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SEC Investment Company Act Notices and Orders

Favicon for www.sec.gov SEC: Commission Orders & Notices
Published March 11th, 2026
Detected March 14th, 2026
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Summary

The SEC has published a list of recent notices and orders related to the Investment Company Act of 1940. These documents provide specific approvals and information for various investment companies and their transactions.

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What changed

The Securities and Exchange Commission (SEC) has updated its website with a listing of Investment Company Act notices and orders. These entries, dated up to March 11, 2026, cover a range of categories including co-investments, multi-class funds, and other specific transactions or operational approvals for investment companies.

Compliance officers should review these notices and orders to understand any specific regulatory actions or approvals relevant to their firm's operations or investments. While these are typically informational, they may contain details pertinent to ongoing compliance or investment strategies. No immediate action is required unless a specific notice or order directly impacts a firm's activities.

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Investment Company Act Notices and Orders

See also Investment Company Act Deregistration Notices and Orders.

Category - View All - 12(d)(3) - Other Affiliated Sales & Purchases - Adviser Affiliated Sales & Purchases - In-Kind Affiliated Sales & Purchases - Other Business Development Companies - Capital Structure Business Development Companies - Compensation Co-Investment Distributions Employees Securities Company Exchange Traded Funds - Active Exchange Traded Funds - Index Exchange Traded Funds - Leveraged Exchange Traded Funds - Multi-Class Exchange-Traded Managed Funds Finance Subsidiaries Fund of Funds - Direct Investment Fund of Funds - Multi-Group Inadvertent Investment Companies - 3b2 Inadvertent Investment Companies - 6c Inadvertent Investment Companies - Foreign Banks/Insurance Inadvertent Investment Companies - Other Ineligible - Disqualified Firm Insurance Products - Bonus Recapture Insurance Products - Exchange Offer Insurance Products - Fund Substitution Insurance Products - Mixed and Shared Funding Insurance Products - Substitution Related Affiliated Securities Transactions Interfund Lending Interval Funds Joint Transaction Multi-Class Multi-Manager - Voting Multi-Manager - Voting & Disclosure Non-In-Person Board Meetings Other Securities Lending (Withdrawn) Two-Tier Real Estate Partnerships Unit Investment Trusts - Other Investment Company File Number Type -View All- Investment Company Act Notice Investment Company Act Order
| File Number | Date | Investment Company | Type | Release Number | Category |
| --- | --- | --- | --- | --- | --- |
| 812-15889 |
March 11, 2026
| Wilshire Private Assets Master Fund, et al. | Investment Company Act Order | IC-36016 | Co-Investment |
| 812-15950 |
March 11, 2026
| JPMorgan Private Markets Fund, et al. | Investment Company Act Notice | IC-36015 | Co-Investment |
| 812-15900 |
March 11, 2026
| TCG Strategic Income Fund, et al. | Investment Company Act Order | IC-36014 | Co-Investment |
| 812-15877 |
March 11, 2026
| Meketa Infrastructure Fund, et al. | Investment Company Act Order | IC-36013 | Co-Investment |
| 812-15965 |
March 10, 2026
| Investcorp US Private Credit BDC II and CM Investment Partners LLC | Investment Company Act Order | IC-36012 | Multi-Class |
| 812-15977 |
March 10, 2026
| Harbor Funds, et al. | Investment Company Act Order | IC-36011 | Non-In-Person Board Meetings |
| 812-15896 |
March 10, 2026
| LibreMax Asset-Backed Income Fund, et al. | Investment Company Act Order | IC-36008 | Multi-Class |
| 812-15871 |
March 9, 2026
| Silver Point Specialty Lending Fund, et al. | Investment Company Act Notice | IC-36010 | Co-Investment |
| 812-15883 |
March 9, 2026
| WhiteHorse Finance, Inc., et al. | Investment Company Act Notice | IC-36009 | Co-Investment |
| 812-15962 |
March 9, 2026
| Stepstone Private Credit Fund LLC, et al. | Investment Company Act Order | IC-36007 | Co-Investment |
| 812-15864 |
March 9, 2026
| CAZ Strategic Opportunities Fund, et al. | Investment Company Act Order | IC-36006 | Co-Investment |
| 812-15910 |
March 9, 2026
| Pursuit Asset-Based Income Fund and Pursuit Fund Advisors, LLC | Investment Company Act Order | IC-36005 | Multi-Class |
| 812-15906 |
March 9, 2026
| Alger Next Gen Growth Fund and Fred Alger Management, LLC | Investment Company Act Order | IC-36004 | Multi-Class |
| 812-15814 |
March 9, 2026
| Andalusian Credit Company, LLC, et al. | Investment Company Act Order | IC-36003 | Co-Investment |
| 812-15948 |
March 6, 2026
| Japan Smaller Capitalization Fund, Inc., et al. | Investment Company Act Notice | IC-36002 | Multi-Class |
| 812-15929 |
March 3, 2026
| MSD Investment Corp. and BDT & MSD BDC Management, LLC | Investment Company Act Order | IC-36001 | Multi-Class |
| 812-15790 |
March 3, 2026
| Origin Real Estate Credit Fund, et al. | Investment Company Act Order | IC-36000 | Multi-Class |
| 812-15873 |
Feb. 26, 2026
| Northern Lights Fund Trust, et al. | Investment Company Act Order | IC-35998 | Multi-Manager - Voting & Disclosure |
| 812-15701 |
Feb. 24, 2026
| Talcott Resolution Life Insurance Company, et al. | Investment Company Act Order | IC-35989 | Insurance Products - Substitution Related Affiliated Securities Transactions |
| 812-15958 |
Feb. 24, 2026
| Carillon Series Trust and Carillon Tower Advisers, Inc. | Investment Company Act Order | IC-35988 | Non-In-Person Board Meetings |
| 812-15621 |
Feb. 24, 2026
| Thrivent Mutual Funds, et al. | Investment Company Act Order | IC-35987 | Exchange Traded Funds - Multi-Class |
| 812-15803 |
Feb. 24, 2026
| New Age Alpha Funds Trust, et al. | Investment Company Act Order | IC-35986 | Exchange Traded Funds - Multi-Class |
| 812-15627 |
Feb. 24, 2026
| Natixis Funds Trust I, et al. | Investment Company Act Order | IC-35985 | Exchange Traded Funds - Multi-Class |
| 812-15842 |
Feb. 24, 2026
| Lazard Active ETF Trust, et al. | Investment Company Act Order | IC-35984 | Exchange Traded Funds - Multi-Class |
| 812-15631 |
Feb. 24, 2026
| Impax Funds Series Trust I, et al. | Investment Company Act Order | IC-35983 | Exchange Traded Funds - Multi-Class |
| 812-15672 |
Feb. 24, 2026
| Invesco Exchange-Traded Fund Trust, et al. | Investment Company Act Order | IC-35982 | Exchange Traded Funds - Multi-Class |
| 812-15635 |
Feb. 24, 2026
| The Hartford Mutual Funds, Inc., et al. | Investment Company Act Order | IC-35981 | Exchange Traded Funds - Multi-Class |
| 812-15866 |
Feb. 24, 2026
| Gabelli Equity Series Funds, Inc., et al. | Investment Company Act Order | IC-35980 | Exchange Traded Funds - Multi-Class |
| 812-15698 |
Feb. 24, 2026
| First Trust Exchange-Traded Fund, et al. | Investment Company Act Order | IC-35979 | Exchange Traded Funds - Multi-Class |
| 812-15724 |
Feb. 24, 2026
| DoubleLine ETF Trust, et al. | Investment Company Act Order | IC-35978 | Exchange Traded Funds - Multi-Class |
| 812-15829 |
Feb. 24, 2026
| Calamos Investment Trust, et al. | Investment Company Act Order | IC-35977 | Exchange Traded Funds - Multi-Class |
| 812-15723 |
Feb. 24, 2026
| BNY Mellon Investment Funds VII, Inc., et al. | Investment Company Act Order | IC-35976 | Exchange Traded Funds - Multi-Class |
| 812-15671 |
Feb. 24, 2026
| Aristotle Funds Series Trust and Aristotle Investment Services, LLC | Investment Company Act Order | IC-35975 | Exchange Traded Funds - Multi-Class |
| 812-15599 |
Feb. 24, 2026
| AMG Funds, et al. | Investment Company Act Order | IC-35974 | Exchange Traded Funds - Multi-Class |
| 812-15797 |
Feb. 24, 2026
| Advisors Preferred Trust and Advisors Preferred LLC | Investment Company Act Order | IC-35973 | Exchange Traded Funds - Multi-Class |
| 812-15731 |
Feb. 24, 2026
| ALPS ETF Trust | Investment Company Act Order | IC-35972 | Exchange Traded Funds - Multi-Class |
| 812-15733 |
Feb. 24, 2026
| The Alger ETF Trust, et al. | Investment Company Act Order | IC-35971 | Exchange Traded Funds - Multi-Class |
| 812-15969 |
Feb. 23, 2026
| VanEck CLO Opportunities Fund and Van Eck Associates Corporation | Investment Company Act Notice | IC-35970 | Multi-Class |
| 812-15922 |
Feb. 23, 2026
| First Eagle ETF Trust, et al. | Investment Company Act Order | IC-35969 | Multi-Manager - Voting & Disclosure |
| 812-15788 |
Feb. 23, 2026
| WisdomTree Digital Trust, et al. | Investment Company Act Order | IC-35968 | Other |
| 812-15867 |
Feb. 19, 2026
| The Pre-IPO and Growth Fund et al. | Investment Company Act Order | IC-35967 | Co-Investment |
| 812-15692 |
Feb. 18, 2026
| GreenFi Funds Trust and Mission Investment Advisors LLC | Investment Company Act Notice | IC-35966 | Multi-Manager - Voting |
| 812-15865 |
Feb. 18, 2026
| Loomis Sayles Credit Income Opportunities Fund, et al. | Investment Company Act Order | IC-35965 | Multi-Class |
| 812-15911 |
Feb. 18, 2026
| USVC Venture Capital Access Fund, et al. | Investment Company Act Order | IC-35964 | Multi-Class |
| 812-15923 |
Feb. 18, 2026
| ProShares Private Equity Access Fund, et al. | Investment Company Act Order | IC-35961 | Multi-Class |
| 812-15876 |
Feb. 18, 2026
| The Gabelli Dividend & Income Trust, et al. | Investment Company Act Notice | IC-35960 | Joint Transaction |
| 812-15836 |
Feb. 18, 2026
| Carlyle Secured Lending, Inc., et al. | Investment Company Act Order | IC-35959 | Co-Investment |
| 812-15990 |
Feb. 17, 2026
| TIAA-CREF Funds, et al. | Investment Company Act Notice | IC-35958 | Affiliated Sales & Purchases - Other |
| 812-15964 |
Feb. 17, 2026
| CIFC Direct Lending Evergreen Fund LP and CIFC Private Credit Management LLC | Investment Company Act Notice | IC-35957 | Multi-Class |
| 812-15900 |
Feb. 13, 2026
| TCG Strategic Income Fund, et al. | Investment Company Act Notice | IC-35956 | Co-Investment |
| 812-15889 |
Feb. 13, 2026
| Wilshire Private Assets Master Fund, et al. | Investment Company Act Notice | IC-35955 | Co-Investment |
| 812-15877 |
Feb. 13, 2026
| Meketa Infrastructure Fund, et al. | Investment Company Act Notice | IC-35954 | Co-Investment |
| 812-15917 |
Feb. 12, 2026
| Pursuit Asset-Based Income Fund, et al. | Investment Company Act Notice | IC-35953 | Co-Investment |
| 812-15965 |
Feb. 12, 2026
| Investcorp US Private Credit BDC II and CM Investment Partners LLC | Investment Company Act Notice | IC-35952 | Multi-Class |
| 812-15977 |
Feb. 12, 2026
| Harbor Funds, et al. | Investment Company Act Notice | IC-35951 | Non-In-Person Board Meetings |
| 812-15932 |
Feb. 11, 2026
| AMG Pantheon Master Fund, LLC, et al | Investment Company Act Order | IC-35950 | Co-Investment |
| 812-15907 |
Feb. 10, 2026
| Forum Real Estate Income Fund, et al. | Investment Company Act Order | IC-35949 | Co-Investment |
| 812-15541 |
Feb. 10, 2026
| Wilmington Trust, N.A. | Investment Company Act Notice | IC-35948 | Other |
| 812-15888 |
Feb. 10, 2026
| Hamilton Lane Private Assets Fund, et al. | Investment Company Act Order | IC-35947 | Co-Investment |
| 812-15896 |
Feb. 10, 2026
| LibreMax Asset-Backed Income Fund, et al. | Investment Company Act Notice | IC-35945 | Multi-Class |
| 812-15814 |
Feb. 9, 2026
| Andalusian Credit Company, LLC, et al. | Investment Company Act Notice | IC-35944 | Co-Investment |
| 812-15962 |
Feb. 9, 2026
| Stepstone Private Credit Fund LLC, et al. | Investment Company Act Notice | IC-35943 | Co-Investment |
| 812-15864 |
Feb. 9, 2026
| CAZ Strategic Opportunities Fund, et al. | Investment Company Act Notice | IC-35942 | Co-Investment |
| 812-15910 |
Feb. 9, 2026
| Pursuit Asset-Based Income Fund and Pursuit Fund Advisers, LLC | Investment Company Act Notice | IC-35941 | Multi-Class |
| 812-15906 |
Feb. 9, 2026
| Alger Next Gen Growth Fund and Fred Alger Management, LLC | Investment Company Act Notice | IC-35940 | Multi-Class |
| 812-15916 |
Feb. 9, 2026
| ETF Series Solutions and Defiance ETFs, LLC | Investment Company Act Order | IC-35939 | Multi-Manager - Voting & Disclosure |
| 812-15775 |
Feb. 6, 2026
| TCW Direct Lending VIII LLC, et al. | Investment Company Act Order | IC-35938 | Affiliated Sales & Purchases - In-Kind |
| 812-15790 |
Feb. 5, 2026
| Origin Real Estate Credit Fund, et al. | Investment Company Act Notice | IC-35937 | Multi-Class |
| 812-15838 |
Feb. 4, 2026
| MML Bay State Life Insurance Company, et al. | Investment Company Act Order | IC-35936 | Insurance Products - Substitution Related Affiliated Securities Transactions |
| 812-15929 |
Feb. 4, 2026
| MSD Investment Corp. and BDT & MSD BDC Management, LLC | Investment Company Act Notice | IC-35935 | Multi-Class |
| 812-15868 |
Feb. 4, 2026
| AOG Institutional Fund, et al. | Investment Company Act Order | IC-35934 | Co-Investment |
| 812-15826 |
Feb. 4, 2026
| AB Private Credit Investors Corporation, et al. | Investment Company Act Order | IC-35933 | Co-Investment |
| 812-15901 |
Feb. 4, 2026
| Elevation Series Trust and Truemark Investments LLC | Investment Company Act Order | IC-35932 | Multi-Manager - Voting & Disclosure |
| 812-15930 |
Feb. 4, 2026
| Denali Structured Return Strategy Fund, et al. | Investment Company Act Order | IC-35931 | Multi-Class |
| 812-15701 |
Jan. 28, 2026
| Talcott Resolution Life Insurance Company, et al. | Investment Company Act Notice | IC-35921 | Insurance Products - Substitution Related Affiliated Securities Transactions |
| 812-15873 |
Jan. 28, 2026
| Northern Lights Fund Trust, et al. | Investment Company Act Notice | IC-35920 | Multi-Manager - Voting & Disclosure |
| 812-15882 |
Jan. 28, 2026
| Source Capital /DE/, et al. | Investment Company Act Order | IC-35919 | Co-Investment |
| 812-15958 |
Jan. 27, 2026
| Carillon Series Trust and Carillon Tower Advisers, Inc. | Investment Company Act Notice | IC-35918 | Non-In-Person Board Meetings |
| 812-15621 |
Jan. 27, 2026
| Thrivent Mutual Funds, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15803 |
Jan. 27, 2026
| New Age Alpha Funds Trust, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15627 |
Jan. 27, 2026
| Natixis Funds Trust I, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15842 |
Jan. 27, 2026
| Lazard Active ETF Trust, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15672 |
Jan. 27, 2026
| Invesco Exchange-Traded Fund Trust, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15631 |
Jan. 27, 2026
| Impax Funds Series Trust I, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15635 |
Jan. 27, 2026
| The Hartford Mutual Funds, Inc., et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15866 |
Jan. 27, 2026
| Gabelli Equity Series Funds, Inc., et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15698 |
Jan. 27, 2026
| First Trust Exchange-Traded Fund, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15724 |
Jan. 27, 2026
| DoubleLine ETF Trust, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15829 |
Jan. 27, 2026
| Calamos Investment Trust, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15723 |
Jan. 27, 2026
| BNY Mellon Investment Funds VII, Inc., et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15671 |
Jan. 27, 2026
| Aristotle Funds Series Trust, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15599 |
Jan. 27, 2026
| AMG Funds, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15733 |
Jan. 27, 2026
| The Alger ETF Trust, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15797 |
Jan. 27, 2026
| Advisors Preferred Trust, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15731 |
Jan. 27, 2026
| ALPS ETF Trust, et al. | Investment Company Act Notice | IC-35917 | Exchange Traded Funds - Multi-Class |
| 812-15922 |
Jan. 26, 2026
| First Eagle ETF Trust, et al. | Investment Company Act Notice | IC-35916 | Multi-Manager - Voting & Disclosure |
| 812-15937 |
Jan. 26, 2026
| RBC BlueBay Enhanced Income Fund and RBC Global Asset Management (U.S.) Inc. | Investment Company Act Order | IC-35915 | Multi-Class |
| 812-15925 |
Jan. 26, 2026
| The RBB Fund Trust and Gladius Capital Management, LP, | Investment Company Act Order | IC-35914 | Multi-Manager - Voting & Disclosure |
| 812-15940 |
Jan. 26, 2026
| Aristotle Pacific Enhanced CLO Income Fund and Aristotle Pacific Capital, LLC | Investment Company Act Order | IC-35913 | Multi-Class |
| 812-15788 |
Jan. 26, 2026
| WisdomTree Digital Trust, et al. | Investment Company Act Notice | IC-35912 | Other |
Displaying 1 - 100 of 4132

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Source

Favicon for www.sec.gov
SEC: Commission Orders & Notices sec.gov/rules-regulations/commission-orders-notices
Securities & Markets
Analysis generated by AI. Source diff and links are from the original.

Classification

Agency
SEC
Published
March 11th, 2026
Instrument
Notice
Legal weight
Non-binding
Stage
Final
Change scope
Minor

Who this affects

Applies to
Fund managers Investors
Geographic scope
National (US) National (US)

Taxonomy

Primary area
Securities
Operational domain
Compliance
Topics
Investment Companies Fund Management

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