Investment Company Act Notices and Orders

This page lists notices and orders of applications filed under the Investment Company Act (ICA) issued after January 1, 2007. Copies of the applications may be obtained for a fee at the Commission's Public Reference Branch. For other materials related to the Commission's oversight and regulation of the investment management industry, investment companies (including mutual funds), and investment advisers, see the Division of Investment Management.

See also Investment Company Act Deregistration Notices and Orders.

Chronological List
Second Quarter | First Quarter

ICA File Number List for 2008

Additional Archives

2008 | 2007

Chronological List

Release No.	Date	Details
Third Quarter
812-13401
IC-28328	Jul. 2, 2008	The Penn Mutual Life Insurance Company, et al. (Notice)
Second Quarter
812-13457
IC-28321	Jun. 26, 2008	Minnesota Life Insurance Company, et al. (Notice)
813-00369
IC-28301	Jun. 18, 2008	American International Group, Inc., et al. (Order)
812-13475
IC-28300	Jun. 17, 2008	Matrix Capital Group, Inc., et al. (Order)
812-13455
IC-28297	Jun. 6, 2008	Prudential Retirement Insurance and Annuity Company, et al. (Order)
812-13438
IC-28295	Jun. 3, 2008	Main Street Capital Corporation, et al. (Order)
812-13520
IC-28294	May 30, 2008	Harris & Harris Group, Inc. (Order)
813-362
IC-28289	May 28, 2008	The Bessemer Group, Inc., et al. (Order)
812-13496
IC-28288	May 28, 2008	The RBB Fund, Inc. and Abundance Technologies, Inc. (Order)
812-13476
IC-28287	May 28, 2008	Fidelity Rutland Square Trust, et al. (Order)
813-369
IC-28286	May 23, 2008	American International Group, Inc., et al (Notice)
812-13466
IC-28285	May 23, 2008	ING USA Annuity and Life Insurance Company, et al. (Order)
812-13475
IC-28284	May 22, 2008	Matrix Capital Group, Inc., et al. (Notice)
812-13508
IC-28267	May 20, 2008	Thrivent Mutual Funds, et al. (Order)
812-13438
IC-28265	May 8, 2008	Main Street Capital Corporation, et al. (Notice)
812-13246
IC-28264	May 7, 2008	U.S. Bank National Association FAF Advisors, Inc. (Order)
812-13455
IC-28263	May 7, 2008	Prudential Retirement Insurance and Annuity Company, et al. (Notice)
812-13430
IC-28262	May 1, 2008	ALPS Advisers Inc., et al. (Order)
812-13496
IC-28260	Apr. 30, 2008	The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)
812-13476
IC-28259	Apr. 30, 2008	Fidelity Rutland Square Trust, et al. (Notice)
813-362
IC-28258	Apr. 29, 2008	The Bessemer Group, Incorporated, et al. (Notice)
812-13500
IC-28257	Apr. 28, 2008	Franklin California Tax-Free Income Trust, et al. (Order)
812-13466
IC-28256	Apr. 28, 2008	ING USA Annuity and Life Insurance Company, et al. (Notice)
812-13508
IC-28252	Apr. 24, 2008	Thrivent Mutual Funds, et al. (Notice)
812-13368
IC-28239	Apr. 23, 2008	Kohlberg Capital Corporation (Order)
812-13246
IC-28238	Apr. 16, 2008	U.S. Bank National Association, et al. (Notice)
812-13445
IC-28237	Apr. 16, 2008	American Family Life Insurance Company, et al. (Order)
812-13439
IC-28236	Apr. 16, 2008	MetLife Insurance Company of Connecticut, et al. (Order)
812-13430
IC-28235	Apr. 9, 2008	ALPS Advisers, Inc. (Notice)
812–13452
IC-28234	Apr. 3, 2008	Jefferson National Life Insurance Company, et al. (Order)
812-13446
IC-28233	Apr. 1, 2008	Prudential Annuities Life Assurance Corporation, et al. (Order)
812-13423
IC-28232	Apr. 1, 2008	CUNA Mutual Insurance Society, et al. (Order)
812-13437
IC-28231	Apr. 1, 2008	Pruco Life Insurance Company, et al. (Order)
812-13418
IC-28230	Apr. 1, 2008	JPMorgan Trust I, et al. (Order)
First Quarter
812-13500
IC-28229	Mar. 31, 2008	Franklin California Tax-Free Income Fund, et al. (Notice)
812-13368
IC-28228	Mar. 28, 2008	Kohlberg Capital Corporation (Notice)
811-4193
IC-28203	Mar. 26, 2008	RSI Retirement Trust (Order)
812-13481
IC-28202	Mar. 25, 2008	Eaton Vance Mutual Funds Trust, et al. (Order)
812-13473
IC-28201	Mar. 25, 2008	Advisors Series Trust, et al. (Order)
812-13348
IC-28200	Mar. 25, 2008	Patriot Capital Funding, Inc. (Order)
812-13367
IC-28199	Mar. 24, 2008	Kohlberg Capital Corporation (Order)
812-13445
IC-28197	Mar. 19, 2008	American Family Life Insurance Company, et al. (Notice)
812-13447
IC-28196	Mar. 18, 2008	Triangle Capital Corporation (Order)
812-13444
IC-28195	Mar. 17, 2008	NETS Trust (Order)
812-13452
IC-28191	Mar. 10, 2008	Jefferson National Life Insurance Company, et al. (Notice)
812-13439
IC-28190	Mar. 10, 2008	MetLife Insurance Company of Connecticut, et al. (Notice)
811-4193
IC-28184	Mar. 5, 2008	RSI Retirement Trust (Notice)
812-13418
IC-28183	Mar. 4, 2008	JPMorgan Trust I, et al. (Notice)
812-13427
IC-28182	Mar. 4, 2008	Pioneer Bond Fund, et al. (Order)
812-13423
IC-28181	Mar. 4, 2008	CUNA Mutual Insurance Society, et al. (Notice)
812-13437
IC-28180	Mar. 4, 2008	Pruco Life Insurance Company, et al. (Notice)
812-13446
IC-28179	Mar. 4, 2008	Prudential Annuities Life Assurance Corporation, et al. (Notice)
812-13348
IC-28176	Feb. 28, 2008	Patriot Capital Funding, Inc. (Notice)
812-13473
IC-28175	Feb. 27, 2008	Advisors Series Trust, et al. (Notice)
812-13470
IC-28174	Feb. 27, 2008	WisdomTree Trust, et al. (Order)
812-13485
IC-28173	Feb. 27, 2008	Barclays Global Fund Advisors, et al. (Order)
812-13352
IC-28172	Feb. 27, 2008	Bear Stearns Asset Management, Inc., et al. (Order)
812-13386
IC-28171	Feb. 27, 2008	PowerShares Capital Management LLC, et al. (Order)
812-13481
IC-28170	Feb. 26, 2008	Eaton Vance Mutual Funds Trust, et al. (Notice)
812-13436
IC-28169	Feb. 26, 2008	MLIG Variable Insurance Trust (Order)
812-13367
IC-28168	Feb. 25, 2008	Kohlberg Capital Corporation (Notice)
812-13467
IC-28167	Feb. 25, 2008	Schroder Series Trust, et al. (Order)
812-13444
IC-28166	Feb. 25, 2008	NETS Trust, et al. (Notice)
812-13447
IC-28165	Feb. 20, 2008	Triangle Capital Corporation (Notice)
812-13363
IC-28151	Feb. 13, 2008	The TIGERS Revenue Trust and VTL Associates, LLC (Order)
812-13213
IC-28150	Feb. 13, 2008	Morgan Stanley Investment Management Inc., et al. (Order)
812-13424
IC-28149	Feb. 12, 2008	Northern Institutional Funds, Northern Funds, Northern Trust Investments, N.A. (Order)
812-13470
IC-28147	Feb. 6, 2008	Wisdom Tree Trust, et al. (Notice)
812-13485
IC-28146	Feb. 6, 2008	Barclays Global Fund Advisors, et al. (Notice)
812-13427
IC-28144	Feb. 5, 2008	Pioneer Bond Fund, et al. (Notice)
812-13352
IC-28143	Feb. 5, 2008	Bear Stearns Asset Management, Inc., et al. (Notice)
812-13386
IC-28140	Feb. 1, 2008	PowerShares Capital Management LLC, et al. (Notice)
812-13436
IC-28139	Jan. 31, 2008	MLIG Variable Insurance Trust and Roszel Advisors, LLC (Notice)
812-13467
IC-28133	Jan. 24, 2008	Schroder Series Trust, et al. (Notice)
812-13213
IC-28125	Jan. 18, 2008	Morgan Stanley Investment Management Inc., et al. (Notice)
812-13363
IC-28123	Jan. 18, 2008	The TIGERS Revenue Trust and VTL Associates, LLC (Notice)
812-13453
IC-28122	Jan. 16, 2008	The UBS Funds, et al. (Order)
812-13464
IC-28121	Jan. 16, 2008	Millennium India Acquisition Company, Inc. (Order)
812-13411
IC-28120	Jan. 16, 2008	Main Street Capital Corporation, et al. (Order)
812-13424
IC-28119	Jan. 16, 2008	Northern Institutional Funds (Notice)

ICA File Number List for 2008

Release No.	Date	Details
813-00369
IC-28301	Jun. 18, 2008	American International Group, Inc., et al. (Order)
IC-28286	May 23, 2008	American International Group, Inc., et al (Notice)
IC-28286	May 23, 2008	American International Group, Inc., et al (Notice)
813-362
IC-28289	May 28, 2008	The Bessemer Group, Inc., et al. (Order)
IC-28258	Apr. 29, 2008	The Bessemer Group, Incorporated, et al. (Notice)
812-13520
IC-28294	May 30, 2008	Harris & Harris Group, Inc. (Order)
812-13508
IC-28267	May 20, 2008	Thrivent Mutual Funds, et al. (Order)
IC-28252	Apr. 24, 2008	Thrivent Mutual Funds, et al. (Notice)
812-13500
IC-28257	Apr. 28, 2008	Franklin California Tax-Free Income Trust, et al. (Order)
IC-28229	Mar. 31, 2008	Franklin California Tax-Free Income Fund, et al. (Notice)
812-13496
IC-28288	May 28, 2008	The RBB Fund, Inc. and Abundance Technologies, Inc. (Order)
IC-28260	Apr. 30, 2008	The RBB Fund, Inc. and Abundance Technologies, Inc. (Notice)
812-13485
IC-28173	Feb. 27, 2008	Barclays Global Fund Advisors, et al. (Order)
IC-28146	Feb. 6, 2008	Barclays Global Fund Advisors, et al. (Notice)
812-13481
IC-28202	Mar. 25, 2008	Eaton Vance Mutual Funds Trust, et al. (Order)
IC-28170	Feb. 26, 2008	Eaton Vance Mutual Funds Trust, et al. (Notice)
812-13476
IC-28287	May 28, 2008	Fidelity Rutland Square Trust, et al. (Order)
IC-28259	Apr. 30, 2008	Fidelity Rutland Square Trust, et al. (Notice)
812-13475
IC-28300	Jun. 17, 2008	Matrix Capital Group, Inc., et al. (Order)
IC-28284	May 22, 2008	Matrix Capital Group, Inc., et al. (Notice)
812-13473
IC-28201	Mar. 25, 2008	Advisors Series Trust, et al. (Order)
IC-28175	Feb. 27, 2008	Advisors Series Trust, et al. (Notice)
812-13470
IC-28174	Feb. 27, 2008	WisdomTree Trust, et al. (Order)
IC-28147	Feb. 6, 2008	Wisdom Tree Trust, et al. (Notice)
812-13467
IC-28167	Feb. 25, 2008	Schroder Series Trust, et al. (Order)
IC-28133	Jan. 24, 2008	Schroder Series Trust, et al. (Notice)
812-13466
IC-28285	May 23, 2008	ING USA Annuity and Life Insurance Company, et al. (Order)
IC-28256	Apr. 28, 2008	ING USA Annuity and Life Insurance Company, et al. (Notice)
812-13464
IC-28121	Jan. 16, 2008	Millennium India Acquisition Company, Inc. (Order) See also:  Notice: Rel. No. IC-28083
812-13457
IC-28321	Jun. 27, 2008	Minnesota Life Insurance Company, et al. (Notice)
812-13455
IC-28297	Jun. 6, 2008	Prudential Retirement Insurance and Annuity Company, et al. (Order)
IC-28263	May 7, 2008	Prudential Retirement Insurance and Annuity Company, et al. (Notice)
812-13453
IC-28122	Jan. 16, 2008	The UBS Funds, et al. (Order) See also:  Notice: Rel. No. IC-28080
812–13452
IC-28234	Apr. 3, 2008	Jefferson National Life Insurance Company, et al. (Order)
IC-28191	Mar. 10, 2008	Jefferson National Life Insurance Company, et al. (Notice)
812-13447
IC-28196	Mar. 18, 2008	Triangle Capital Corporation (Order)
IC-28165	Feb. 20, 2008	Triangle Capital Corporation (Notice)
812-13446
IC-28233	Apr. 1, 2008	Prudential Annuities Life Assurance Corporation, et al. (Order)
IC-28179	Mar. 4, 2008	Prudential Annuities Life Assurance Corporation, et al. (Notice)
812-13445
IC-28237	Apr. 16, 2008	American Family Life Insurance Company, et al. (Order)
IC-28197	Mar. 19, 2008	American Family Life Insurance Company, et al. (Notice)
812-13444
IC-28195	Mar. 17, 2008	NETS Trust (Order)
IC-28166	Feb. 25, 2008	NETS Trust, et al. (Notice)
812-13439
IC-28236	Apr. 16, 2008	MetLife Insurance Company of Connecticut, et al. (Order)
IC-28190	Mar. 10, 2008	MetLife Insurance Company of Connecticut, et al. (Notice)
812-13438
IC-28295	Jun. 3, 2008	Main Street Capital Corporation, et al. (Order)
IC-28265	May 8, 2008	Main Street Capital Corporation, et al. (Notice)
812-13437
IC-28231	Apr. 1, 2008	Pruco Life Insurance Company, et al. (Order)
IC-28180	Mar. 4, 2008	Pruco Life Insurance Company, et al. (Notice)
812-13436
IC-28169	Feb. 26, 2008	MLIG Variable Insurance Trust (Order)
IC-28139	Jan. 31, 2008	MLIG Variable Insurance Trust and Roszel Advisors, LLC (Notice)
812-13430
IC-28262	May 1, 2008	ALPS Advisers Inc., et al. (Order)
IC-28235	Apr. 9, 2008	ALPS Advisers, Inc. (Notice)
812-13427
IC-28182	Mar. 4, 2008	Pioneer Bond Fund, et al. (Order)
IC-28144	Feb. 5, 2008	Pioneer Bond Fund, et al. (Notice)
812-13424
IC-28149	Feb. 12, 2008	Northern Institutional Funds, Northern Funds, Northern Trust Investments, N.A. (Order)
IC-28119	Jan. 16, 2008	Northern Institutional Funds (Notice)
812-13423
IC-28232	Apr. 1, 2008	CUNA Mutual Insurance Society, et al. (Order)
IC-28181	Mar. 4, 2008	CUNA Mutual Insurance Society, et al. (Notice)
812-13418
IC-28183	Mar. 4, 2008	JPMorgan Trust I, et al. (Notice)
IC-28230	Apr. 1, 2008	JPMorgan Trust I, et al. (Order)
812-13411
IC-28120	Jan. 16, 2008	Main Street Capital Corporation, et al. (Order) See also:  Notice: Rel. No. IC-28082
812-13401
IC-28328	Jul. 2, 2008	The Penn Mutual Life Insurance Company, et al. (Notice)
812-13386
IC-28171	Feb. 27, 2008	PowerShares Capital Management LLC, et al. (Order)
IC-28140	Feb. 1, 2008	PowerShares Capital Management LLC, et al. (Notice)
812-13368
IC-28239	Apr. 23, 2008	Kohlberg Capital Corporation (Order)
IC-28228	Mar. 28, 2008	Kohlberg Capital Corporation (Notice)
812-13367
IC-28199	Mar. 24, 2008	Kohlberg Capital Corporation (Order)
IC-28168	Feb. 25, 2008	Kohlberg Capital Corporation (Notice)
812-13363
IC-28151	Feb. 13, 2008	The TIGERS Revenue Trust and VTL Associates, LLC (Order)
IC-28123	Jan. 18, 2008	The TIGERS Revenue Trust and VTL Associates, LLC (Notice)
812-13352
IC-28172	Feb. 27, 2008	Bear Stearns Asset Management, Inc., et al. (Order)
IC-28143	Feb. 5, 2008	Bear Stearns Asset Management, Inc., et al. (Notice)
812-13348
IC-28200	Mar. 25, 2008	Patriot Capital Funding, Inc. (Order)
IC-28176	Feb. 28, 2008	Patriot Capital Funding, Inc. (Notice)
812-13246
IC-28264	May 7, 2008	U.S. Bank National Association FAF Advisors, Inc. (Order)
IC-28238	Apr. 16, 2008	U.S. Bank National Association, et al. (Notice)
812-13213
IC-28150	Feb. 13, 2008	Morgan Stanley Investment Management Inc., et al. (Order)
IC-28125	Jan. 18, 2008	Morgan Stanley Investment Management Inc., et al. (Notice)
811-4193
IC-28203	Mar. 26, 2008	RSI Retirement Trust (Order)
IC-28184	Mar. 5, 2008	RSI Retirement Trust (Notice)

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