DENVER / WASHINGTON / DC / DULLES / SAN FRANCISCO / LISLE / HOUSTON / LOS ANGELES / INDIANAPOLIS / SERIES OAKBROOK / CLASS MILWAUKEE / OAKBROOK / BALTIMORE / MILWAUKEE / NEW YORK / NEWPORT BEACH / /
Company
SERIES 1041 QUALITY MUNICIPALS INCOME TR 54TH LTD / Location Date Received File Number Status MARSHALL FUNDS INC / TIAA CREF / NATIONAL RURAL UTILITIES COOPERATIVE FINANCE CORP / LEGG MASON CAPITAL MANAGEMENT VALUE TR INC / ALLIANCEBERNSTEIN BOND FUND INC / FUNDS MULTI STRATEGY TR ALLIANZ GLOBAL INVESTORS SOLUTIONS / Registered TCW FUNDS INC / ALLIANZ / S&P / Pending-Cleared MARSHALL FUNDS INC / MID SMALL CO / SERIES 1040 QUALITY MUNICIPALS INCOME TR 53RD LTD / INVESCO / Pending-Cleared JANUS INVESTMENT FUND / Registered VANTAGEPOINT FUNDS / ALLIANCEBERSNTEIN LTD / STRATEGY TR ALLIANZ GLOBAL INVESTORS SOLUTIONS / ALLIANZ FUNDS MULTI STRATEGY TR ALLIANZ GLOBAL / LIFESTYLE INCOME FUND / WKURXJK Securities / BMO DIVIDEND INCOME FUND / Pending-Cleared VANTAGEPOINT FUNDS / /
Currency
USD / /
MarketIndex
FUND / /
Organization
LIFESTYLE CONSERVATIVE FUND / LIFESTYLE AGGRESSIVE GROWTH FUND / GLOBAL MANAGED VOLATILITY FUND / ABSOLUTE RETURN EMD & CURRENCY FUND / PIMCO EQUITY SERIES PIMCO EQS DIVIDEND FUND / LIFESTYLE MODERATE FUND / LIFESTYLE GROWTH FUND / GLOBAL ALLOCATION FUND INDIANAPOLIS / ADVISERS TR GRANITE VALUE FUND INDIANAPOLIS / /
$OO6HFXULWLHV/DZ)UDQFKLVH/DZDQG7DNH2YHU/DZ)LOLQJV IRUWKURXJK Securities Law Registration Filings Made with DFI’s Securities Division Firm Name