, Inc. (Notice)
|
812-13312
|
IC-27838
|
May 23, 2007
|
Hercules Technology Growth Capital, Inc. (Order)
|
812-13312
|
IC-27815
|
May 2, 2007
|
Hercules Technology Growth Capital, Inc. (Notice)
|
812-13308
|
IC-27702
|
Feb. 22, 2007
|
American Capital Strategies, Ltd. (Order)
|
812-13308
|
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)
|
812-13304
|
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)
|
812-13295
|
IC-27749
|
Mar. 8, 2007
|
The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)
|
812-13294 |
IC-27592 |
Dec. 7, 2006 |
The Mexico Equity and Income Fund, 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)
|
812-13290
|
IC-27917
|
Jul. 30, 2007
|
Medallion Financial Corp. (Notice)
|
812-13288
|
IC-27871
|
Jun. 21, 2007
|
HealthShares™, Inc. and XShares Advisors LLC (Order)
|
812-13288
|
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)
|
812-13287
|
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)
|
812-13286
|
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)
|
812-13282 |
IC-27651 |
Dec. 29, 2006 |
Sun Life Assurance Company of Canada (U.S.), et al. (Notice)
|
812-13279
|
IC-27691
|
Jan. 30, 2007
|
Nexbank Securities, Inc. and Nexbank Series (Order)
|
812-13279
|
IC-27655
|
Jan. 4, 2007
|
NexBank Securities, Inc. and NexBank Series (Notice)
|
812-13278 |
IC-27602 |
Dec. 18, 2006 |
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)
|
812-13272
|
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)
|
812-13268
|
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)
|
812-13267
|
IC-27933
|
Aug. 22, 2007
|
Hartford Life Insurance Company, et al. (Notice)
|
812-13265 |
IC-27605 |
Dec. 20, 2006 |
Forum Funds, 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)
|
812-13262
|
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)
|
812-13259
|
IC-27931
|
Aug. 20, 2007
|
American International Group, Inc., et al. (Notice)
|
812-13259
|
IC-27700
|
Feb. 16, 2007
|
American International Group, Inc. et al. (Order)
|
812-13257 |
IC-27595 |
Dec. 11, 2006 |
The MainStay Funds, et al. (Notice)
|
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)
|
812-13255
|
IC-27804
|
Apr. 26, 2007
|
Hill Physicians Medical Group, Inc. (Notice)
|
812-13251
|
IC-27956
|
Aug. 28, 2007
|
AARP Funds, et al. (Order)
|
812-13251
|
IC-27918
|
Jul. 31, 2007
|
AARP Funds, et al. (Notice)
|
812-13249
|
IC-27814
|
May 1, 2007
|
Forward Funds (Order)
|
812-13249
|
IC-27777
|
Apr. 5, 2007
|
Forward Funds, et al. (Notice)
|
812-13246
|
IC-28264
|
May 7, 2008
|
U.S. Bank National Association FAF Advisors, Inc. (Order)
|
812-13246
|
IC-28238
|
Apr. 16, 2008
|
U.S. Bank National Association, et al. (Notice)
|
812-13239
|
IC-28612
|
Feb. 3, 2009
|
SunAmerica Focused Alpha Growth Fund, Inc., et al. (Order)
|
812-13239
|
IC-28578
|
Jan. 6, 2009
|
SunAmerica Focused Alpha Growth Fund, Inc., et al. (Notice)
|
812-13238
|
IC-27776
|
Apr. 5, 2007
|
Hercules Technology Growth Capital, Inc. et al. (Order)
|
812-13238
|
IC-27748
|
Mar. 7, 2007
|
Hercules Technology Growth Capital, Inc., et al. (Notice)
|
812-13235
|
IC-28719
|
May 5, 2009
|
BlackRock International Growth and Income Trust et al. (Order)
|
812-13235
|
IC-28690
|
Apr. 7, 2009
|
Blackrock International Growth and Income Trust, 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)
|
812-13234
|
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)
|
812-13232
|
IC-28008
|
Sep. 28, 2007
|
Fidelity Rutland Square Trust, et al. (Notice)
|
812-13224 |
IC-27610 |
Dec. 22, 2006 |
Ziegler Exchange Traded 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)
|
812-13221
|
IC-28908
|
Sep. 22, 2009
|
Highland Capital Management, L.P. (Order)
|
812-13221
|
IC-28888
|
Aug. 27, 2009
|
Highland Capital Management L.P., et al. (Notice)
|
812-13218
|
IC-29344
|
Jul. 21, 2010
|
Lazard Global Total Return and Income Fund, Inc., et al. (Order)
|
812-13218
|
IC-29331
|
Jun. 24, 2010
|
Lazard Global Total Return and Income Fund, Inc., et al. (Notice)
|
812-13213
|
IC-28150
|
Feb. 13, 2008
|
Morgan Stanley Investment Management Inc., et al. (Order)
|
812-13213
|
IC-28125
|
Jan. 18, 2008
|
Morgan Stanley Investment Management Inc., et al. (Notice)
|
812-13212 |
IC-27644 |
Dec. 28, 2006 |
Deutsche Bank Trust Company Americas (Notice)
|
812-13212
|
IC-27673
|
Jan. 23, 2007
|
Deutsche Bank Trust Company Americas (Order)
|
812-13208 |
IC-27608 |
Dec. 21, 2006 |
Barclays Global Fund Advisors, et al. (Notice)
|
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)
|
812-13201
|
IC-27668
|
Jan. 19, 2007
|
Hercules Technology Growth Capital, Inc. (Notice)
|
812-13200
|
IC-28843
|
Aug. 11, 2009
|
Reaves Utility Income Fund, et al. (Order)
|
812-13200
|
IC-28818
|
Jul. 14, 2009
|
Reaves Utility Income Fund, et al. (Notice)
|
812-13186
|
IC-27822
|
May 22, 2007
|
HSBC Securities (USA) Inc. (Order)
|
812-13186
|
IC-27805
|
Apr. 26, 2007
|
HSBC Securities (USA) Inc. (Notice)
|
812-13161-01
|
IC-29189
|
Mar. 24, 2010
|
First Trust/Aberdeen Global Opportunity Income Fund, et al. (Order)
|
812-13161-01
|
IC-29163
|
Feb. 26, 2010
|
First Trust/Aberdeen Global Opportunity Income Fund, et al. (Notice)
|
812-13152
|
IC-28358
|
Aug. 19, 2008
|
Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Order)
|
812-13152
|
IC-28341
|
Jul. 24, 2008
|
Cohen & Steers Advantage Income Realty Fund, Inc., et al. (Notice)
|
812-13143
|
IC-29750
|
Aug. 8, 2011
|
HighMark Funds and HighMark Capital Management, Inc. (Order)
|
812-13143
|
IC-29723
|
Jul. 12, 2011
|
HighMark Funds and HighMark Capital Management, Inc. (Notice)
|
812-13133 |
IC-27598 |
Dec. 13, 2006 |
Members Mutual Funds, et al. (Notice)
|
812-13133
|
IC-27657
|
Jan. 9, 2007
|
Members Mutual Funds, et al. LLC (Order)
|
812-13105
|
IC-28904
|
Sep. 21, 2009
|
Clough Global Allocation Fund, et al. (Order)
|
812-13105
|
IC-28850
|
Aug. 24, 2009
|
Clough Global Allocation Fund, et al. (Notice)
|
812-13086-05
|
IC-28994
|
Nov. 10, 2009
|
Neuberger Berman Management LLC, et al. (Order)
|
812-13086-05
|
IC-28945
|
Oct. 14, 2009
|
Neuberger Berman Management LLC, et al. (Notice)
|
812-13077
|
IC-28486
|
Nov. 17, 2008
|
Boulder Total Return Fund, Inc., et al. (Order)
|
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)
|
812-13074
|
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)
|
812-13063
|
IC-28435
|
Oct. 7, 2008
|
Calamos Convertible Opportunities and Income Fund, et al. (Notice)
|
812-13058-06
|
IC-29213
|
Apr. 20, 2010
|
RMR Real Estate Income Fund, et al. (Order)
|
812-13058-06
|
IC-29178
|
Mar. 23, 2010
|
RMR Real Estate Income Fund, et al. (Notice)
|
812-13030
|
IC-28985
|
Oct. 27, 2009
|
Evergreen Income Advantage Fund, et al. (Order)
|
812-13030
|
IC-28938
|
Sep. 30, 2009
|
Evergreen Income Advantage Fund, et al. (Notice)
|
812-13029 |
IC-27599 |
Dec. 14, 2006 |
ProFunds, et al. (Notice)
|
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)
|
812-12984
|
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)
|
812-12973
|
IC-27920
|
Aug. 1, 2007
|
Lehman Brothers Asset Management LLC, et al. (Notice)
|
812-12903
|
IC-28573
|
Dec. 29, 2008
|
Banc of America Funds Trust, et al. (Order)
|
812-12903
|
IC-28526
|
Dec. 1, 2008
|
Banc of America Funds Trust, et al. (Notice)
|
http://www.sec.gov/rules/icreleases-file.shtml
|