All Securities Law, Franchise Law, and Take-Over Law Filings for 9/23/2018 through 9/29/2018
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1 Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities SIERRA INCOME CORP NEW YORK, NY 9/24/ Not Disallowed SPENDINDIE INC JONESTOWN, TX 9/24/ Not Disallowed Number of Exemption Filings: 2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities AB MUNICIPAL INCOME FUND INC AB HIGH INCOME MUNICIPAL PORTFOLIO CLASS Z LARGE CAP VALUE FUND CLASS R3 LARGE CAP VALUE FUND CLASS R4 MARKET EXPANSION ENHANCED INDEX FUND SHORT INTERMEDIATE MUNICIPAL BOND FUND TAX FREE BOND FUND CLASS R6 CA TAX FREE BOND FUND EQUITY FOCUS FUND CLASS R6 NEW YORK, NY 9/26/ Pending-Cleared NEW YORK, NY 9/26/ Filed NEW YORK, NY 9/26/ Filed NEW YORK, NY 9/26/ Filed NEW YORK, NY 9/26/ Filed NEW YORK, NY 9/26/ Filed NEW YORK, NY 9/26/ Filed NEW YORK, NY 9/26/ Filed Page 1 of 6
2 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities EUROPE DYNAMIC FUND GLOBAL ALLOCATION FUND CLASS R3 GLOBAL ALLOCATION FUND CLASS R4 GLOBAL ALLOCATION FUND CLASS R5 NY TAX FREE BOND FUND TAX AWARE EQUITY FUND ADVISORS INNER CIRCLE FUND 3 INVESTEC GLOBAL FRANCHISE FUND A INCOME FUND CLASS A INCOME FUND CLASS R5 INCOME FUND CLASS R6 INCOME FUND CLASS Y GUGGENHEIM DEFINED PORTFOLIOS SERIES 1806 MLP & ENERGY FUNDS PORTFOLIO SERIES 23 NEW YORK, NY 9/26/ Filed NEW YORK, NY 9/26/ Filed NEW YORK, NY 9/26/ Filed NEW YORK, NY 9/26/ Filed NEW YORK, NY 9/26/ Filed NEW YORK, NY 9/26/ Filed OAKS, PA 9/25/ Filed HOUSTON, TX 9/25/ Pending-Cleared HOUSTON, TX 9/25/ Pending-Cleared HOUSTON, TX 9/25/ Pending-Cleared HOUSTON, TX 9/25/ Pending-Cleared CHICAGO, IL 9/25/ Filed Page 2 of 6
3 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities VOYA SEPARATE PORTFOLIOS TR VOYA EMERGING MARKETS LOCAL CURRENCY DEBT FUND CLASS I FT 7576 RICHARD BERNSTEIN ADVISORS GLOBAL DIVIDEND KINGS SERIES 28 FT 7577 SABRIENT SMALL CAP GROWTH PORTFOLIO SERIES 20 FT 7578 STRATEGIC INTERNATIONAL OPPORTUNITY PORTFOLIO SERIES 6 FT 7589 MULTI SECTOR EQUITY & ETF PORTFOLIO SEPTEMBER 2018 SERIES FT 7590 COMMUNICATION SERVICES OPPORTUNITY PORTFOLIO SERIES FT ST TR ETF ALLOCATION PORTFOLIO SERIES 26 FT 7599 HIGH INCOME PORTFOLIO SERIES 2 FT 7613 SENIOR LOAN & DIVIDEND GROWERS PORTFOLIO SERIES 20 FT 7614 E COMMERCE OPPORTUNITY PORTFOLIO SERIES 5 FT 7615 GLOBAL BOND INCOME CLOSED END PORTFOLIO SERIES 30 FT 7616 INNOVATIVE TRANSACTION & PROCESS PORTFOLIO SERIES 3 FT 7617 NASDAQ DIVIDEND ACHIEVERS 25 PORTFOLIO SERIES 13 FT 7618 DIVERSIFIED HIGH INCOME CLOSED END PORTFOLIO SERIES 34 FT 7639 INTEREST RATE HEDGE OPPORTUNITY PORTFOLIO SERIES 7 SCOTTSDALE, AZ 9/25/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed Page 3 of 6
4 Securities Law Federal Covered Security-Investment Company Filings Made with DFI s Securities FT 7640 SENIOR LOAN & LTD DURATION CLOSED END PORTFOLIO SERIES 84 FT 7656 STONEBRIDGE PREFERRED INCOME PORTFOLIO SERIES 20 FT 7660 SENIOR LOAN SELECT CLOSED END PORTFOLIO SERIES 34 STRATEGIES FLEXIBLE BOND STRATEGIES INFLATION PROTECTED SECURITIES STRATEGIES INTERNATIONAL EQUITY STRATEGIES SHORT DURATION BOND FUND CLASS L STRATEGIES US EQUITY GREAT WEST INTERNATIONAL INDEX FUND CLASS L GREAT WEST MID CAP VALUE GREAT WEST MULTI SECTOR BOND GREAT WEST REAL ESTATE INDEX TETON WESTWOOD FUNDS TETON CONVERTIBLE SECURITIES FUND CLASS I WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed WHEATON, IL 9/24/ Filed Number of Investment Company Filings: 48 9/24/ Filed 9/24/ Filed 9/24/ Filed 9/24/ Filed 9/24/ Filed 9/24/ Filed 9/24/ Filed 9/24/ Filed 9/24/ Filed RYE, NY 9/24/ Filed Page 4 of 6
5 Federal Covered Security-Regulation D Notice Filings Made with DFI s Securities AXONIC RESIDENTIAL ASSETS FUND 4 LP NEW YORK, NY 9/27/ Filed HOME PLATE CENTER LP SEATTLE, WA 9/24/ Filed PRECURSOR VENTURES 2 LP SAN FRANCISCO, CA Number of Regulation D Notice Filings: 3 9/24/ Filed Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date Spherion Staffing, LLC / Spherion Atlanta, GA 9/29/ Registered Qualicare of America, Inc. / Qualicare Quiz Holdings, LLC / Quiznos and Quiznos Sub IHG Franchising, LLC / Kimpton Hotels & Restaurants RealtyScape Franchising LLC / LakePlace.com; LakePlace.com Realty Toronto, ON 9/28/ Registered Denver, CO 9/28/ Registered Atlanta, GA 9/28/ Registered Bloomington, MN 9/28/ Registered TCBY Systems, LLC / TCBY Broomfield, CO 9/27/ Registered Mrs. Fields Franchising, LLC / Mrs. Fields Broomfield, CO 9/27/ Registered TCWW LLC / Tom and Chee Cincinnati, OH 9/26/ Registered ADVANCED FRESH CONCEPTS FRANCHISE CORP / AFC, Advanced Fresh Concepts Zoom Express Laundry, LLC / Zoom Express Laundry MEDICAP PHARMACIES INCORPORATED / Medicap Pharmacy MEDICINE SHOPPE INTERNATIONAL, INC. / The Medicine Shoppe, Medicine Shoppe RANCHO DOMINGUEZ, CA 9/25/ Registered Dallas, TX 9/25/ Registered Dublin, OH 9/25/ Registered Dublin, OH 9/25/ Registered The Ten Spot Ltd. / The Ten Spot Toronto, ON 9/25/ Registered Brinker International Payroll Company, L.P. / "Chili's" and Chili's Grill & Bar" SB Franchisor LLC / Sweetberry Bowls Dallas, TX 9/24/ Registered West New York, NJ 9/24/ Registered Page 5 of 6
6 Franchise Law Filings Made with DFI s Securities Legal Name / Trade Name Location Date icombat Franchising, LLC / icombat Number of Franchise Filings: 16 Waukesha, WI 9/24/ Registered Page 6 of 6
All Securities Law, Franchise Law, and Take-Over Law Filings for 2/12/2017 through 2/18/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities TRILINC GLOBAL IMPACT FUND LLC MANHATTAN BEACH,
All Securities Law, Franchise Law, and Take-Over Law Filings for 11/12/2017 through 11/18/2017
Securities Law Registration Filings Made with DFI s Securities SOLERA NATIONAL BANCORP INC Number of Registration Filings: 1 LAKEWOOD, CO 11/13/2017 00821024-01 Pending Securities Law Exemption Filings
All Securities Law, Franchise Law, and Take-Over Law Filings for 9/30/2018 through 10/6/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 Securities Law
All Securities Law, Franchise Law, and Take-Over Law Filings for 9/16/2018 through 9/22/2018
Securities Law Registration Filings Made with DFI s Securities Division AIP ALTERNATIVE LENDING FUND A AIP ALTERNATIVE LENDING FUND P AMERICAN BEACON APOLLO TOTAL RETURN FUND CLASS Y SHARES PROSPER FUNDING
All Securities Law, Franchise Law, and Take-Over Law Filings for 2/4/2018 through 2/10/2018
Securities Law Registration Filings Made with DFI s Securities ACCESS FUND INC ACCESS FUND I SHARES ACCESS FUND INC ACCESS FUND W SHARES Number of Registration Filings: 2 ROCHESTER, NY 2/9/2018 00832143-01
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/29/2017 through 2/4/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities MEAD & HUNT COMPANIES INC MIDDLETON, WI 2/3/2017
All Securities Law, Franchise Law, and Take-Over Law Filings for 12/2/2018 through 12/8/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 FT 7689 (Preferred
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/5/2018 through 8/11/2018
All Securities Law, Franchise Law, and Take-Over Law Filings Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/14/2018 through 1/20/2018
Securities Law Registration Filings Made with DFI s Securities JONES LANG LASALLE INCOME PROPERTY TR INC CHICAGO, IL 1/19/2018 00830973-01 Pending Number of Registration Filings: 1 Securities Law Exemption
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/28/2018 through 2/3/2018
CNL HEALTHCARE PROPERTIES 2 INC Securities Law Registration Filings Made with DFI s Securities ORLANDO, FL 2/2/2018 00832026-01 Registered BLACK CREEK DIVERSIFIED PROPERTY FUND INC DENVER, CO 1/29/2018
All Securities Law, Franchise Law, and Take-Over Law Filings for 6/3/2018 through 6/9/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 ALPS SERIES TR
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/27/2017 through 9/2/2017
Securities Law Registration Filings Made with DFI s Securities FS CREDIT INCOME FUND I HEART CHURCH CHURCH IN WV INC Number of Registration Filings: 2 PHILADELPHIA, PA MOUNT HOPE, WV 8/28/2017 00812789-01
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/20/2017 through 8/26/2017
Securities Law Registration Filings Made with DFI s Securities HINES GLOBAL REIT 2 INC HOUSTON, TX 8/23/2017 00812947-01 Pending Number of Registration Filings: 1 Securities Law Exemption Filings Made
All Securities Law, Franchise Law, and Take-Over Law Filings for 2/5/2017 through 2/11/2017
Securities Law Registration Filings Made with DFI s Securities GRACE REDEEMER CHURCH NY NONPROFIT CORP TEANECK, NJ 2/8/2017 00797023-02 Pending PHILLIPS EDISON GROCERY CENTER REIT 3 INC CINCINNATI, OH
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/7/2018 through 1/13/2018
Securities Law Registration Filings Made with DFI s Securities BLACKSTONE GSO FLOATING RATE ENHANCED INCOME FUND INSTITUTIONAL CLASS I Number of Registration Filings: 1 NEW YORK, NY 1/12/2018 00829869-01
All Securities Law, Franchise Law, and Take-Over Law Filings for 12/16/2018 through 12/22/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Hayes Brokerage Opportunity Fund #1, LLC Number
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/12/2018 through 8/18/2018
Securities Law Registration Filings Made with DFI s Securities BLACKSTONE GSO FLOATING RATE ENHANCED INCOME FUND ADVISORY CLASS D NEW YORK, NY 8/17/2018 00844968-01 Registered FS MULTI ALTERNATIVE INCOME
All Securities Law, Franchise Law, and Take-Over Law Filings for 10/29/2017 through 11/4/2017
Securities Law Registration Filings Made with DFI s Securities GRACEPOINT CHURCH BREMERTON, WA 11/1/2017 00819517-02 Pending Number of Registration Filings: 1 Securities Law Exemption Filings Made with
All Securities Law, Franchise Law, and Take-Over Law Filings for 5/20/2018 through 5/26/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities WESLEYAN INVESTMENT FOUNDATION INC Number of
All Securities Law, Franchise Law, and Take-Over Law Filings for 11/25/2018 through 12/1/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 Securities Law
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/15/2017 through 1/21/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities RED RIBBON RANCH LLC LA CANADA, CA 1/20/2017
All Securities Law, Franchise Law, and Take-Over Law Filings for 11/26/2017 through 12/2/2017
Securities Law Registration Filings Made with DFI s Securities ANGEL OAK STRATEGIC CREDIT FUND Number of Registration Filings: 1 MILWAUKEE, WI 12/1/2017 00824070-01 Registered Securities Law Exemption
All Securities Law, Franchise Law, and Take-Over Law Filings for 7/1/2018 through 7/7/2018
Securities Law Registration Filings Made with DFI s Securities PREDEX PREDEX CLASS I HAUPPAUGE, NY 7/3/2018 00841912-01 Registered AMERIN BEACON SOUND POINT ENHANCED INCOME FUND Y CLASS IRVING, TX 7/2/2018
All Securities Law, Franchise Law, and Take-Over Law Filings for 6/10/2018 through 6/16/2018
Securities Law Registration Filings Made with DFI s Securities BLACKSTONE REAL ESTATE INCOME TR INC Number of Registration Filings: 1 NEW YORK, NY 6/14/2018 00840772-01 Pending Securities Law Exemption
All Securities Law, Franchise Law, and Take-Over Law Filings for 10/28/2018 through 11/3/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings: 0 Securities Law
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/6/2017 through 8/12/2017
Securities Law Registration Filings Made with DFI s Securities GRIFFIN INSTITUTIONAL ACCESS CREDIT FUND CLASS L SHARES EL SEGUNDO, 8/11/2017 00811784-01 Registered OAKTREE REAL ESTATE INCOME TR INC LOS
All Securities Law, Franchise Law, and Take-Over Law Filings for 8/26/2018 through 9/1/2018
Securities Law Registration Filings Made with DFI s Securities OFI RLYLE PRIVATE CREDIT FUND CLASS I CENTENNIAL, CO 8/29/2018 00845871-01 Registered OFI RLYLE PRIVATE CREDIT FUND CLASS L OFI RLYLE PRIVATE
Subsequent Years Distribution* Initial
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All Securities Law, Franchise Law, and Take-Over Law Filings for 8/19/2018 through 8/25/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities FUNDRISE GROWTH EREIT 2, DC 8/23/2018 00845559-25
All Securities Law, Franchise Law, and Take-Over Law Filings for 5/21/2017 through 5/27/2017
Securities Law Registration Filings Made with DFI s Securities MERCY HILL CHURCH IRONWOOD INSTITUTIONAL MULTI STRATEGY FUND LLC GREENSBORO, NC SAN FRANCISCO, CA 5/26/2017 00806164-02 Pending 5/25/2017
All Securities Law, Franchise Law, and Take-Over Law Filings for 5/14/2017 through 5/20/2017
All Securities Law, Franchise Law, and Take-Over Law Filings Securities Law Registration Filings Made with DFI s Securities UNITED METHODIST DEVELOPMENT FUND Number of Registration Filings: 1 PHILADELPHIA,
All Securities Law, Franchise Law, and Take-Over Law Filings for 1/1/2017 through 1/7/2017
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 KNIGHTSCOPE INC Securities Law Exemption Filings Made with DFI s Securities Number of Exemption Filings:
All Securities Law, Franchise Law, and Take-Over Law Filings for 3/18/2018 through 3/24/2018
Securities Law Registration Filings Made with DFI s Securities Division DESTRA INTERNATIONAL & EVENT DRIVEN CREDIT FUND CHICAGO, IL 3/21/2018 00835564-01 Pending RIVER CHRISTIAN CENTER INC DBA RIVER CHRISTIAN
All Securities Law, Franchise Law, and Take-Over Law Filings for 12/9/2018 through 12/15/2018
Securities Law Registration Filings Made with DFI s Securities Bethel Presbyterian Church Marlborough, MA 12/12/2018 849526-02 Pending Number of Registration Filings: 1 Securities Law Exemption Filings
All Securities Law, Franchise Law, and Take-Over Law Filings for 4/8/2018 through 4/14/2018
Securities Law Registration Filings Made with DFI s Securities Number of Registration Filings: 0 Securities Law Exemption Filings Made with DFI s Securities FORWARD COMMUNITY INVESTMENTS INC Number of
Local Consumer Commerce
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