Investment Company Act Notices and Orders

This page lists notices and orders of applications filed under the Investment Company Act (ICA). 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
First Quarter

ICA File Number List for 2012

Additional Archives

2012 | 2011 | 2010 | 2009 | 2008 | 2007

Chronological List

Release No.	Date	Details
First Quarter
812-13921
IC-29949	Feb. 21, 2012	Incapital LLC and Incapital Unit Trust (Order)
812-13902
IC-29947	Feb. 14, 2012	New York Life Insurance and Annuity Corporation, et al. (Order)
812-13804
IC-29946	Feb. 14, 2012	Main Street Capital Corporation, et al. (Order)
812-13962
IC-29944	Feb. 13, 2012	Pacific Life Insurance Company, et al. (Notice)
812-13983
IC-29943	Feb. 2, 2012	DoubleLine Capital LP and DoubleLine Funds Trust (Notice)
812-13950
IC-29942	Feb. 1, 2012	Henderson Global Funds, et al. (Notice)
812-13634
IC-29941	Feb. 1, 2012	Rand Capital Corporation, et al. (Notice)
812-13857
IC-29940	Feb. 1, 2012	Central Securities Corporation (Order)
812-13982
IC-29939	Jan. 31, 2012	Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Notice)
812-13965
IC-29937	Jan. 26, 2012	Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Notice)
812-13994
IC-29926	Jan. 24, 2012	GE Asset Management Incorporated, et al. (Notice)
812-13781
IC-29925	Jan. 24, 2012	Cantilever Capital, LLC and Cantilever Group, LLC (Order)
812-13921
IC-29924	Jan. 24, 2012	Incapital LLC and Incapital Unit Trust (Notice)
812-13902
IC-29923	Jan. 19, 2012	New York Life Insurance and Annuity Corporation, et al. (Notice)
812-13804
IC-29922	Jan. 17, 2012	Main Street Capital Corporation, et al. (Notice)
812-13777
IC-29921	Jan. 17, 2012	Rio Tinto plc et al. (Order)
812-13478
IC-29918	Jan. 17, 2012	Highland Capital Management, L.P. et al. (Order)
812-13930
IC-29916	Jan. 10, 2012	American Century Strategic Asset Allocations, Inc. (Order)
812-13857
IC-29915	Jan. 6, 2012	Central Securities Corporation (Notice)
812-13952
IC-29914	Jan. 4, 2012	Seasons Series Trust, et al. (Order)

ICA File Number List for 2012

Release No.	Date	Details
812-13983
IC-29943	Feb. 2, 2012	DoubleLine Capital LP and DoubleLine Funds Trust (Notice)
812-13982
IC-29939	Jan. 31, 2012	Northwestern Mutual Series Fund, Inc. and Mason Street Advisors, LLC (Notice)
812-13965
IC-29937	Jan. 26, 2012	Preservation Trust Advisors, LLC and Northern Lights Fund Trust (Notice)
812-13994
IC-29926	Jan. 24, 2012	GE Asset Management Incorporated, et al. (Notice)
812-13962
IC-29944	Feb. 13, 2012	Pacific Life Insurance Company, et al. (Notice)
812-13950
IC-29942	Feb. 1, 2012	Henderson Global Funds, et al. (Notice)
812-13921
IC-29949	Feb. 21, 2012	Incapital LLC and Incapital Unit Trust (Order)
IC-29924	Jan. 24, 2012	Incapital LLC and Incapital Unit Trust (Notice)
812-13902
IC-29947	Feb. 14, 2012	New York Life Insurance and Annuity Corporation, et al. (Order)
IC-29923	Jan. 19, 2012	New York Life Insurance and Annuity Corporation, et al. (Notice)
812-13857
IC-29940	Feb. 1, 2012	Central Securities Corporation (Order)
IC-29915	Jan. 6, 2012	Central Securities Corporation (Notice)
812-13804
IC-29946	Feb. 14, 2012	Main Street Capital Corporation, et al. (Order)
IC-29922	Jan. 17, 2012	Main Street Capital Corporation, et al. (Notice)
812-13634
IC-29941	Feb. 1, 2012	Rand Capital Corporation, et al. (Notice)
812-13478
IC-29918	Jan. 17, 2012	Highland Capital Management, L.P. et al. (Order)

http://www.sec.gov/rules/icreleases.shtml