SEC Form 40-APP

Applications under the Investment Company Act other than those reviewed by Office of Insurance Products

Latest 40-APP Filings:

Date Accession No. Company
2020-07-22 00:00:00 0001214659-20-006452 Arca U.S. Treasury Fund
2020-07-13 00:00:00 0001193125-20-191680 TIAA SEPARATE ACCOUNT VA-3
2020-07-08 00:00:00 0001680359-20-000364 Invesco Capital Management LLC
2020-07-08 00:00:00 0001398344-20-013437 Frost Family of Funds
2020-06-23 00:00:00 0001680359-20-000332 ETFis Series Trust I
2020-06-16 00:00:00 0001193125-20-170392 Blackstone / GSO Floating Rate Enhanced Income Fund
2020-06-08 00:00:00 0001683863-20-010618 RUSSELL INVESTMENT CO
2020-06-02 00:00:00 0001104659-20-068796 ADVANCED SERIES TRUST
2020-05-26 00:00:00 0001193125-20-151050 COLUMBIA FUNDS SERIES TRUST
2020-05-13 00:00:00 0001683863-20-009353 WisdomTree Trust
2020-05-05 00:00:00 0001213900-20-010999 TORTOISE CAPITAL ADVISORS, L.L.C.
2020-04-28 00:00:00 0001104659-20-052094 IndexIQ Advisors LLC
2020-04-20 00:00:00 0001193125-20-111854 BC Partners Lending Corp
2020-04-17 00:00:00 0001683863-20-003964 FIDELITY RUTLAND SQUARE TRUST
2020-04-17 00:00:00 0001104659-20-048193 Neuberger Berman BDC LLC
2020-04-16 00:00:00 0001484018-20-000025 Spinnaker ETF Series
2020-04-16 00:00:00 0001484018-20-000023 Spinnaker ETF Series
2020-04-03 00:00:00 0001140361-20-007943 Star Mountain Credit Opportunities Fund, LP
2020-04-02 00:00:00 0001398344-20-007361 Delaware Management Co
2020-04-01 00:00:00 0001398344-20-007290 Delaware Management Co
2020-03-27 00:00:00 0001193125-20-088751 Alger ETF Trust
2020-03-27 00:00:00 0000894189-20-002275 Managed Portfolio Series
2020-03-27 00:00:00 0000898745-20-000246 PRINCIPAL FUNDS INC
2020-03-26 00:00:00 0001193125-20-086997 GSO Asset Management LLC
2020-03-20 00:00:00 0001213900-20-006992 Palmer Square Capital BDC Inc.

See other SEC forms