Filed on August 3, 2009

File No. 812-13679

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

In the Matter of the Application of

Bank of America Corporation

 

FIRST AMENDED AND RESTATED
APPLICATION PURSUANT TO SECTION 9(c) OF THE

INVESTMENT COMPANY ACT OF 1940 FOR TEMPORARY

AND PERMANENT ORDERS EXEMPTING APPLICANTS

FROM THE PROVISIONS OF SECTION 9(a) OF SUCH ACT.

Communications, Notice and Order to:

Trisha Lawson

Bank of America

Bank of America Tower

One Bryant Park, 18th Floor

New York, NY 10036

(646) 855-0836

 

With a copy to:

Robin M. Bergen

Cleary Gottlieb Steen & Hamilton LLP

2000 Pennsylvania Avenue, NW

Washington, DC 20006

(202) 974-1514

 

 

 

 

 

 

 

 



 

 

UNITED STATES OF AMERICA

BEFORE THE

SECURITIES AND EXCHANGE COMMISSION

 

  

 

 

 

In the Matter of the Application of:

 

Bank of America Corporation
100 N. Tryon Street
Charlotte, NC 28255 

Columbia Management Advisers, LLC
100 Federal Street
Boston, MA 02110 

Columbia Wanger Asset Management, L.P.
227 West Monroe Street
Suite 3000
Chicago, IL 60606 

Columbia Management Distributors, Inc.
One Financial Center
Boston, MA 02111 

Banc of America Investment Advisors, Inc.
100 Federal Street
Boston, MA 02110 

Bank of America Capital Advisors LLC
100 Federal Street
Boston, MA 02110 

U.S. Trust Hedge Fund Management, Inc.
225 High Ridge Road
West Building
Stamford, CT 06905 

Merrill Lynch, Pierce, Fenner & Smith Incorporated
North Tower
4 World Financial Center
New York, NY 10080 

IQ Investment Advisors LLC
North Tower
4 World Financial Center
New York, NY 10080 

Roszel Advisors, LLC
1700 Merrill Lynch Drive
Pennington, NJ 08534 

Nuveen Asset Management
333 West Wacker Drive
Chicago, IL 60606 

Nuveen Investments Advisers Inc.
333 West Wacker Drive
Chicago, IL 60606 

Nuveen Investments Institutional Services Group, LLC
333 West Wacker Drive
Chicago, IL 60606 

Nuveen HydePark Group, LLC
333 West Wacker Drive
Chicago, IL 60606 

NWQ Investment Management Company LLC
333 West Wacker Drive
Chicago, IL 60606 

Nuveen Investment Solutions, Inc.
333 West Wacker Drive
Chicago, IL 60606 

Santa Barbara Asset Management, LLC
333 West Wacker Drive
Chicago, IL 60606 

Symphony Asset Management LLC
333 West Wacker Drive
Chicago, IL 60606 

Tradewinds Global Investors, LLC
333 West Wacker Drive
Chicago, IL 60606 

Winslow Capital Management, Inc.
333 West Wacker Drive
Chicago, IL 60606 

Nuveen Investments, LLC
333 West Wacker Drive
Chicago, IL 60606-1286 

KECALP Inc.
North Tower
4 World Financial Center
New York, NY 10080 

Merrill Lynch Ventures, LLC
North Tower
4 World Financial Center
New York, NY 10080

File No. 812-13679

FIRST AMENDED AND RESTATED APPLICATION PURSUANT TO SECTION 9(c) OF THE INVESTMENT COMPANY ACT OF 1940 FOR TEMPORARY AND PERMANENT ORDERS EXEMPTING APPLICANTS FROM THE PROVISIONS OF SECTION 9(a) OF SUCH ACT

 

 

 

Bank of America Corporation (“BAC”), Columbia Management Advisors, LLC (“CMA”), Columbia Wanger Asset Management, L.P. (“CWAM”), Columbia Management Distributors, Inc. (“CMDI”), Banc of America Investment Advisors, Inc. (“BAIA”), Bank of America Capital Advisors LLC (“BACA”), U.S. Trust Hedge Fund Management, Inc. (“USTHFM”), Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPFS”), IQ Investment Advisors LLC (“IQ”), Roszel Advisors, LLC (“Roszel”), Nuveen Asset Management (“NAM”), Nuveen Investments Advisers Inc. (“NIA”), Nuveen Investments Institutional Services Group, LLC (“ISG”), Nuveen HydePark Group, LLC (“Nuveen HydePark”), NWQ Investment Management Company LLC (“NWQ”), Nuveen Investment Solutions, Inc. (“NIS”), Santa Barbara Asset Management, LLC (“Santa Barbara”), Symphony Asset Management LLC (“Symphony”), Tradewinds Global Investors, LLC (“Tradewinds”), Winslow Capital Management, Inc. (“Winslow,” and together with NAM, NIA,

 

 

 

 



 

ISG, Nuveen HydePark, NWQ, NIS, Santa Barbara, Symphony and Tradewinds, the “Nuveen Advisers”), Nuveen Investments, LLC (“Nuveen Investments” and, together with Nuveen Advisers, the “Nuveen Applicants”), KECALP Inc. (“KECALP”), and Merrill Lynch Ventures, LLC (“Ventures”) (collectively, the “Applicants”) each respectfully submits this application (“Application”) pursuant to Section 9(c) of the Investment Company Act of 1940, as amended (the “Act”), for (i) a temporary order granting an exemption from the prohibitions imposed by Section 9(a) of the Act pending the determination of the Securities and Exchange Commission (the “Commission”) on the Application for a permanent exemption (“Temporary Order”) and (ii) a permanent order exempting the Applicants from the provisions of Section 9(a) of the Act (“Permanent Order” and, together with the Temporary Order, the “Orders”) with respect to the injunction described below entered against BAC.

The Applicants offer a wide array of financial products such as U.S. Government Securities, U.S. Government Agency obligations, corporate debt and equity securities, state and municipal securities, variable life insurance or annuities, mortgage and other asset backed securities, mutual funds, money market instruments, and other financial instruments. Moreover, the Applicants provide retail securities brokerage, investment advisory and management services, underwriting and distributing services, placement agent services, investment banking and financial advisory services in connection with public offerings, mergers and acquisitions, restructurings, private placements, loan syndications, loan trading, derivative product arrangements, project financing, and futures and options on futures.

While BAC does not currently serve, and no existing company of which BAC is an affiliated person (other than the Applicants) currently serves, as an investment adviser (as defined in Section 2(a)(20) of the Act) or depositor of any registered investment company

 

 

 

 



 

(“RIC”) or principal underwriter (as defined in Section 2(a)(29) of the Act) for any registered open-end company, registered unit investment trust (“UIT”) or registered face amount certificate company, the Applicants request that any relief granted by the Commission pursuant to this Application also apply to any other existing company of which BAC is an affiliated person within the meaning of Section 2(a)(3) of the Act and to any other company of which BAC may become an affiliated person in the future (together with the Applicants, the “Covered Persons”). Certain Applicants serve as investment advisers to employees’ securities companies (“ESCs” and, together with the RICs, the “Funds”).

The Applicants respectfully request that the Temporary Order remain in effect until the Commission acts on the Application for the Permanent Order.

I.

BACKGROUND

 

A.

Description of the Applicants

BAC is a Delaware corporation and a reporting company registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), whose shares are traded on the New York Stock Exchange. BAC is a bank holding company and a financial holding company. Through its banking and non-banking subsidiaries, it provides a range of financial services and products, including wealth management, corporate and investment banking and trading across a range of asset classes. BAC is not registered as a broker-dealer under the Exchange Act or as an investment adviser under the Investment Advisers Act of 1940 (the “Advisers Act”).

CMA serves as investment adviser or sub-adviser to over 100 Columbia Funds as listed in Annex A, Parts 1-B and 1-C. As of June 30, 2009, CMA had assets under management of approximately $310.5 billion. CMA is an indirect wholly-owned subsidiary of Bank of

 

 

 

 



 

America, N.A., which is an indirect wholly owned subsidiary of BAC, and, as of June 30, 2009, employed approximately 1,000 individuals. CMA’s management experience covers all major asset classes, including equity securities, fixed income securities and money market instruments. In addition to serving as investment adviser to Funds, CMA acts as an investment manager for individuals, corporations, retirement plans, private investment companies and financial intermediaries. CMA is registered as an investment adviser under the Advisers Act. CMA is also registered as a commodity pool operator and commodity trading adviser under the Commodities Exchange Act of 1936, as amended (“CEA”), and is a member of the National Futures Association.

CWAM is registered as an investment adviser under the Advisers Act, and serves as investment adviser to multiple Funds as listed in Annex A, Part 1-D. As of June 30, 2009, CWAM had assets under management of approximately $21.3 billion. CWAM is a registered investment adviser and an indirect, wholly-owned subsidiary of Bank of America, N.A., which is an indirect, wholly-owned subsidiary of BAC, and employs approximately 85 individuals. In addition to serving as investment adviser to Funds, CWAM acts as an investment manager for other institutional accounts.

CMDI serves as the principal underwriter and distributor for the shares of multiple open-end Funds as listed in Annex A, Part 1-B as well as unregistered investment vehicles. CMDI, a Massachusetts corporation, is registered as a broker-dealer under the Exchange Act and is an indirect, wholly owned subsidiary of BAC. CMDI employs approximately 25 individuals.

BAIA is registered as an investment adviser under the Advisers Act and serves as investment adviser to several Funds that are registered funds of hedge funds as listed in Annex A, Part 1-A, as well as privately offered investment vehicles. As of June 30, 2009, BAIA had

 

 

 



 

assets under management of approximately $1.545 billion. BAIA, a Delaware corporation formed in 1985, is a registered investment adviser and an indirect, wholly-owned subsidiary of BAC that is subject to regulation under certain U.S. banking laws and regulations. BAIA is also registered as a commodity pool operator and a commodity trading adviser under the CEA, and is a member of the National Futures Association. BAIA is responsible for the management of the day-to-day operations, business and affairs of the Funds it manages and for performing various investment management and supervisory services, including selecting Fund managers, underlying Funds, and monitoring the performance thereof. BAIA employs approximately 20 individuals.

BACA is registered as an investment adviser under the Advisers Act and serves as investment adviser to several Funds that are registered private equity funds of funds as listed in Annex A, Part 1-A, as well as privately offered investment vehicles. As of June 30, 2009, BACA had assets under management of approximately $1.325 billion. BACA, a Delaware limited liability company formed in 1998, is a registered investment adviser and an indirect wholly owned subsidiary of BAC. BACA is responsible for the management of the day-to-day operations, business and affairs of the Funds it manages and for performing various investment management and supervisory services, including selecting Fund managers and underlying Funds, and monitoring the performance thereof. BACA employs approximately 20 individuals.

USTHFM is registered as an investment adviser under the Advisers Act and serves as investment adviser to several Funds that are registered funds of hedge funds as listed in Annex A, Part 1-A, as well as privately offered investment vehicles. As of June 30, 2009, USTHFM had assets under management of approximately $1.022 billion. USTHFM, a North Carolina corporation formed in 1994, is a registered investment adviser and an indirect, wholly-owned

 

 

 



 

subsidiary of BAC. USTHFM is responsible for developing, implementing and supervising the investment programs of the funds it manages and providing day-to-day management services to those funds. USTHFM also provides such funds with various management and administrative services. USTHFM employs approximately 20 individuals.

MLPFS is a global investment banking, trading and wealth management firm and is registered as a broker-dealer under the Exchange Act, as an investment adviser under the Advisers Act, and as a futures commission merchant under the CEA. As of July 2, 2009, MLPFS employed over 24,500 registered personnel. As reported in its current Form ADV, MLPFS provides the following investment advisory services to about 490,500 clients: financial planning services; portfolio management for individuals and/or small businesses; portfolio management for businesses or institutional clients (other than investment companies); pension consulting services; selection of other advisors; performance measurement reports; allocation modeling; investment policy services; research reports; and 529 plans. MLPFS currently serves as the principal underwriter to certain open-end Funds, which are identified in Annex A, Part 1-E, and serves as lead underwriter to certain closed-end funds from time to time. As reported in its current Form ADV, MLPFS has approximately $192 billion in assets under management. MLPFS does not currently serve as investment adviser or depositor of any Fund, but it may seek to do so in the future. MLPFS, a Delaware corporation, with its principal place of business in New York, is a wholly owned subsidiary of Merrill Lynch & Co., Inc. (“Merrill Lynch”). Merrill Lynch is a direct subsidiary of BAC, which owns 100% of the voting securities of Merrill Lynch. Merrill Lynch, through its subsidiaries and affiliates, provides investment, financing, advisory, insurance, banking and related products and services on a global basis.

 

 

 

 



 

 

IQ is registered as an investment adviser under the Advisers Act. IQ is a Delaware limited liability company and an indirect wholly owned subsidiary of Merrill Lynch and BAC. As reported in its current Form ADV, IQ provides the following investment advisory services to 11-25 clients: portfolio management for investment companies; portfolio management for businesses or institutional clients (other than investment companies); and selection of other advisers. IQ currently acts as an investment adviser to certain Funds, which are identified in Annex A, Part 1-E. As reported in its current Form ADV, IQ has approximately $1.19 billion in assets under management. While IQ is not currently registered as a broker-dealer under the Exchange Act and does not serve as depositor or principal underwriter for any Fund, it may seek to do so in the future, at which time it would register as a broker-dealer.

Roszel, a Delaware limited liability company and an indirect wholly owned subsidiary of Merrill Lynch and BAC, is registered as an investment adviser under the Advisers Act. As reported in its current Form ADV, Roszel provides the following investment advisory services to 1-10 clients: portfolio management for investment companies; selection of other advisers; and creation and maintenance of asset allocation programs available with variable contracts issued by insurance companies. Roszel currently acts as an investment adviser to certain Funds, which are identified in Annex A, Part 1-E. As of June 30, 2009, Roszel had approximately $322.65 million in assets under management. While Roszel is not currently registered as a broker-dealer under the Exchange Act and does not serve as depositor or principal underwriter for any Fund, it may seek to do so in the future, at which time it would register as a broker-dealer.

The Nuveen Advisers are subsidiaries of Nuveen Investments, Inc. (“Nuveen”), until 2007 a publicly-traded company incorporated in Delaware conducting asset management, related research, and the development, marketing and distribution of investment products and

 

 

 

 



 

services, including closed-end exchange-traded funds and open-end funds. Each of the Nuveen Advisers is registered as an investment adviser under the Advisers Act.1 On November 13, 2007, Nuveen was acquired by a group of equity investors led by Madison Dearborn Partners, LLC (“MDP”), through Windy City Investments Holdings, L.L.C. (“Windy City Holdings”), in an all-cash buyout. Merrill Lynch served as the lead transaction advisor to MDP in connection with the acquisition and is an indirect investor in Windy City Holdings. Merrill Lynch, through its affiliate, ML Windy City Investments Holdings, LLC, owns approximately 32% of the non-voting common units of Windy City Holdings. Although the Nuveen Applicants believe that Merrill Lynch does not “control” Nuveen within the meaning of Section 2(a)(9) of the Act, the Nuveen Applicants assume, solely for purposes of this Application, that such control exists. As a result of Merrill Lynch’s investment in Windy City Holdings and solely for purposes of Section 9(a) of the Act, the Nuveen Applicants may be deemed “affiliated persons” of BAC under Section 2(a)(3) of the Act because they may be considered to be controlled by Merrill Lynch, and ultimately, indirectly controlled by BAC. The Nuveen Advisers serve as advisers or sub-advisers to certain Funds, which are identified in Annex A, Parts 1-F and 1-G, and had total assets under management of approximately $119 billion as of December 31, 2008.

Nuveen Investments is a Delaware limited liability company and a direct wholly-owned subsidiary of Nuveen. It is registered as a broker-dealer under the Exchange Act and acts as,

 

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1

The organization and ownership of each Nuveen Adviser is as follows: NAM (a Delaware corporation that is a wholly-owned subsidiary of Nuveen); NIA (a Delaware corporation that is a wholly-owned subsidiary of Nuveen); ISG (a Delaware limited liability company that is a wholly-owned subsidiary of Nuveen); Nuveen HydePark (a Delaware limited liability company that is an indirect wholly-owned subsidiary of Nuveen); NWQ (a Delaware limited liability company that is an indirect wholly-owned subsidiary of Nuveen); NIS (an Illinois corporation that is a wholly-owned subsidiary of Nuveen); Santa Barbara (a Delaware limited liability company that is a wholly-owned subsidiary of Nuveen); Symphony (a California limited liability company that is an indirect, wholly-owned subsidiary of Nuveen); Tradewinds (a Delaware limited liability company that is an indirect wholly-owned subsidiary of Nuveen); and Winslow (a Minnesota corporation that is a wholly owned subsidiary of Nuveen).

 

 

 

 



 

among other things, an underwriter or sponsor for closed-end funds from time to time, and serves as the principal underwriter and distributor for certain open-end Funds, which are identified in Annex A, Part 1-F. Nuveen Investments also serves as depositor for certain UITs, which are identified in Annex A, Part 1-H. As of June 3, 2009, the Nuveen Applicants employed over 950 individuals, including registered personnel.

KECALP, a corporation organized under the laws of Delaware, is an indirect wholly owned subsidiary of Merrill Lynch and BAC, and serves as an investment adviser, in its capacity as general partner or otherwise, to certain ESCs within the meaning of Section 2(a)(13) of the Act sponsored by Merrill Lynch and its affiliates. As of June 30, 2009, KECALP had assets under management of $11.9 million. Ventures is a Delaware limited liability company and an indirect wholly-owned subsidiary of Merrill Lynch and BAC. Ventures is the general partner of and serves as the investment adviser in such capacity to an ESC, and had assets under management of approximately $528.2 million as of June 30, 2009. Of these two ESC advisers, KECALP and Ventures, only KECALP is registered as an investment adviser under the Advisers Act. Neither KECALP nor Ventures provide any of the services covered by Section 9(a) to Funds other than to the ESCs. The ESCs, which are identified in Annex A, Part 1-E, have been exempted from all provisions of the Act (and the rules and regulations thereunder), except for certain sections, including Section 9, pursuant to a Commission order (“ESC Order”).2

 

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2

See Investment Company Act Release No. 12290 (Mar. 11, 1982) (notice). See also Investment Company Act Release No. 12363 (Apr. 8, 1982) (order). The KECALP order has been amended several times over the years. Merrill Lynch KECALP Growth Investments Limited Partnership 1983, et al., Investment Company Act Release No. 18082 (Apr. 8, 1991) (notice); Investment Company Act Release No. 18137 (May 7, 1991) (order); Merrill Lynch KECALP Growth Investments L.P. 1983, et al., Investment Company Act Release No. 20280 (May 5, 1994) (notice); Investment Company Act Release No. 20328 (June 1, 1994) (order); Merrill Lynch KECALP L.P. 1994, et al., Investment Company Act Release No. 21124 (June 8, 1995) (notice); Investment Company Act Release No. 21187 (July 5, 1995) (order); and Merrill Lynch KECALP L.P. 1997 et al., Investment Company Act Release No. 22647 (Apr. 30, 1997) (notice); Investment Company Act Release No. 22689 (May 28, 1997) (order). For the Ventures order, see Investment Company Release No. 24741 (Nov. 15, 2000) (notice); Investment Company Act Release No. 24790 (Dec. 12, 2000) (order).

 

 

 

 



 

 

 

B.

The Consent and Injunction

The Staff of the Commission’s Division of Enforcement has engaged in settlement discussions with BAC in connection with an investigation by the Commission relating to disclosures in BAC’s joint proxy statement filed on November 3, 2008 concerning Merrill Lynch incentive compensation for 2008. As a result of these discussions, the Commission has filed a complaint against BAC in the United States District Court for the Southern District of New York (the “District Court”) on August 3, 2009 in a civil action captioned Securities and Exchange Commission v. Bank of America Corporation (S.D.N.Y. 2009) (No. 09-Civ. 6829); (the “Complaint”). BAC has executed a consent in which it neither admits nor denies any of the allegations in the Complaint, except as to jurisdiction, but consents to the entry of a final judgment against BAC by the District Court (the “Final Judgment”).

The Complaint alleges that BAC violated Section 14(a) of the Exchange Act and Rule 14a-9 thereunder by failing to disclose in BAC’s proxy statement filed on November 3, 2008 the incentive compensation that Merrill Lynch could, in its discretion, award to its employees prior to completion of the merger between BAC and Merrill Lynch. The Final Judgment, among other things, enjoins BAC from directly or indirectly violating Section 14(a) of the Exchange Act and Rule 14a-9 thereunder (the “Injunction”).3

II.

APPLICABILITY OF SECTION 9(C) OF THE ACT

Section 9(a)(2) of the Act provides, in pertinent part, that a person may not serve or act as, among other things, an investment adviser or depositor of any investment company registered under the Act, or as a principal underwriter for any registered open-end investment

 

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3             Securities and Exchange Commission v. Bank of America Corporation, Civil Action No. 09-6829 (S.D.N.Y. entered _____ __, 2009).

 

 

 

 



 

company, UIT or registered face amount certificate company, if the person, by reason of any misconduct:

is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction . . . from engaging in or continuing any conduct or practice . . . in connection with the purchase or sale of any security.

 

Section 9(a)(3) extends the prohibitions of Section 9(a)(2) to a company, any “affiliated person” of which is disqualified under the provisions of Section 9(a)(2). The term “affiliated person” is defined in Section 2(a)(3) of the Act to mean in relevant part “any person directly or indirectly controlling, controlled by, or under common control with, such other person.”

The entry of the Injunction will result in the disqualification of BAC from acting in the capacities specified in Section 9(a)(2) because BAC will be permanently enjoined by the District Court from engaging in certain conduct or practices in connection with the purchase or sale of a security. Moreover, the entry of the Injunction also results in the disqualification of each of the other Applicants under Section 9(a)(3) because they are, or may be considered to be, controlled by and therefore “affiliated persons” of BAC. Taken together, Sections 9(a)(2) and 9(a)(3) have the effect of precluding each of the Applicants from acting as an adviser, sub-adviser or depositor to Funds, or principal underwriter for any registered open-end investment company, UIT or registered face amount company (collectively, “Fund Servicing Activities”).

Section 9(c) of the Act provides that the Commission can grant, upon application, an exemption from the provisions of Section 9(a), either unconditionally or on an appropriate temporary or conditional basis, to any person if that person establishes that: (1) the prohibitions of Section 9(a), as applied to the person, are unduly or disproportionately severe; or (2) the conduct of the person has been such as not to make it against the public interest or protection of investors to grant the exemption. In determining whether an exemption should be granted under

 

 

 



 

Section 9(c), the Commission historically has analyzed the facts and circumstances of each case and has focused particularly on whether the parties seeking relief had any involvement in or have remedied the conduct that serves as the basis for disqualification under Section 9(a).4

As a result of the Final Judgment, which includes the Injunction, the Applicants submit this Application pursuant to Section 9(c) of the Act. In order to ensure the eligibility of each of the Applicants and Covered Persons to continue to provide, or to provide in the future, Fund Servicing Activities, the Applicants respectfully request that the Commission grant the Orders.

III.

STATEMENT IN SUPPORT OF THE APPLICATION

In support of their position that the Commission should issue the Orders, the Applicants assert the following.

 

A.

Limited Scope and Impact of the Alleged Misconduct

The conduct alleged in the Complaint did not in any way involve any of the Applicants acting in their capacity as investment adviser, sub-adviser, depositor or principal underwriter for the Funds. The legislative history of Section 9 indicates that the purpose of the Section “was to get rid of persons with criminal records, persons who were under injunctions from the courts of competent jurisdiction for improper practices in connection with securities.”5 When Section 9 was adopted, investment companies were typically managed by relatively small partnerships. It was not foreseeable at that time that investment advisers and other service providers to investment companies would in the future be part of large financial service organizations like the Applicants. Therefore, it could not have been intended that a Fund would have to be deprived of

 

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4            Cf. Applications for Relief from Disqualification, Investment Company Act Release No. 8689 (Feb. 26, 1975).

 

 5           Investment Trusts and Investment Companies: Hearings on S. 3580 Before the Subcomm. on Securities and Exchange of the Senate Comm. on Banking and Currency, 76th Cong., 3d Sess. 874 (1940) (statement of Judge Healy).

 

 

 

 



 

its investment manager, depositor or distributor because of alleged violations that are not related in any manner to Fund Servicing Activities. In the absence of improper practices related to Fund Servicing Activities, Section 9(a) should not operate to bar the Applicants from servicing the Funds and their shareholders. As a result, the conduct of the Applicants has not been such as to make it against the public interest or the protection of investors for the Commission to grant the Orders.

 

B.

Hardships on the Funds and their Shareholders

The inability of the Applicants (except for BAC) to continue providing Fund Servicing Activities would result in potentially severe financial hardship for both the Funds and their shareholders. If the Section 9(a) disqualifications applied to the Applicants, the shareholders of certain Funds would be deprived of the advisory or sub-advisory services that they expected to receive when they decided to invest in the Funds. Such services are extensive and include responsibility for the day-to-day operations, business and affairs of the Funds and various investment management and supervisory services, such as selecting fund managers, underlying funds, and monitoring performance. Disqualification from providing these services would disrupt investment strategies and could potentially result in large net redemptions of shares of the Funds, which in turn could both frustrate efforts to effectively manage the Funds’ assets and could increase the Funds’ expense ratios to the detriment of non-redeeming shareholders. Any effort by the directors of the Funds to find suitable replacement investment advisers and/or sub-advisers would necessarily take time, during which the Funds would lack advisory services. Even if a new investment adviser or sub-adviser is chosen, the cost of obtaining shareholder approval for the new investment advisory or sub-advisory agreements would be substantial. Specifically, the costs associated with the disqualification would include: (1) the costs of

 

 

 

 



 

identifying a suitable successor investment advisor or sub-advisor; (2) the costs of calling a special meeting of the boards of directors of the Funds; (3) the costs of preparing, printing, and mailing proxy materials to all shareholders; (4) the cost of actively soliciting shareholder proxies and tabulating those proxies; and (5) the costs of holding the shareholder meetings. The prohibitions of Section 9(a) could, therefore, operate to the financial detriment of certain Funds and their shareholders.

Similarly, the disqualification of MLPFS, CMDI and Nuveen Investments from serving as principal underwriters to certain Funds would result in hardship to those Funds and their shareholders. Not only would the Funds have to expend time and resources to find and engage substitute principal underwriters, but the substitute underwriters would not be able to replicate the selling network established by MLPFS, CMDI and Nuveen Investments. Therefore, the Section 9(a) disqualifications would be unduly and disproportionately severe on the financial interests of the Funds and their shareholders.

Finally, the inability of Nuveen Investments to continue to serve as depositor for UITs would result in potential hardship to the UITs, their unit holders and their trustees. Neither the protection of investors nor the public interest would be served by permitting the Section 9(a) disqualifications to apply to Nuveen Investments in this role because to do so would deprive the unit holders of the services that Nuveen Investments provides. For example, Nuveen Investments monitors the UIT portfolios and, to the extent consistent with the UIT trust agreements and Section 4(2) of the Act, arranges for the removal of securities from the UIT portfolios and/or assists in determining whether to terminate a trust when doing so is in the interest of unitholders. Nuveen Investments would have to expend time and other resources to engage substitute service providers to perform these services, at what might be higher costs.

 

 

 



 

This could impose burdens on unit holders as well as UIT trustees. Thus, the prohibitions imposed by Section 9(a) could operate to the financial detriment of the UITs and their unitholders.

 

C.

Adverse Effects on Applicants

If the Applicants (other than BAC) are unable to obtain the requested relief under Section 9(c) and are barred by Section 9(a) from engaging in Fund Servicing Activities, the effect on such Applicants’ businesses and employees would be severe. These Applicants have committed substantial capital and resources to establishing expertise in advising and sub-advising the Funds and in support of their principal underwriting business and depository services. Prohibiting the Applicants from providing Fund Servicing Activities would negatively impact their ability to offer clients a comprehensive range of financial services, and ultimately adversely affect each Applicant’s business (except for BAC). Such harm to the Applicants’ businesses would also negatively impact their employees. The Applicants collectively employ more than 30,000 employees, including registered personnel, some of whom perform Fund Servicing Activities for the Funds. Without the requested relief, such employees would experience significant difficulty in obtaining alternative employment.

With respect to KECALP and Ventures in particular, their disqualification from servicing the ESCs, either as general partner, adviser or sub-adviser to an ESC, would not be in the public interest or in the furtherance of the protection of investors, and indeed such disqualification would frustrate the expectations of eligible employees who invested in the ESCs. It would not be consistent with the purposes of the employees’ securities company provisions of the Act or the representations made in the terms and conditions of the ESC Order to require another entity not affiliated with Merrill Lynch or BAC to manage the ESCs. In

 

 

 

 



 

addition, participating employees of Merrill Lynch and its affiliates subscribed for interests in the ESCs with the expectation that the ESCs would be managed by an affiliate of Merrill Lynch.

Similarly, if Nuveen Investments is barred under Section 9(a) from continuing to serve as a depositor to the UITs and is unable to obtain the requested exemption, the effect on its current business and employees would be severe. Prohibiting Nuveen Investments from serving as a depositor would not only adversely affect its current business, but also its employees that are involved in these activities. Nuveen Investments has also committed an extensive amount of capital and other resources to support these activities. For these reasons, the imposition of the Section 9(a) disqualification on Nuveen Investments would be unduly and disproportionately severe.

For the foregoing reasons, the imposition of the Section 9(a) disqualification on the Applicants would be unduly and disproportionately severe.

 

 

 

 



 

 

 

D.

No Connection between the Alleged Conduct and the Applicants’ Provision of Services to the Funds

The conduct alleged in the Complaint did not in any way involve any of the Applicants acting in their capacity as investment adviser, sub-adviser, depositor or principal underwriter for any of the Funds. In addition, with several exceptions,6 no Funds to which any Applicant currently provides Fund Servicing Activities held any shares of BAC stock entitled to vote on the BAC-Merrill Lynch merger, other than with respect to index funds. With the possible exceptions noted above, the alleged conduct giving rise to the Injunction did not involve any Fund for which an Applicant provided Fund Servicing Activities. BAC believes that no Funds that held BAC stock suffered any direct financial harm as a result of the conduct alleged in the Complaint. As no violation is alleged with respect to the services the Applicants provide to the Funds, it would not be against the public interest or the protection of investors for the Commission to grant the Orders.

 

E.

No Involvement of Applicants’ Personnel

Applicants note that, to the best of Applicants’ knowledge (i) none of the current directors and officers of the Applicants (other than BAC) or their employees that engage in Fund Servicing Activities (or any other persons in such roles during the time period covered by the Complaint) participated in the conduct alleged in the Complaint to have constituted the violations that provide a basis for the Injunction; (ii) any personnel at BAC who participated in the conduct alleged in the Complaint to have constituted the violations that provide a basis for the Injunction have had no, and will not have any future, involvement in the Applicants’ Fund

 

_________________________

6             Two Funds advised by CMA and distributed by CMDI held shares of BAC stock entitled to vote in the BAC-Merrill Lynch merger. In connection with the merger, CMA engaged a third-party proxy advisory firm to direct the voting of the Fund’s BAC stock. In addition, Roszel advised six Funds that held BAC stock entitled to vote on the record date for the proxy, each of which was sub-advised. In connection with the merger, the BAC shares of each Fund advised by Roszel were voted at the direction of the sub-advisers.

 

 

 

 



 

Servicing Activities; and (iii) because the personnel of the Applicants that are involved in Fund Servicing Activities did not participate in the alleged misconduct underlying the Injunction, shareholders of those Funds were not affected any differently than if those Funds had received services from any other non-affiliated investment adviser, depositor or principal underwriter.

 

F.

Disclosure to Fund Boards

To provide further assurance that granting the Orders would be consistent with the public interest and the protection of investors, the Applicants agree that they will, as soon as reasonably practical, distribute written materials, including an offer to meet in person to discuss the materials, to the boards of directors (“Boards”) of the Funds (excluding, for this purpose, the ESCs) for which the Applicants provide Fund Servicing Activities, including those directors who are not “interested persons” of such Funds as defined in Section 2(a)(19) of the Act and their independent legal counsel as defined in Rule 0-1(a)(6) under the Act, to discuss the circumstances that led to the Injunction, any impact on the Funds, and this Application. The Applicants also undertake to provide the Funds’ Boards with all of the information concerning the Injunction and this Application that is necessary for the Funds to fulfill their disclosure and other obligations under the federal securities laws.7

 

G.

Applicants’ Prior Section 9(c) Orders

Several Applicants, as well as certain of their affiliates, have previously applied for exemptive orders under Section 9(c) of the Act.

The Applicants (other than BAC)8 obtained a permanent exemptive order under Section 9(c) of the Act on July 7, 2009.9 The order related to allegations that BAS and BAI

 

_________________________

 

7

This subsection III.F will not apply to those Funds that are not required under the Act to have a Board.

8

The Applicants (other than BAC) were all applicants to the June 9, 2009, Section 9(c) temporary exemptive order.

 

 

 

 

 



 

misled customers regarding the fundamental nature and increasing risks associated with auction rate securities that they underwrote, marketed and sold and that by engaging in such conduct BAS and BAI violated Section 15(c) of the Exchange Act. BAS and BAI, without admitting or denying the allegations, consented to the entry of an injunction, which among other things, enjoined BAS and BAI from violating Section 15(c) of the Exchange Act and required BAS and BAI to comply with a series of undertakings designed, among other things, to provide relief to certain investors and undertake to work with issuers and other interested parties to seek to provide liquidity solutions for certain other investors.

BankAmerica Corporation (“BankAmerica”), now known as BAC, obtained an exemptive order under Section 9(c) of the Act on August 30, 1984.10 The application related to an enforcement action that was filed by the Commission against Bank of America National Trust and Savings Association (“Bank”), a national banking association whose capital stock was the principal asset and source of net income of BankAmerica. The Commission sought an order directing the Bank, as trustee for any trust holding more than 10% of any class of equity security (other than an exempted security) which is registered pursuant to Section 12 of the Exchange Act, to file timely reports required by Section 16(a) of the Exchange Act and the regulations thereunder with respect to changes in beneficial ownership of securities held by the Bank as trustee. The Bank, without admitting or denying the allegations, consented to the entry of a final order requiring the filing of the reports.

 

_________________________

 

             

9 Banc of America Securities LLC, et al., Release No. IC-28810 (July 7, 2009).

10

In the Matter of BankAmerica Corporation, Release No. IC-14118 (Aug. 30, 1984).

 

 

 

 

 



 

 

Robertson Stephens, Inc., (“RSI”), which, as an indirect subsidiary of BAC is an affiliate of the Applicants, obtained a Section 9(c) exemptive order on January 10, 2003.11 The application related to allegations that RSI allocated “hot” initial public offerings (“IPOs”) to customers willing to pay a portion of their profits from those IPOs to RSI and violated Section 17(a) of the Exchange Act, and Rule 17a-3 thereunder. RSI, without admitting or denying the allegations, consented to the entry of the final judgment, which among other things, enjoined RSI, directly or through its officers, directors, agents and employees, from violating Section 17(a) of the Exchange Act, and Rule 17a-3 thereunder, and ordered RSI to pay disgorgement of $23 million and a civil penalty of $5 million. RSI is no longer engaged in Fund Servicing Activities.

MLPFS obtained a Section 9(c) exemptive order on November 10, 1975.12 The order related to allegations that MLPFS violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder in connection with the dissemination by MLPFS to its customers of inaccurate or misleading research reports and other materials relating to Stirling Homex Corporation and its securities. On the date the complaint was filed, MLPFS, without admitting or denying the allegations of the complaint, consented to the entry of a permanent injunction enjoining MLPFS from violating those provisions of the federal securities laws in connection with Stirling Homex Corporation securities transactions.

Nuveen f/k/a John Nuveen & Co. Inc. (“Nuveen & Co.”) obtained an exemptive order under Section 9(c) of the Act on March 23, 1979.13 The order related to a lawsuit that was filed

 

_________________________

11

In the Matter of Robertson Stephens, Inc., et al, Release No. IC-25887 (Jan. 10, 2003).

 

12

In the Matter of Merrill Lynch Pierce Fenner & Smith Inc., Release No. IC-9002 (Nov. 10, 1975).

 

13

John Nuveen & Co. Incorporated et al., Investment Company Act Release No. IC-10641 (Mar. 23, 1979).

 

 

 

 

 


 

by the Commission against twenty defendants, including Peter A. Leonard, for engaging in, and aiding and abetting, the secret personal trading of government securities, in violation of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Leonard was Vice President of Nuveen Government Securities, Inc., a dealer in government securities and a wholly-owned subsidiary of Nuveen & Co. Leonard, without admitting or denying the allegations, settled the civil action by consenting to the entry of a final judgment, which, among other things, enjoined him from violating the above-listed provisions of the federal securities laws.

MLPFS, Roszel, Ventures, and KECALP obtained a Section 9(c) exemptive order on April 14, 2003, in connection with allegations that Merrill Lynch aided and abetted certain violations by Enron Corporation (“Enron”) of Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5 and 13b2-1 thereunder and certain other provisions of the federal securities laws.14 The alleged violations occurred in connection with Enron’s recording of revenue in its Form 10-K for the fiscal year ended 1999 in connection with a Nigerian barge transaction and two energy trades between Merrill Lynch, its direct and indirect subsidiaries, and Enron in December 1999. As part of the final judgment, Merrill Lynch, without admitting or denying the allegations, consented to the entry of an injunction as well as the payment of disgorgement, civil penalties and interest.

MLPFS, Roszel, Ventures and KECALP also obtained a Section 9(c) exemptive order on November 26, 2003.15 The order related to allegations that MLPFS violated certain Conduct Rules of the National Association of Securities Dealers and Rules of the New York Stock

 

_________________________

14 

In the Matter of Merrill Lynch Investment Managers, L.P., et al, Release No. IC-26005 (Apr. 14, 2003).

15 In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated, et al, Release No. IC-26280 (Nov. 26, 2003).

            

 

 

 

 

 



 

Exchange by engaging in acts and practices that created or maintained inappropriate influence by MLPFS’ investment banking business over the research analysts in MLPFS’ research department. Without admitting or denying the allegations against it, MLPFS consented to the entry of the injunction, as well as other relief.

Charles Daly, a former employee of an indirectly owned subsidiary of Merrill Lynch, FAM Distributors, Inc. (“FAMD” f/k/a Merrill Lynch Funds Distributors, Inc.), obtained an exemptive order under Section 9(c) of the Act on April 4, 1983.16 In February 1983, the Commission temporarily exempted Mr. Daly and FAMD from the prohibitions of Section 9(a) of the Act for the sole purpose to permit Mr. Daly to continue his employment at FAMD.17 The orders under Section 9(c) of the Act related to an injunction arising from alleged recordkeeping irregularities that took place at Mr. Daly’s previous employer, before he joined FAMD. The Commission alleged that Mr. Daly aided and abetted violations of Sections 31(a), 34(a) and 34(b) of the Act while he was employed by the New England Merchants National Bank of Boston, an entity that was not affiliated with Merrill Lynch. Without admitting or denying the allegations, Mr. Daly consented to the entry of an injunction, which was entered by the United States District Court for the District of Massachusetts.

 

H.

Applicants’ Condition

The Applicants agree that any order granted by the Commission pursuant to this Application will be subject to the following condition:

Any temporary exemption granted pursuant to the Application shall be without prejudice to, and shall not limit the Commission’s rights in any manner with respect to, any Commission

 

_________________________

16

In the Matter of Charles O. Daly, Release No. IC-13137 (Apr. 4, 1983).

 

17

In the Matter of Charles O. Daly, Release No. IC-13003 (Feb. 1, 1983).

 

 

 

 



 

investigation of, or administrative proceedings involving or against, Covered Persons, including, without limitation, the consideration by the Commission of a permanent exemption from section 9(a) of the Act requested pursuant to the Application or the revocation or removal of any temporary exemptions granted under the Act in connection with the Application.

IV.

CONCLUSION

For the reasons set forth above, Applicants meet the standards for exemption specified in Section 9(c) of the Act and therefore respectfully apply, on behalf of themselves and the Covered Persons, for the entry of the Orders by the Commission.

V.

AUTHORIZATION

Pursuant to Rule 0-2(f) under the Act, the Applicants state that their addresses are indicated on the cover page of this Application and further state that all communications or questions concerning this Application should be directed to:

Trisha Lawson
Bank of America
Bank of America Tower

One Bryant Park, 18th Floor

New York, NY 10036

(646) 855-0836

with a copy to:

Robin M. Bergen

Cleary Gottlieb Steen & Hamilton LLP

2000 Pennsylvania Avenue, NW

Washington, DC 20006
(202) 974-1514

The Applicants request that the Commission issue the requested Orders pursuant to Rule 0-5 under the Act without conducting a hearing. The proposed notice of the proceeding initiated by the filing of this Application required by Rule 0-2(g) under the Act is attached as Exhibit B.

Pursuant to Rule 0-2(c)(1) under the Act, each Applicant states that under the provisions of each Applicant’s governing instruments, the responsibility for the management of its affairs

 

 

 

 



 

and business is vested in its Chief Executive Officer, Board of Directors, officers or other governing body, as applicable. Each Applicant represents that the undersigned individual is authorized to file this Application in its name and on its behalf. The certification required by Rule 0-2(c)(1) under the Act are included as Exhibits A-1 through A-7 for BAC, CMA, CWAM, CMDI, BAIA, BACA and USTHFM, and in the signature pages for the remaining Applicants. The verifications required by Rule 0-2(d) under the Act are included in the signature pages to this Application.

 

 

 

 



 

 

The Applicant named below has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. The authorization required by Rule 0-2(c) under the Act is included in Exhibit A-1 to this Application. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

BANK OF AMERICA CORPORATION

 

 

By:

 

 /s/ Teresa M. Brenner

Name:

 

Teresa M. Brenner

Title:

 

Associate General Counsel

 

 

 

 

 

 

 



 

 

The Applicant named below has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. The authorization required by Rule 0-2(c) under the Act is included in Exhibit A-2 to this Application. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

COLUMBIA MANAGEMENT ADVISORS, LLC

 

 

By:

 

 /s/ Michael A. Jones

Name:

 

Michael A. Jones

Title:

 

Managing Director; President

 

 

 

 

 

 



 

 

The Applicant named below has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. The authorization required by Rule 0-2(c) under the Act is included in Exhibit A-3 to this Application. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

COLUMBIA WANGER ASSET MANAGEMENT, L.P.

 

 

By:

/s/ Charles P. McQuaid

Name:

 

Charles P. McQuaid

Title:

 

President

 

 

 

 

 

 

 



 

 

The Applicant named below has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. The authorization required by Rule 0-2(c) under the Act is included in Exhibit A-4 to this Application. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

COLUMBIA MANAGEMENT DISTRIBUTORS, INC.

 

 

By:

 

/s/ Michael A. Jones

Name:

 

Michael A. Jones

Title:

 

President and Chief Executive Officer

 

 

 

 

 

 

 



 

 

The Applicant named below has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. The authorization required by Rule 0-2(c) under the Act is included in Exhibit A-5 to this Application. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

BANC OF AMERICA INVESTMENT ADVISORS, INC.

 

 

By:

 

 /s/ David Bailin

Name:

 

David Bailin

Title:

 

Senior Executive and Vice-President

 

 

 

 

 

 

 



 

 

The Applicant named below has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. The authorization required by Rule 0-2(c) under the Act is included in Exhibit A-6 to this Application. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

BANK OF AMERICA CAPITAL ADVISORS LLC

 

 

By:

 

 /s/ David Bailin

Name:

 

David Bailin

Title:

 

President

 

 

 

 

 

 

 

 



 

 

The Applicant named below has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. The authorization required by Rule 0-2(c) under the Act is included in Exhibit A-7 to this Application. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

U.S. TRUST HEDGE FUND MANAGEMENT, INC.

 

 

By:

 

/s/ David Bailin

Name:

 

David Bailin

Title:

 

Chairman

 

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, MLPFS hereby states that pursuant to resolutions adopted by the Executive Committee of the Board of Directors on February 28, 1983, its undersigned designee, as Associate General Counsel of its parent Merrill Lynch & Co., Inc., is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

 

 

By:

/s/ Teresa M. Brenner

Name:

 

Teresa M. Brenner

Title:

 

Associate General Counsel of

Merrill Lynch & Co.

 

 

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, IQ hereby states that pursuant to the authority contained in the Limited Liability Agreement of IQ, and the Action of Sole Member dated April 21, 2006, its undersigned Vice President is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

IQ INVESTMENT ADVISORS LLC

 

 

By:

 

 /s/ Justin Ferri

Name:

 

Justin Ferri

Title:

 

Vice President

 

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, Roszel hereby states that pursuant to the Unanimous Written Consent of the Board of Managers, dated January 14, 2009, its undersigned President is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

ROSZEL ADVISORS, LLC

 

 

By:

 

 /s/ John Manetta

Name:

 

John Manetta

Title:

 

President

 

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, NAM hereby states that pursuant to the Written Consent of the Board of Directors, dated May 12, 2009, its undersigned Managing Director is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

NUVEEN ASSET MANAGEMENT

 

 

By:

 

 /s/ Larry Martin

Name:

 

Larry Martin

Title:

 

Vice President

 

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, NIA hereby states that pursuant to the Written Consent of the Board of Directors, dated May 12, 2009, its undersigned Managing Director is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

NUVEEN INVESTMENTS ADVISERS INC.

 

 

By:

 

 /s/ Larry Martin

Name:

 

Larry Martin

Title:

 

Vice President

 

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, ISG hereby states that pursuant to the Written Consent of the Sole Member, dated July 1, 2009, its undersigned Vice President is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP, LLC

 

 

By:

 

 /s/ Larry Martin

Name:

 

Larry Martin

Title:

 

Vice President

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, Nuveen HydePark hereby states that pursuant to the Written Consent of the Managing Member, dated July 7, 2009, its undersigned Vice President is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

NUVEEN HYDEPARK GROUP, LLC

 

 

By: 

 

 /s/ Larry Martin

Name:

 

Larry Martin

Title:

 

Vice President

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, NWQ hereby states that pursuant to the Written Consent of the Managing Member, dated June 1, 2009, its undersigned Vice President is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

NWQ INVESTMENT MANAGEMENT COMPANY LLC

 

 

By: 

 

 /s/ Larry Martin

Name:

 

Larry Martin

Title:

 

Vice President

 

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, NIS hereby states that pursuant to the Written Consent of the Board of Directors, dated May 12, 2009, its undersigned Vice President is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

NUVEEN INVESTMENT SOLUTIONS, INC.

 

 

By: 

 

 /s/ Larry Martin

Name:

 

Larry Martin

Title:

 

Vice President

 

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, Santa Barbara hereby states that pursuant to the Written Consent of the Managing Member, dated July 7, 2009, its undersigned Vice President is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

SANTA BARBARA ASSET MANAGEMENT, LLC

 

 

By: 

 

 /s/ Larry Martin

Name:

 

Larry Martin

Title:

 

Vice President

 

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, Symphony hereby states that pursuant to the Written Consent of the Managing Member, dated July 7, 2009, its undersigned Vice President is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

SYMPHONY ASSET MANAGEMENT LLC

 

 

By: 

 

 /s/ Larry Martin

Name:

 

Larry Martin

Title:

 

Vice President

 

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, Tradewinds hereby states that pursuant to the Written Consent of the Managing Member, dated June 12, 2009, its undersigned Vice President is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

TRADEWINDS GLOBAL INVESTORS, LLC

 

 

By: 

 

 /s/ Larry Martin

Name:

 

Larry Martin

Title:

 

Vice President

 

 

 

 

 


 

 

Pursuant to Rule 0-2(c)(1) under the Act, Winslow hereby states that pursuant to the Written Consent of the Board of Directors, dated December 26, 2008, its undersigned Vice President is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

WINSLOW CAPITAL MANAGEMENT, INC.

 

 

By: 

 /s/ Larry Martin

Name:

Larry Martin

Title:

Vice President

 

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, KECALP hereby states that pursuant to the Unanimous Written Consent of the Management Investment Committee, dated July 30, 2009, its undersigned Director is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

KECALP INC.

 

 

By: 

 /s/ J. Travis Hain

Name:

J. Travis Hain

Title:

Director

 

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, Ventures hereby states that pursuant to the Unanimous Written Consent of the Management Investment Committee, dated July 30, 2009, its undersigned Director is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

MERRILL LYNCH VENTURES, LLC.

 

 

By: 

 

 /s/ J. Travis Hain

Name:

 

J. Travis Hain

Title:

 

Director

 

 

 

 

 

 

 



 

 

Pursuant to Rule 0-2(c)(1) under the Act, Nuveen Investments hereby states that pursuant to the Written Consent of the Sole Member, dated June 1, 2009, its undersigned Vice President is authorized to sign and file this Application in its name and on its behalf and has caused this Application to be duly signed on its behalf on the 3rd day of August, 2009. All action by stockholders, directors or other persons necessary to authorize the undersigned to execute and file this Application has been taken. The undersigned is familiar with the Application, and the contents thereof, and the facts therein set forth relating to the Applicant named below are true to the best of the undersigned’s knowledge, information and belief.

 

Dated: August 3, 2009

 

 

 

 

NUVEEN INVESTMENTS, LLC

 

 

By: 

 

 /s/ Larry Martin

Name:

 

Larry Martin

Title:

 

Vice President

 

 

 

 

 

 

 



 

 

Exhibit A-1

Authorization

Officer’s Certificate

The undersigned, being the duly elected Secretary of Bank of America Corporation (“BAC”) does hereby certify that this Application is signed by Teresa M. Brenner, Associate General Counsel of BAC, pursuant to the general authority vested in her under Section 9.1 of BAC’s By-laws.

IN WITNESS WHEREOF, I have set my hand this 3rd day of August, 2009.

 

 

 

 

BANK OF AMERICA CORPORATION

 

 

By: 

 

 /s/ Allison L. Gilliam

Name:

 

Allison L. Gilliam

Title:

 

Assistant Secretary

 

 

 

 

 

 

 



 

 

Exhibit A-2

Authorization

Officer’s Certificate

The undersigned, being the duly elected Secretary of Columbia Management Advisors, LLC (“CMA”) does hereby certify that this Application is signed by Michael A. Jones, Managing Director and President of CMA, pursuant to the general authority vested in him under Section 3.4 of CMA’s By-laws.

IN WITNESS WHEREOF, I have set my hand this 3rd day of August, 2009.

 

 

 

 

COLUMBIA MANAGEMENT ADVISORS, LLC

 

 

By: 

 

 /s/ Connie B. Smith

Name:

 

Connie B. Smith

Title:

 

Assistant Secretary

 

 

 

 

 

 



 

 

Exhibit A-3

Authorization

Officer’s Certificate

The undersigned, being the duly elected Secretary of Columbia Wanger Asset Management, L.P. (“CWAM”) does hereby certify that this Application is signed by Bruce Lauer, Chief Operating Officer of CWAM, pursuant to the general authority vested in him under Section 4(d) of CWAM’s Agreement of Limited Partnership.

IN WITNESS WHEREOF, I have set my hand this 3rd day of August, 2009.

 

 

 

 

COLUMBIA WANGER ASSET MANAGEMENT, L.P.

 

 

By: 

 

 /s/ Connie B. Smith

Name:

 

Connie B. Smith

Title:

 

Assistant Secretary

 

 

 

 

 

 

 



 

 

Exhibit A-4

Authorization

Officer’s Certificate

The undersigned, being the duly elected Secretary of Columbia Management Distributors, Inc. (“CMDI”) does hereby certify that this Application is signed by Michael A. Jones, President and Chief Executive Officer of CMDI, pursuant to the general authority vested in him under Article IX, Section 7 and Section 8 of CMDI’s By-laws.

IN WITNESS WHEREOF, I have set my hand this 3rd day of August, 2009.

 

 

 

 

COLUMBIA MANAGEMENT DISTRIBUTORS, INC.

 

 

By: 

 

 /s/ Connie B. Smith

Name:

 

Connie B. Smith

Title:

 

Assistant Secretary

 

 

 

 

 

 

 



 

 

Exhibit A-5

Authorization

Officer’s Certificate

The undersigned, being the duly elected Secretary of Banc of America Investment Advisors, Inc. (“BAIA”) does hereby certify that this Application is signed by David Bailin, Senior Executive Vice President of BAIA, pursuant to the general authority vested in them under Section 9 of BAIA’s By-laws.

IN WITNESS WHEREOF, I have set my hand this 3rd day of August, 2009.

 

 

 

 

BANC OF AMERICA INVESTMENT ADVISORS, INC.

 

 

By: 

 

 /s/ Connie B. Smith

Name:

 

Connie B. Smith

Title:

 

Secretary

 

 

 

 

 

 

 



 

 

Exhibit A-6

Authorization

Officer’s Certificate

The undersigned, being the duly elected Secretary of Bank of America Capital Advisors LLC (“BACA”) does hereby certify that this Application is signed by David Bailin, President of BACA, pursuant to the general authority vested in them under Section 5.10 M of BACA’s Amended Operating Agreement.

IN WITNESS WHEREOF, I have set my hand this 3rd day of August, 2009.

 

 

 

 

BANK OF AMERICA CAPITAL ADVISORS LLC

 

 

By: 

 

 /s/ Connie B. Smith

Name:

 

Connie B. Smith

Title:

 

Secretary

 

 

 

 

 

 

 



 

 

Exhibit A-7

Authorization

Officer’s Certificate

The undersigned, being the duly elected Secretary of U.S. TRUST HEDGE FUND MANAGEMENT, INC. (“USTHFM”) does hereby certify that this Application is signed by David Bailin, Chairman of USTHFM, pursuant to the general authority vested in them under Section 5 of USTHFM’s Bylaws.

IN WITNESS WHEREOF, I have set my hand this 3rd day of August, 2009.

 

 

 

 

U.S. TRUST HEDGE FUND MANAGEMENT, INC.

 

 

By: 

 

 /s/ Connie B. Smith

Name:

 

Connie B. Smith

Title:

 

Secretary

 

 

 

 

 

 



 

 

Exhibit B

SECURITIES AND EXCHANGE COMMISSION

Release No. IC-[  

]

 

File No. -[  

]

 

Banc of America Corporation, et. al.; Notice of Application and Temporary Order [  

], 2009

Agency: Securities and Exchange Commission (the “Commission”)

Action: Temporary order and notice of application for permanent order under Section 9(c) of the Investment Company Act of 1940 (the “Act”)

Summary: Applicants have received a temporary order exempting them from Section 9(a) of the Act with respect to an injunction expected to be entered against Bank of America Corporation (“BAC”) by the United States District Court for the Southern District of New York (“Injunction”) until the Commission takes final action on an application for a permanent order. Applicants have also applied for a permanent order.

Applicants: BAC, Columbia Management Advisors, LLC (“CMA”), Columbia Wanger Asset Management, L.P. (“CWAM”), Columbia Management Distributors, Inc. (“CMDI”), Banc of America Investment Advisors, Inc. (“BAIA”), Bank of America Capital Advisors LLC (“BACA”), U.S. Trust Hedge Fund Management, Inc. (“USTHFM”), Merrill Lynch, Pierce, Fenner & Smith Incorporated (“MLPFS”), IQ Investment Advisors LLC (“IQ”), Roszel Advisors, LLC (“Roszel”), Nuveen Asset Management (“NAM”), Nuveen Investments Advisers Inc. (“NIA”), Nuveen Investments Institutional Services Group, LLC (“ISG”), Nuveen HydePark Group, LLC (“Nuveen HydePark”), NWQ Investment Management Company LLC (“NWQ”), Nuveen Investment Solutions, Inc. (“NIS”), Santa Barbara Asset Management, LLC (“Santa Barbara”), Symphony Asset Management LLC (“Symphony”), Tradewinds Global Investors, LLC (“Tradewinds”), Winslow Capital Management, Inc. (“Winslow”), Nuveen Investments, LLC (“Nuveen Investments”), KECALP Inc. (“KECALP”), and Merrill Lynch Ventures, LLC (“Ventures”) (collectively, the “Applicants”).

Filing Date: The application was filed on [  

,   

], 2009.

 

Hearing or Notification of Hearing: An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission’s Secretary and serving Applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 pm on [            ,     ], 2009 and should be accompanied by proof of service on the Applicants in the form of an affidavit or, for lawyers, a certificate of service. Hearing requests should state the nature of the writer’s interest, the reason for the request and the issues to be contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission’s Secretary.

Address: Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549. Applicants, c/o Bank of America, One Bryant Park, 18th Floor, New York, New York 10036, Attention: Trisha Lawson.

 

 

 

 



 

 

For Further Information Contact: [            ] at (202) 551-             (Division of Investment Management, Office of Investment Company Regulation).

Supplementary Information: The following is a temporary order and a summary of the application. The complete application may be obtained for a fee at the SEC’s Public Reference Branch, 100 F Street NE, Washington, DC 20549 (tel: 202-551-8090).

Applicants’ Representations:

1. BAC is a publicly held company whose shares are traded on the New York Stock Exchange, and a bank holding company and a financial holding company. The other Applicants, who are indirect subsidiaries of, or may otherwise be deemed to be affiliates of, BAC, provide retail securities brokerage, investment advisory and management services, underwriting and distributing services, placement agent services, investment banking and financial advisory services in connection with public offerings, mergers and acquisitions, restructurings, private placements, loan syndications, loan trading, derivative product arrangements, project financing, and futures and options on futures. The Applicants, other than BAC, currently serve as investment advisers (as defined in Section 2(a)(20) of the Act) or depositor of any registered investment company (“RIC”) or principal underwriter (as defined in Section 2(a)(29) of the Act) for numerous registered open-end companies, registered unit investment trusts (“UITs”), registered face amount certificate companies or employees’ securities companies (“ESCs”) (collectively and together with RICs, the “Funds”).

2. On [            , 2009], the Commission filed a complaint (“Complaint”) against BAC in the United States District Court for the Southern District of New York in a civil action captioned Securities and Exchange Commission v. Bank of America Corporation. The Complaint alleged that BAC violated Section 14(a) of the Securities Exchange Act of 1934, as amended (“Exchange Act”) and Rule 14a-9 thereunder.

 

3. On [            , 2009], BAC executed a Consent of Defendant Bank of America Corporation (“Consent”), in which BAC neither admitted nor denied the allegations in the Complaint, except as to personal and subject matter jurisdiction, which it admitted, and in which it consented to the entry of a judgment against it by the district court (“Judgment”). As negotiated by the parties, the Judgment, among other things, imposed upon BAC a permanent injunction against violating Section 14(a) of the Exchange Act, and Rule 14a-9 thereunder (“Injunction”).

Applicants’ Legal Analysis:

1. Section 9(a)(2) of the Act provides, in pertinent part, that a person may not serve or act as, among other things, an investment adviser or depositor of any investment company registered under the Act, or as a principal underwriter for any registered open-end investment company, UIT or registered face amount certificate company, if the person, by reason of any misconduct “is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction . . . from engaging in or continuing any conduct or practice in connection with any such activity or in connection with the purchase or sale of any security.” Section 9(a)(3) extends the prohibitions of Section 9(a)(2) to a company, any “affiliated person” of which is disqualified under the provisions of Section 9(a)(2). The term “affiliated person” is defined in Section 2(a)(3) of the Act to mean in relevant part “any person directly or indirectly controlling, controlled by, or under common control with, such other person.” Applicants state that BAC controls, or may

 

 

 



 

be considered to control, each of the Applicants and the Applicants are therefore “affiliated persons” of BAC within the meaning of Section 2(a)(3) of the Act. Applicants state that, as a result of the Injunction, they would be subject to the prohibitions of Section 9(a).

2. Section 9(c) of the Act provides that, upon application, the Commission shall by order grant an exemption from the provisions of Section 9(a), either unconditionally or on an appropriate temporary or other conditional basis, to any person if that person establishes that: (1) the prohibitions of Section 9(a), as applied to the person, are unduly or disproportionately severe; or (2) the conduct of the person has been such as not to make it against the public interest or protection of investors to grant the exemption. Applicants have filed an application pursuant to Section 9(c) seeking temporary and permanent orders exempting them, any existing company of which BAC is an affiliated person within the meaning of Section 2(a)(3) of the Act, and any person with whom the Applicants become affiliated in the future (“Covered Persons”) from the disqualification provisions of Section 9(a) of the Act.

3. Applicants believe that they meet the standards for exemption specified in Section 9(c). Applicants state that the prohibitions of Section 9(a) as applied to them would be unduly and disproportionately severe and that the conduct of the Applicants has been such as not to make it against the public interest or the protection of investors to grant the exemption from Section 9(a) of the Act.

 

4. Applicants state that the alleged conduct that is the subject of the Injunction did not involve any of the Applicants acting in the capacity of investment adviser, sub-adviser, depositor or principal underwriter for any Fund.

5. Applicants state that the inability to continue or begin providing advisory and principal underwriting services to the Funds would result in potentially severe hardship for the Funds and their shareholders. Applicants also state that they will, as soon as reasonably practical, advise the boards of directors (“Boards”) of the Funds (excluding, for this purpose, the ESCs) for which the Applicants serve as investment adviser, investment sub-adviser, depositor, or principal underwriter, including those directors who are not “interested persons” of such funds as defined in Section 2(a)(19) of the Act and their independent legal counsel as defined in Rule 0-1(a)(6) under the Act, of the circumstances that led to the Injunction, any impact on the Funds, and this Application. The Applicants agree that they will, as soon as reasonably practical, distribute written materials, including an offer to meet in person to discuss the materials, to the Boards, including all information concerning the Injunction and this Application necessary for those Funds to fulfill their disclosure and other obligations under the federal securities laws.

6. Applicants also assert that, if they were barred from providing services to the Funds, the effect on their businesses and employees would be unduly and disproportionately severe. Applicants state that they have committed substantial resources to, as applicable, developing their advisory business, establishing an expertise in advising and sub-advising Funds, and developing their business as principal underwriters and depositor to Funds.

7. Certain of the Applicants, including some of their affiliates, have previously applied for and have obtained exemptive orders under Section 9(c) of the Act. Because these previously obtained Section 9(c) orders were necessitated by actions brought by the Commission involving facts and circumstances that do not bear on this Application, they have little, if any, relevance to whether

 

 

 



 

this Application should be granted. Rather, the Application should be evaluated on its own merits, and granted for the reasons discussed above.

Applicants’ Condition: The Applicants agree that any order granted by the Commission pursuant to this Application will be subject to the following condition:

Any temporary exemption granted pursuant to the Application shall be without prejudice to, and shall not limit the Commission’s rights in any manner with respect to, any Commission investigation of, or administrative proceedings involving or against, Covered Persons, including without limitation, the consideration by the Commission of a permanent exemption from Section 9(a) of the Act requested pursuant to the Application or the revocation or removal of any temporary exemptions granted under the Act in connection with the Application.

Temporary Order: The Commission has considered the matter and finds that Applicants have made the necessary showing to justify granting a temporary exemption.

 

Accordingly, it is hereby ordered that, pursuant to Section 9(c) of the Act, the Applicants are granted a temporary exemption from the provisions of Section 9(a) of the Act, effective forthwith, solely with respect to the Injunction, subject to the condition in the Application, until the Commission takes final action on the application for a permanent order.

 

 

 

 

By the Commission        

 

  

 

 

Secretary

 

 

 

 

 



 

 

Annex A  

Part 1-A

Alternative Investment Solutions

’40 Act Registered Fund Investment Advisors

 

Fund Name

  

Type

BAIA

  

 

 

 

Columbia Management Multi-Strategy Hedge Fund LLC

  

Closed-end

 

 

BACAP Alternative Multi-Strategy Hedge Fund LLC

  

Closed-end

 

 

BACA

  

 

 

 

UST Global Private Markets Fund LLC

  

Closed-end

 

 

Excelsior Venture Partners III LLC

  

Closed-end

 

 

Excelsior Venture Investors III LLC

  

Closed-end

 

 

Excelsior Buyout Investors LLC

  

Closed-end

 

 

USTHFM

  

 

 

 

Excelsior Absolute Return Fund of Funds LLC

  

Closed-end

 

 

Excelsior Absolute Return Fund of Funds Master Fund LLC (serves as the master fund for Excelsior Absolute Return Fund of Funds LLC)

  

Closed-end

 

 

Excelsior Directional Hedge Fund of Funds (TE) LLC

  

Closed-end

 

 

Excelsior Directional Hedge Fund of Funds (TI) LLC

  

Closed-end

 

 

Excelsior Directional Hedge Fund of Funds Master Fund LLC (serves as the master fund for Excelsior Directional Hedge Fund of Funds (TI) LLC)

  

Closed-end

 

 

 

 

 



 

 

Part 1-B18

’40 Act Registered Funds

Advised by Columbia Management Advisors, LLC

and Distributed by Columbia Management Distributors, Inc.

 

TRUST/FUND

 

COLUMBIA FUNDS SERIES TRUST I

 

Columbia World Equity Fund

Columbia Income Fund

Columbia Intermediate Bond Fund

Columbia U.S. Treasury Index Fund

Columbia Blended Equity Fund

Columbia Bond Fund

Columbia Short-Intermediate Bond Fund

Columbia Emerging Markets Fund

Columbia International Growth Fund

Columbia Select Small Cap Fund

Columbia Select Opportunities Fund

Columbia Select Large Cap Growth Fund

Columbia Mid Cap Core Fund (formerly Columbia Mid Cap Value and Restructuring Fund)

Columbia Value and Restructuring Fund

Columbia Energy and Natural Resources Fund

Columbia Pacific/Asia Fund

Columbia Core Bond Fund

Columbia High Yield Opportunity Fund

Columbia Strategic Income Fund

Columbia International Bond Fund19

Columbia Small Cap Value Fund I

Columbia High Yield Municipal Fund

Columbia Greater China Fund

Columbia Federal Securities Fund

Columbia International Stock Fund

Columbia Balanced Fund

Columbia Conservative High Yield Fund

Columbia Oregon Intermediate Municipal Bond Fund

Columbia Real Estate Equity Fund

Columbia Small Cap Growth Fund I

Columbia Mid Cap Growth Fund

Columbia Strategic Investor Fund

Columbia Technology Fund

Columbia Liberty Fund

Columbia Asset Allocation Fund

Columbia Dividend Income Fund

Columbia Contrarian Core Fund (formerly Columbia Common Stock Fund)

Columbia Large Cap Growth Fund

 

 

_________________________

18 All of the Funds included in this chart are open-end funds.

19 The Columbia International Bond Fund launched on December 1, 2008.

 

 

 

 

 

 



 

 

Part 1-B

’40 Act Registered Funds

Advised by Columbia Management Advisors, LLC

and Distributed by Columbia Management Distributors, Inc.

 

 

COLUMBIA FUNDS SERIES TRUST I

 

Columbia Disciplined Value Fund

Columbia Small Cap Core Fund

Columbia California Tax-Exempt Fund

Columbia Connecticut Tax-Exempt Fund

Columbia Massachusetts Tax-Exempt Fund

Columbia New York Tax-Exempt Fund

Columbia Intermediate Municipal Bond Fund

Columbia Massachusetts Intermediate Municipal Bond Fund

Columbia Connecticut Intermediate Municipal Bond Fund

Columbia New Jersey Intermediate Municipal Bond Fund

Columbia New York Intermediate Municipal Bond Fund

Columbia Rhode Island Intermediate Municipal Bond Fund

Columbia Tax-Exempt Fund

 

COLUMBIA FUNDS INSTITUTIONAL TRUST

 

CMG Ultra Short Term Bond Fund

 

COLUMBIA FUNDS VARIABLE INSURANCE TRUST

 

Columbia Asset Allocation Fund, VS

Columbia Federal Securities Fund, VS

Columbia International Fund, VS

Columbia Large Cap Growth Fund, VS

Columbia Large Cap Value Fund, VS

Columbia Mid Cap Value Fund, VS

Columbia Money Market Fund, VS

Columbia S&P 500 Index Fund, VS

Columbia Small Cap Value Fund, VS

Columbia Small Company Growth Fund, VS

Columbia Strategic Income Fund, VS

Columbia Select Large Cap Growth Fund, VS

Columbia Value and Restructuring Fund, VS

Columbia Select Opportunities Fund, VS

 

 

 

 

 



 

 

Part 1-B

’40 Act Registered Funds

Advised by Columbia Management Advisors, LLC

and Distributed by Columbia Management Distributors, Inc.

 

 COLUMBIA ACORN TRUST

 

Columbia Acorn Fund

Columbia Acorn USA

Columbia Acorn Select

Columbia Acorn International

Columbia Acorn International Select

Columbia Thermostat Fund

 

WANGER ADVISORS TRUST

 

Wanger USA (formerly Wanger U.S. Smaller Companies)

Wanger International (formerly Wanger International Small Cap)

Wanger Select

Wanger International Select

 

COLUMBIA FUNDS SERIES TRUST

 

Columbia LifeGoal® Balanced Growth Portfolio

Columbia LifeGoal® Growth Portfolio

Columbia LifeGoal® Income and Growth Portfolio

Columbia LifeGoal® Income Portfolio

Columbia Large Cap Enhanced Core Fund

Columbia Large Cap Index Fund

Columbia Mid Cap Index Fund

Columbia Small Cap Index Fund

Columbia Total Return Bond Fund

Columbia High Income Fund

Columbia Short Term Bond Fund

Columbia Short Term Municipal Bond Fund

Columbia CA Intermediate Municipal Bond Fund

Columbia GA Intermediate Municipal Bond Fund

Columbia MD Intermediate Municipal Bond Fund

Columbia NC Intermediate Municipal Bond Fund

Columbia SC Intermediate Municipal Bond Fund

Columbia VA Intermediate Municipal Bond Fund

Columbia Convertible Securities Fund

Columbia Asset Allocation Fund II

Columbia Large Cap Value Fund

Columbia Mid Cap Value Fund

Columbia Small Cap Value Fund II (closed to new investors and accounts 5/2/08)

Columbia Marsico Growth Fund

Columbia Large Cap Core Fund

Columbia Marsico Focused Equities Fund

Columbia Marsico 21st Century Fund

Columbia Small Cap Growth Fund II

Columbia Global Value Fund

 

 

 

 

 

 



 

 

’40 Act Registered Funds

Advised by Columbia Management Advisors, LLC

and Distributed by Columbia Management Distributors, Inc.

 

Columbia International Value Fund

Columbia Multi-Advisor International Equity Fund

Columbia Marsico International Opportunities Fund

Columbia Marsico Global Fund

Columbia Overseas Value Fund 20

Columbia Masters International Equity Portfolio

Columbia Masters Global Equity Portfolio

Columbia Masters Heritage Portfolio

Columbia Cash Reserves

Columbia Money Market Reserves

Columbia Treasury Reserves

Columbia Government Reserves

Columbia Municipal Reserves

Columbia Tax-Exempt Reserves

Columbia California Tax-Exempt Reserves

Columbia New York Tax-Exempt Reserves

Columbia Connecticut Municipal Reserves

Columbia Massachusetts Municipal Reserves

Columbia Daily Cash Reserves

Columbia Government Plus Reserves

Corporate Bond Portfolio

Mortgage- and Asset-Backed Portfolio

 

COLUMBIA FUNDS MASTER INVESTMENT TRUST, LLC

 

Columbia International Value Master Portfolio

 

COLUMBIA FUNDS VARIABLE INSURANCE TRUST I

 

Columbia Marsico International Opportunities Fund, VS

Columbia Marsico Focused Equities Fund, VS

Columbia Marsico 21st Century Fund, VS

Columbia Marsico Growth Fund, VS

Columbia Mid Cap Growth Fund, VS

Columbia High Yield Fund, VS

 

COLUMBIA FUNDS SERIES TRUST II

 

Columbia Retirement 2005 Portfolio

Columbia Retirement 2010 Portfolio

Columbia Retirement 2015 Portfolio

Columbia Retirement 2020 Portfolio

Columbia Retirement 2025 Portfolio

Columbia Retirement 2030 Portfolio

Columbia Retirement 2035 Portfolio

Columbia Retirement 2040 Portfolio

 

 

_________________________

 20 Registered but not yet offered to the public.

 

 

 

 



 

 

 

Part 1-C 21

List of All Registered Investment Companies Sub-Advised by CMA

’40 Act Registered Funds

Sub-Advised by Columbia Management Advisors, LLC

 

 

TRUST/FUND

Allianz Variable Insurance Products Trust

AZL Columbia Mid Cap Value Fund

AZL Columbia Small Cap Value Fund

AZL Columbia Technology Fund

SunAmerica Series Trust

Technology Portfolio

Cash Management Portfolio

Seasons Series Trust

Cash Management Portfolio

Genworth Variable Insurance Trust

Genworth Columbia Mid Cap Value Fund

ING Partners, Inc.

ING Columbia Small Cap Value Portfolio

John Hancock Trust

Value & Restructuring Fund

John Hancock Funds II

Value & Restructuring Trust

Lincoln Variable Insurance Products Trust

LVIP Columbia Value Opportunities Fund

Pacific Select Fund

Pacific Select Technology Portfolio

SEI Liquid Asset Trust

Prime Obligation Fund

SEI Daily Income Trust

Money Market Fund

Prime Obligation Fund

Government Fund

Government II Fund

Treasury Fund

Treasury II Fund

 

 

 

_________________________

21 All of the Funds included in this chart are open-end funds.

 

 

 

 


 

 

Part 1-D 22

List of All Registered Investment Companies Sub-Advised by CWAM

’40 Act Registered Funds

Sub-Advised by Columbia Wanger Asset Management, L.P.

 

 

TRUST/FUND

 

RiverSource International Managers Series, Inc.

RiverSource Partners International Select Growth Fund

RiverSource Partners International Small Cap Fund (effective on or about August 10, 2009)

Optimum Fund Trust

Optimum Small-Mid Cap Growth Fund

 

 

 

_________________________

22 All of the Funds included in this chart are open-end funds.

 

 

 

 

 

 

 



 

 

Part 1-E

REGISTERED INVESTMENT COMPANIES TO WHICH

IQ, ROSZEL & MLPFS PROVIDE SERVICES

 

 

 

 

 

 

Fund Name

  

Adviser

  

Principal
Underwriter

Defined Strategy Fund, Inc.

  

IQ

  

 

Dow 30 Enhanced Premium & Income Fund, Inc.

  

IQ

  

 

Dow 30 Premium & Dividend Income Fund, Inc.

  

IQ

  

 

Enhanced S&P 500 Covered Call Fund, Inc.

  

IQ

  

 

Global Income & Currency Fund, Inc.

  

IQ

  

 

MLP Strategy & Equity Fund, Inc.

  

IQ

  

 

NASDAQ Premium & Income Fund

  

IQ

  

 

S&P 500 Covered Call Fund, Inc.

  

IQ

  

 

S&P GEARED Fund, Inc.

  

IQ

  

 

Small Cap Premium & Dividend Income Fund, Inc.

  

IQ

  

 

MLIG Variable Insurance Trust

  

Roszel

  

MLPFS

Roszel/Alliance-Bernstein Large Cap Core Portfolio

  

Roszel

  

MLPFS

Roszel/Allianz CCM Capital Appreciation Portfolio

  

Roszel

  

MLPFS

Roszel/Allianz NFJ Mid Cap Value Portfolio

  

Roszel

  

MLPFS

Roszel/Allianz Small Cap Value Portfolio

  

Roszel

  

MLPFS

Roszel/BlackRock Fixed Income Portfolio

  

Roszel

  

MLPFS

Roszel/BlackRock Fixed-Income Portfolio II

  

Roszel

  

MLPFS

Roszel/BlackRock Equity Dividend Portfolio

  

Roszel

  

MLPFS

Roszel/Cadence Mid Cap Growth Portfolio

  

Roszel

  

MLPFS

Roszel/Davis Large Cap Value Portfolio

  

Roszel

  

MLPFS

Roszel/Delaware Small-Mid Cap Growth Portfolio

  

Roszel

  

MLPFS

Roszel/Delaware Trend Portfolio

  

Roszel

  

MLPFS

Roszel/Fayez Sarofim Large Cap Core Portfolio

  

Roszel

  

MLPFS

Roszel/JPM International Equity Portfolio

  

Roszel

  

MLPFS

Roszel/JP Morgan Small Cap Growth Portfolio

  

Roszel

  

MLPFS

Roszel/Lazard International Portfolio

  

Roszel

  

MLPFS

Roszel/Lord Abbett Affiliated Portfolio

  

Roszel

  

MLPFS

Roszel/Lord Abbett Bond Debenture Portfolio  
Roszel
MLPFS
Roszel/Lord Abbett Large Cap Value Portfolio  
Roszel
MLPFS
Roszel/Lord Abbett Mid Cap Value Portfolio  
Roszel
MLPFS
Roszel/Marsico Large Cap Growth Portfolio  
Roszel
MLPFS
Roszel/NWQ Small Cap Value Portfolio  
Roszel
MLPFS
Roszel/Santa Barbara Conservative Growth Portfolio  
Roszel
MLPFS
         

 

 

 

 

 

 

 

 

 

 

 

 

 



 

 

EMPLOYEES’ SECURITIES COMPANIES ADVISED BY KECALP

 

 

 

 

ESC Name

  

Investment Adviser

Merrill Lynch KECALP L.P. 1997

  

KECALP

Merrill Lynch KECALP L.P. 1999

  

KECALP

Merrill Lynch KECALP International L.P. 1997

  

KECALP

Merrill Lynch KECALP International L.P. 1999

  

KECALP

EMPLOYEES’ SECURITIES COMPANY ADVISED BY VENTURES

 

 

 

 

ESC Name

  

General Partner and Adviser

Merrill Lynch Ventures, L.P. 2001

  

Ventures

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS

 

 

 

 

 

 

 

 

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

 

 

 

 

 

 

 

Closed-end Funds

 

 

 

 

 

 

 

 

 

 

 

JCE

 

Nuveen Core Equity Alpha Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

JDD

 

Nuveen Diversified Dividend and Income Fund

 

Nuveen Asset Management

 

Symphony Asset Management

 

 

 

 

 

 

 

JDD

 

 

 

 

 

NWQ Investment Management

 

 

 

 

 

 

 

JDD

 

 

 

 

 

Symphony Asset Management

 

 

 

 

 

 

 

JFP

 

Nuveen Tax-Advantaged Floating Rate Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

JFR

 

Nuveen Floating Rate Income Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

JGG

 

Nuveen Global Government Enhanced Income Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

JGT

 

Nuveen Multi-Currency Short-Term Government Income Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

JGV

 

Nuveen Global Value Opportunities Fund

 

Nuveen Asset Management

 

Tradewinds Global Advisors

 

 

 

 

 

 

 

JHP

 

Nuveen Quality Preferred Income Fund 3

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

JLA

 

Nuveen Tax-Advantaged Total Return Strategy Fund

 

Nuveen Asset Management

 

Gateway Investment Advisors

 

 

 

 

 

 

 

JPC

 

Nuveen Multi-Strategy Income and Growth Fund

 

Nuveen Asset Management

 

Tradewinds Global Advisors

 

 

 

 

 

 

 

JPC

 

 

 

 

 

Symphony Asset Management

 

 

 

 

 

 

 

JPG

 

Nuveen Equity Premium and Growth Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS

 

 

 

 

 

 

 

 

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

JPS

 

Nuveen Quality Preferred Income Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

JPZ

 

Nuveen Equity Premium Income Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

JQC

 

Nuveen Multi-Strategy Income and Growth Fund 2

 

Nuveen Asset Management

 

Tradewinds Global Advisors

 

 

 

 

 

 

 

JQC

 

 

 

 

 

Symphony Asset Management

 

 

 

 

 

 

 

JRO

 

Nuveen Floating Rate Income Opportunity Fund

 

Nuveen Asset Management

 

Symphony Asset Management

 

 

 

 

 

 

 

JRS

 

Nuveen Real Estate Income Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

JSN

 

Nuveen Equity Premium Opportunity Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

JTA

 

Nuveen Tax-Advantaged Total Return Strategy Fund

 

Nuveen Asset Management

 

Symphony Asset Management

 

 

 

 

 

 

 

JTA

 

 

 

 

 

NWQ Investment Management

 

 

 

 

 

 

 

JTA

 

 

 

 

 

Symphony Asset Management

 

 

 

 

 

 

 

JTD

 

Nuveen Tax-Advantage Dividend Growth Fund

 

Nuveen Asset Management

 

NWQ Investment Management

 

 

 

 

 

 

 

JTD

 

 

 

 

 

Santa Barbara Asset Management

 

 

 

 

 

 

 

JTP

 

Nuveen Quality Preferred Income Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NAC

 

Nuveen California Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NAD

 

Nuveen Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NAN

 

Nuveen NewYork Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NAZ

 

Nuveen Arizona Premium Income Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS  

 

 

 

 

 

 

 

 

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

 

 

 

 

 

NBJ

 

Nuveen Ohio Dividend Advantage Municipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NCA

 

Nuveen California Municipal Value Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NCL

 

Nuveen Insured California Premium Income Municipal Fund 2, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NCB

 

Nuveen California Municipal Value Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NCO

 

Nuveen California Municipal Market Opportunity Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NCP

 

Nuveen California Performance Plus Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NCU

 

Nuveen California Premium Income Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NEA

 

Nuveen Insured Tax-free Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NFC

 

Nuveen Connecticut Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NFL

 

Nuveen Insured Florida Premium Income Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NFM

 

Nuveen Maryland Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NFZ

 

Nuveen Arizona Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NGB

 

Nuveen Virginia Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NGK

 

Nuveen Connecticut Dividend Advantage Municipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NGO

 

Nuveen Connecticut Dividend Advantage Municipal Fund 3

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NGX

 

Nuveen Insured Massachusetts Tax-Free Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS

 

 

 

 

 

 

 

 

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

NIF

 

Nuveen Premier Insured Municipal Income Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NII

 

Nuveen North Caroline Dividend Advantage Municipal Fund 3

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NIM

 

 

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NIO

 

Nuveen Insured Municipal Opportunity Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NKG

 

Nuveen Georgia Dividend Advantage Municipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NKL

 

Nuveen Insured California Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NKO

 

Nuveen Insured New York Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS  

 

 

 

 

 

 

 

 

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

 

 

 

 

 

NKR

 

Nuveen Arizona Dividend Advantage Municipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NKX

 

Nuveen Insured California Tax-Free Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NMA

 

Nuveen Municipal Advantage Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NMB

 

Nuveen Massachusetts Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NMD

 

Nuveen Municipal High Income Opportunity 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NMI

 

Nuveen Municipal Income Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NMO

 

Nuveen Municipal Market Opportunity Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NMP

 

Nuveen Michigan Premium Income Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NMT

 

Nuveen Massachusetts Premium Income Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NMY

 

Nuveen Maryland Premium Income Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NMZ

 

Nuveen Municipal High Income Opportunity

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NNB

 

Nuveen Virginia Dividend Advantage Municipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NNC

 

Nuveen North Carolina Premium Income Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NNF

 

Nuveen Insured New York Premium Income Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NNJ

 

Nuveen New Jersey Premium Income Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS  

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

NJV

 

Nuveen New Jersey Municipal Value Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NNO

 

Nuveen North Carolina Dividend advantage Municipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NNP

 

Nuveen New York Performance Plus Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NNY

 

Nuveen New York Municipal Value Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NYV

 

Nuveen New York Municipal Value Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NOM

 

Nuveen Missouri Premium Income Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NPC

 

Nuveen Insured California Premium Income Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NPF

 

Nuveen Premier Municipal Income Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NPG

 

Nuveen Georgia Premium Income Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NPI

 

Nuveen Premium Income Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NPM

 

Nuveen Premium Income Municipal Fund 2, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS  

 

 

 

 

 

 

 

 

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

 

 

 

 

 

NPP

 

Nuveen Performance Plus Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NPT

 

Nuveen Premium Income Municipal Fund 4, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NPV

 

Nuveen Virginia Premium Income Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NPX

 

Nuveen Insured Premium Income Municipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NPY

 

Nuveen Pennsylvania Premium Income Muncipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NPN

 

Nuveen Pennsylvania Municipal Value Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NQC

 

Nuveen California Investment Quality Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NQF

 

Nuveen Florida Investment Quality Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NQI

 

Nuveen Insured Quality Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NQJ

 

Nuveen New Jersey Investment Quality Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NQM

 

Nuveen Investment Quality Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NQN

 

Nuveen New York Investment Quality Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NQP

 

Nuveen Pennsylvania Investment Quality Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NQS

 

Nuveen Select Quality Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NQU

 

Nuveen Quality Income Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NRB

 

Nuveen North Carolina Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS  

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

 

 

 

 

 

NRK

 

Nuveen Insured New York Tax-free Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NSL

 

Nuveen Senior Income Fund

 

Nuveen Asset Management

 

Symphony Asset Management

 

 

 

 

 

 

 

NTC

 

Nuveen Connecticut Premium Income Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NTX

 

Nuveen Texas Quality Income Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NUC

 

Nuveen California Quality Income Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NUF

 

Nuveen Florida Quality Income Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NUJ

 

Nuveen New Jersey Dividend Advantage Municipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NUM

 

Nuveen Michigan Quality Income Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NUN

 

Nuveen New York Quality Income Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NUO

 

Nuveen Ohio Quality Income Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NUV

 

Nuveen Municipal Value Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS  

 

 

 

 

 

 

 

 

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

 

 

 

 

 

NVC

 

Nuveen California Select Quality Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NVG

 

Nuveen Insured Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NVJ

 

Nuveen Ohio Dividend Advantage Municipal Fund 3

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NVN

 

Nuveen New York Select Quality Municipal Fund, Inc.

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NVX

 

Nuveen California Dividend Advantage Municipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NVY

 

Nuveen Pennsylvania Dividend Advantage Municipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NWF

 

Nuveen Insured Florida Tax-Free Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NWI

 

Nuveen Maryland Dividend Advantage Municipal Fund 3

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NXC

 

Nuveen California Select Tax-Free Income Portfolio

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NXE

 

Nuveen Arizona Dividend Advantage Municipal Fund 3

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NXI

 

Nuveen Ohio Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NXJ

 

Nuveen New Jersey Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NXK

 

Nuveen New York Dividend Advantage Municipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NXM

 

Nuveen Pennsylvania Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NXN

 

Nuveen New York Select Tax-Free Income Portfolio

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NXP

 

Nuveen Select Tax-Free Income Portfolio

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS  

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

NXQ

 

Nuveen Select Tax-Free Income Portfolio 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NXR

 

Nuveen Select Tax-Free Income Portfolio 3

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NXZ

 

Nuveen Dividend Advantage Municipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NZF

 

Nuveen Dividend Advantage Municipal Fund 3

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NZH

 

Nuveen California Dividend Advantage Municipal Fund 3

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NZR

 

Nuveen Maryland Dividend Advantage Municipal Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NZW

 

Nuveen Michigan Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

NZX

 

Nuveen Georgia Dividend Advantage Municipal Fund

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS  

 

 

 

 

 

 

 

 

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

 

 

 

 

 

NUW

 

Nuveen Municipal Value Fund 2

 

Nuveen Asset Management

 

 

 

 

 

 

 

 

 

 

 

Open-end Funds

 

 

 

 

 

 

 

 

 

 

 

 

 

Nuveen NWQ Multi-Cap Value Fund

 

Nuveen Asset Management

 

NWQ Investment Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen NWQ Large-Cap Value Fund

 

Nuveen Asset Management

 

NWQ Investment Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen NWQ Small-Cap Value Fund

 

Nuveen Asset Management

 

NWQ Investment Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen NWQ Small/Mid-Cap Value Fund

 

Nuveen Asset Management

 

NWQ Investment Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Tradewinds Value Opportunities Fund

 

Nuveen Asset Management

 

Tradewinds Global Investors, LLC

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Multi-Manager Large-Cap Value Fund

 

Nuveen Asset Management

 

HydePark and Symphony Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Symphony Large-Cap Value Fund

 

Nuveen Asset Management

 

Symphony Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Symphony All-Cap Core Fund

 

Nuveen Asset Management

 

Symphony Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Symphony Optimized Alpha Fund

 

Nuveen Asset Management

 

Symphony Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Symphony Mid-Cap Core Fund

 

Nuveen Asset Management

 

Symphony Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Symphony Small-Mid Cap Core Fund

 

Nuveen Asset Management

 

Symphony Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Tradewinds Global All-Cap Fund

 

Nuveen Asset Management

 

Tradewinds Global Investors, LLC

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Growth Allocation Fund

 

Nuveen Asset Management

 

Nuveen Investments Solutions

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Tradewinds International Value Fund

 

Nuveen Asset Management

 

Tradewinds Global Investors, LLC

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS  

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

                 

 

 

Nuveen Symphony International Equity Fund

 

Nuveen Asset Management

 

Symphony Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Conservative Allocation Fund

 

Nuveen Asset Management

 

Nuveen Investment Solutions

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Moderate Allocation Fund

 

Nuveen Asset Management

 

Nuveen Investment Solutions

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Santa Barbara Growth Fund

 

Nuveen Asset Management

 

Santa Barbara Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Santa Barbara Growth Opportunities Fund

 

Nuveen Asset Management

 

Santa Barbara Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Santa Barbara Dividend Growth Fund

 

Nuveen Asset Management

 

Santa Barbara Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Rittenhouse Growth Fund

 

Nuveen Asset Management

 

Sanat Barbara Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Rittenhouse Strategic Growth Fund

 

Nuveen Asset Management

 

Santa Barbara Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Rittenhouse Mid-Cap Growth Fund

 

Nuveen Asset Management

 

Santa Barbara Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Symphony Large-Cap Growth Fund

 

Nuveen Asset Management

 

Symphony Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Tradewinds Global Resources Fund

 

Nuveen Asset Management

 

Tradewinds Global Investors, LLC

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Enhanced Core Equity Fund

 

Nuveen Asset Management

 

HydePark

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Enhanced Mid-Cap Fund

 

Nuveen Asset Management

 

HydePark

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Enhanced Core Equity Plus Fund

 

Nuveen Asset Management

 

HydePark

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen U.S. Equity Completeness Fund

 

Nuveen Asset Management

 

Nuveen Investment Solutions

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Tradewinds Japan Fund

 

Nuveen Asset Management

 

Tradewinds Global Investors, LLC

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Tradewinds Emerging Market Fund

 

Nuveen Asset Management

 

Tradewinds Global Investors, LLC

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Tradewinds Global All-Cap Plus Fund

 

Nuveen Asset Management

 

Tradewinds Global Investors, LLC

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS  

 

 

 

 

 

 

 

 

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

 

 

 

 

 

 

 

Nuveen Santa Barbara EcoLogic Fund

 

Nuveen Asset Management

 

Santa Barbara Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Santa Barbara Growth Plus Fund

 

Nuveen Asset Management

 

Santa Barbara Asset Management

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Short Duration Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Multi-Strategy Income Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen High Yield Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Preferred Securities Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen All-American Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen High Yield Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Insured Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Intermediate Duration Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Limited Term Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Arizona Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen California Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen California Insured Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen California High Yield Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS  

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

 

 

Nuveen Colorado Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Connecticut Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Florida Preference Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Georgia Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Kansas Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Kentucky Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Louisiana Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Maryland Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Massachusetts Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Massachusetts Insured Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Michigan Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Missouri Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen New Jersey Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen New Mexico Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen New York Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen New York Insured Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen North Carolina Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Ohio Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

         

 

 

Nuveen Pennsylvania Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Tennessee Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

         

 

 

 

 

 

 

 

 

 

 

 

 



 

 

Part 1-F

PRINCIPAL UNDERWRITER / ADVISED FUNDS / SUBADVISED FUNDS  

 

 

 

 

 

 

 

 

 

Ticker

 

Fund Name

 

ADVISER

 

SUBADVISER(S)

 

PRINCIPAL
UNDERWRITER

 

 

 

 

 

 

 

Nuveen Virginia Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Nuveen Wisconsin Municipal Bond Fund

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Municipal Total Return Managed Accounts Portfolio

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

Enhanced Multi-Strategy Income Managed Accounts Portfolio

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 

 

 

 

International Income Managed Accounts Portfolio

 

Nuveen Asset Management

 

 

 

Nuveen Investments, LLC

 

 

 

 



 

 

Part 1-G

SUBADVISED FUNDS

 

 

 

 

Fund

  

Subadviser

 

 

Activa International Fund

  

Tradewinds Global Investors, LLC

Advance Asset Management Limited-International Shares

Multi-Blend Fund

  

Tradewinds Global Investors, LLC

AXA Premier VIP Trust

  

Tradewinds Global Investors, LLC

Exemplar Global Opportunities Fund-Canadian

  

Tradewinds Global Investors, LLC

ING International Value Choice Fund

  

Tradewinds Global Investors, LLC

ING Value Opportunities Choice Fund

  

Tradewinds Global Investors, LLC

ING Global Value Choice Fund

  

Tradewinds Global Investors, LLC

 

 

Leith Wheeler International Equity Plus Fund-Canadian

  

Tradewinds Global Investors, LLC

Northern Trust Multi-Manager International Equity Fund

  

Tradewinds Global Investors, LLC

Renaissance Canadian Core Value Fund

  

Tradewinds Global Investors, LLC

Renaissance Global Value Fund

  

Tradewinds Global Investors, LLC

 

 

Riversource Partners International Select Value Fund

  

Tradewinds Global Investors, LLC

Russell II World Equity Fund

  

Tradewinds Global Investors, LLC

Russell II Alpha Fund

  

Tradewinds Global Investors, LLC

Russell Global Equity Fund

  

Tradewinds Global Investors, LLC

Russell World Equity Fund II

  

Tradewinds Global Investors, LLC

 

 

HSBC Investor Value Fund

  

NWQ Investment Management Company LLC

 

 

HSBC MM US Value Equity Pooled Fund

  

NWQ Investment Management Company LLC

 

 

HSBC US Large Cap Irish Fund

  

NWQ Investment Management Company LLC

 

 

ING Small Cap Value Choice Fund

  

NWQ Investment Management Company LLC

 

 

Integra – NWQ US Large Cap Value Fund

  

NWQ Investment Management Company LLC

 

 

MD Management Pooled Equity Fund

  

NWQ Investment Management Company LLC

 

 

MGI US Small/Mid Cap Value Fund

  

NWQ Investment Management Company LLC

 

 

ML Global Selects-North American Large Cap Growth Portfolio I

  

NWQ Investment Management Company LLC

 

 

MTB Large Cap Value Fund I

  

NWQ Investment Management Company LLC

 

 

MTB Large Cap Value Fund II

  

NWQ Investment Management Company LLC

 

 

Roszel/NWQ Small Cap Value Portfolio

  

NWQ Investment Management Company LLC

 

 

Wilshire Small Company Value Fund

  

NWQ Investment Management Company LLC

 

 

Dow 30 Enhanced Premium Income Fund Inc.

  

Nuveen HydePark Group, LLC

     

 

 

 

 

 

 

 



 

 

Part 1-G

SUBADVISED FUNDS

 

 

 

 

Fund

  

Subadviser

 

 

NASDAQ Premium Income & Growth Fund Inc.

  

Nuveen HydePark Group, LLC

Global Income & Currency Fund Inc.

  

Nuveen HydePark Group, LLC

Dow 30 Premium & Dividend Income Fund Inc.

  

Nuveen HydePark Group, LLC

Defined Strategy Fund Inc.

  

Nuveen HydePark Group, LLC

 

 

MainStay Large Cap Growth Fund

  

Winslow Capital Management

MainStay Variable Product Large Cap Growth

  

Winslow Capital Management

MGI US Large Cap Growth Equity Fund

  

Winslow Capital Management

HSBC Investor Growth Portfolio

  

Winslow Capital Management

 

 

MLIG Roszel/Santa Barbara Large Cap Growth Portfolio

  

Santa Barbara Asset Management, LLC

 

 

New Covenant Growth Fund

  

Santa Barbara Asset Management, LLC

 

 

AssetMark Tax-Exempt Fixed Income Fund

  

Nuveen Asset Management Inc.

 

 

 

 

 



 

 

Part 1-H

Unit Investment Trusts  

 

 

 

UIT

  

Depositor

 

 

Nuveen Insured Corporate Portfolio, Series 5

  

Nuveen Investments, LLC

Nuveen National Traditional Portfolio, Series 145

  

Nuveen Investments, LLC

Nuveen National Traditional Portfolio, Series 162

  

Nuveen Investments, LLC

Nuveen National Traditional Portfolio, Series 165

  

Nuveen Investments, LLC

Nuveen National Traditional Portfolio, Series 171

  

Nuveen Investments, LLC

Nuveen National Traditional Portfolio, Series 510

  

Nuveen Investments, LLC

Nuveen National Traditional Portfolio, Series 519

  

Nuveen Investments, LLC

Nuveen National Traditional Portfolio, Series 520

  

Nuveen Investments, LLC

Nuveen Arizona Traditional Portfolio, Series 187

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 244

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 245

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 254

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 255

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 262

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 263

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 264

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 267

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 269

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 291

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 293

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 294

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 295

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 296

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 297

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 298

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 299

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 300

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 301

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 302

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 303

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 304

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 305

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 306

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 307

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 308

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 309

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 310

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 311

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 312

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 313

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 314

  

Nuveen Investments, LLC

Nuveen Connecticut Traditional Portfolio, Series 315

  

Nuveen Investments, LLC

 

 

 

 

 


 

 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen Georgia Traditional Portfolio, Series 210

  

Nuveen Investments, LLC

Nuveen Georgia Traditional Portfolio, Series 211

  

Nuveen Investments, LLC

Nuveen Massachusetts Traditional Portfolio, Series 41

  

Nuveen Investments, LLC

Nuveen Massachusetts Traditional Portfolio, Series 89

  

Nuveen Investments, LLC

Nuveen Massachusetts Traditional Portfolio, Series 188

  

Nuveen Investments, LLC

Nuveen Massachusetts Traditional Portfolio, Series 191

  

Nuveen Investments, LLC

Nuveen Massachusetts Traditional Portfolio, Series 192

  

Nuveen Investments, LLC

Nuveen Massachusetts Traditional Portfolio, Series 193

  

Nuveen Investments, LLC

Nuveen Massachusetts Traditional Portfolio, Series 194

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 271

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 280

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 317

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 318

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 319

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 326

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 328

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 329

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 330

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 331

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 332

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 333

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 334

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 335

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 336

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 337

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 338

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 339

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 340

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 341

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 342

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 343

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 344

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 345

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 346

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 347

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 348

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 349

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 350

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 351

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 352

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 353

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 354

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 355

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 356

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 357

  

Nuveen Investments, LLC

     
     
     

 

 

 

 


 

 

 

 



 

 

 

 

 

 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen Maryland Traditional Portfolio, Series 358

  

Nuveen Investments, LLC

Nuveen Maryland Traditional Portfolio, Series 359

  

Nuveen Investments, LLC

Nuveen Minnesota Traditional Portfolio, Series 102

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 310

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 311

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 312

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 314

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 316

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 317

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 318

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 319

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 320

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 321

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 322

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 323

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 324

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 325

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 326

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 327

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 328

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 329

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 330

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 331

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 332

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 333

  

Nuveen Investments, LLC

 

 

 

 


 

 

 

 



 

 

 

Nuveen North Carolina Traditional Portfolio, Series 334

  

Nuveen Investments, LLC

Nuveen North Carolina Traditional Portfolio, Series 335

  

Nuveen Investments, LLC

Nuveen New Jersey Traditional Portfolio, Series 112

  

Nuveen Investments, LLC

Nuveen New York Traditional Portfolio, Series 200

  

Nuveen Investments, LLC

Nuveen New York Traditional Portfolio, Series 215

  

Nuveen Investments, LLC

Nuveen New York Traditional Portfolio, Series 219

  

Nuveen Investments, LLC

Nuveen New York Traditional Portfolio, Series 220

  

Nuveen Investments, LLC

Nuveen Pennsylvania Traditional Portfolio, Series 78

  

Nuveen Investments, LLC

Nuveen Pennsylvania Traditional Portfolio, Series 187

  

Nuveen Investments, LLC

Nuveen Pennsylvania Traditional Portfolio, Series 189

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 309

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 320

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 322

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 325

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 326

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 327

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 328

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 329

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 330

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 331

  

Nuveen Investments, LLC

 

 

 

 


 

 

 

 



 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen Virginia Traditional Portfolio, Series 333

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 334

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 335

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 336

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 337

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 338

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 339

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 340

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 341

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 342

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 343

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 344

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 345

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 346

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 347

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 348

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 349

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 350

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 351

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 352

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 353

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 354

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 355

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 356

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 357

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 358

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 359

  

Nuveen Investments, LLC

Nuveen Virginia Traditional Portfolio, Series 360

  

Nuveen Investments, LLC

Nuveen Discount Portfolio, Series 1

  

Nuveen Investments, LLC

Nuveen Discount Portfolio, Series 2

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 155

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 247

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 255

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 311

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 331

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 332

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 356

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 360

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 361

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 362

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 363

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 364

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 365

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 367

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 368

  

Nuveen Investments, LLC

 

 

 

 


 

 

 

 



 

 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen National Insured Portfolio, Series 369

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 372

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 373

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 374

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 376

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 377

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 379

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 380

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 381

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 382

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 383

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 384

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 385

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 386

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 387

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 388

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 389

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 390

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 391

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 392

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 393

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 394

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 395

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 396

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 397

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 398

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 399

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 400

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 401

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 402

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 403

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 404

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 405

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 406

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 407

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 408

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 409

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 410

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 411

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 412

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 413

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 414

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 415

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 416

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 417

  

Nuveen Investments, LLC

 

 

 

 


 

 

 

 



 

 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen National Insured Portfolio, Series 418

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 419

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 420

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 421

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 422

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 423

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 424

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 425

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 426

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 427

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 428

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 429

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 430

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 431

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 432

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 433

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 434

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 435

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 436

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 437

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 438

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 439

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 440

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 441

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 442

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 443

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 444

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 445

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 446

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 447

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 448

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 449

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 450

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 451

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 452

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 453

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 454

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 455

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 456

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 457

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 458

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 459

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 460

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 461

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 462

  

Nuveen Investments, LLC

 

 

 

 


 

 

 

 



 

 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen National Insured Portfolio, Series 463

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 464

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 465

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 466

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 467

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 468

  

Nuveen Investments, LLC

Nuveen National Insured Portfolio, Series 469

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 10

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 24

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 53

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 54

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 55

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 57

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 59

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 60

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 62

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 63

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 65

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 66

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 67

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 68

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 69

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 70

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 71

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 72

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 73

  

Nuveen Investments, LLC

Nuveen Arizona Insured Portfolio, Series 74

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 210

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 258

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 288

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 290

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 293

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 295

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 296

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 298

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 300

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 301

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 302

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 303

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 304

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 305

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 306

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 307

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 308

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 309   Nuveen Investments, LLC

 

 

 

 

 



 

Part 1-H

Unit Investment Trusts

 

 

 

Nuveen California Insured Portfolio, Series 310

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 311

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 312

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 313

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 314

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 315

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 316

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 317

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 318

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 319

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 320

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 321

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 323

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 324

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 325

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 326

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 327

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 328

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 329

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 330

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 331

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 332

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 333

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 334

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 335

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 336

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 337

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 338

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 339

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 340

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 341

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 342

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 343

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 344

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 345

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 346

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 347

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 348

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 349

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 350

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 351

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 352

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 353

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 354

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 355

  

Nuveen Investments, LLC

 

 

 

 


 

 

 

 



 

 

Part 1-H

Unit Investment Trusts

 

 

 

Nuveen California Insured Portfolio, Series 356

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 357

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 358

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 359

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 360

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 361

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 362

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 364

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 365

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 366

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 367

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 368

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 369

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 370

  

Nuveen Investments, LLC

Nuveen California Insured Portfolio, Series 371

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 71

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 72

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 74

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 75

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 76

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 77

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 78

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 79

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 80

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 82

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 83

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 84

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 85

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 86

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 87

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 88

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 89

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 90

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 91

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 92

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 93

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 94

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 95

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 96

  

Nuveen Investments, LLC

Nuveen Colorado Insured Portfolio, Series 97

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 119

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 211

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 212

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 249

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 255

  

Nuveen Investments, LLC

 

 

 

 


 

 

 

 



 

 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen Florida Insured Portfolio, Series 257

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 258

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 259

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 260

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 261

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 262

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 263

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 264

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 265

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 266

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 267

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 268

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 269

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 270

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 271

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 272

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 273

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 274

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 275

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 276

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 277

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 278

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 279

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 280

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 281

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 282

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 283

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 284

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 285

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 286

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 287

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 288

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 289

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 290

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 291

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 292

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 293

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 294

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 295

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 296

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 297

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 298

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 299

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 300

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 301   Nuveen Investments, LLC

 

 

  

 

 

 


 

 

 

 



 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen Florida Insured Portfolio, Series 302

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 303

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 304

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 305

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 306

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 307

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 308

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 309

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 310

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 311

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 312

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 313

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 314

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 315

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 316

  

Nuveen Investments, LLC

Nuveen Florida Insured Portfolio, Series 317

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 17

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 30

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 34

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 35

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 37

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 38

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 39

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 43

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 49

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 51

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 52

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 61

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 62

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 63

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 65

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 66

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 67

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 68

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 69

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 70

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 71

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 72

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 73

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 74

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 75

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 76

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 77

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 78

  

Nuveen Investments, LLC

Nuveen Georgia Insured Portfolio, Series 79   Nuveen Investments, LLC

 

 

 

 



 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen Georgia Insured Portfolio, Series 80

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 149

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 150

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 151

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 152

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 153

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 154

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 155

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 156

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 157

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 158

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 159

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 160

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 161

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 162

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 163

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 164

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 165

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 166

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 167

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 168

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 169

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 170

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 171

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 172

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 173

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 174

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 175

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 176

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 177

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 178

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 179

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 180

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 181

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 182

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 183

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 184

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 185

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 186

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 187

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 188

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 189

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 190

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 191

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 192   Nuveen Investments, LLC

 

 

 

 


 

 

 

 

 

 



 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen Massachusetts Insured Portfolio, Series 193

  

Nuveen Investments, LLC

Nuveen Massachusetts Insured Portfolio, Series 194

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 68

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 70

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 71

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 75

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 76

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 77

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 78

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 79

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 80

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 81

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 82

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 83

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 84

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 85

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 86

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 87

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 88

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 89

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 90

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 91

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 92

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 93

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 94

  

Nuveen Investments, LLC

Nuveen Michigan Insured Portfolio, Series 95

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 53

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 56

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 58

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 147

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 148

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 152

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 161

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 180

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 193

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 227

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 230

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 231

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 233

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 234

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 235

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 236

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 237

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 238

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 239   Nuveen Investments, LLC

 

 

 

 

 

 


 

 

 

 



 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen New Jersey Insured Portfolio, Series 240

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 241

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 242

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 243

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 244

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 245

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 246

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 247

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 248

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 249

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 250

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 251

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 252

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 253

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 254

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 255

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 256

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 257

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 258

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 259

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 260

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 261

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 262

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 263

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 264

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 265

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 266

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 267

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 268

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 269

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 270

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 271

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 272

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 273

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 274

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 275

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 276

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 277

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 278

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 279

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 280

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 281

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 282

  

Nuveen Investments, LLC

Nuveen New Jersey Insured Portfolio, Series 283

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 61   Nuveen Investments, LLC

 

 

 

 


 

 

 

 

 



 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen New York Insured Portfolio, Series 236

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 262

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 274

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 275

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 276

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 278

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 279

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 281

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 282

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 283

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 284

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 285

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 286

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 288

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 291

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 292

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 293

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 294

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 296

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 297

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 298

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 299

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 300

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 301

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 302

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 303

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 304

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 305

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 306

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 307

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 308

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 309

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 310

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 311

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 312

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 313

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 314

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 315

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 316

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 317

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 318

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 319

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 320

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 321

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 322   Nuveen Investments, LLC

 

 

 

 


 

 

 

 

 

 


 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen New York Insured Portfolio, Series 323

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 324

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 325

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 326

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 327

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 328

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 329

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 330

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 331

  

Nuveen Investments, LLC

Nuveen New York Insured Portfolio, Series 332

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 130

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 132

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 134

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 136

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 140

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 147

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 148

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 150

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 151

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 152

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 153

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 154

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 155

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 157

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 158

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 159

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 160

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 161

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 162

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 163

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 164

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 165

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 166

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 167

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 168

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 169

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 170

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 171

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 172

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 173

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 174

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 175

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 176

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 177

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 178   Nuveen Investments, LLC

 

 

 

 

 



 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen Ohio Insured Portfolio, Series 179

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 180

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 181

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 182

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 183

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 184

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 185

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 186

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 187

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 188

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 189

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 190

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 191

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 192

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 193

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 194

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 195

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 196

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 197

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 198

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 199

  

Nuveen Investments, LLC

Nuveen Ohio Insured Portfolio, Series 200

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 50

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 52

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 125

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 138

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 169

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 219

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 223

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 230

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 231

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 236

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 238

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 239

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 241

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 242

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 243

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 244

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 247

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 248

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 249

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 250

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 251

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 252

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 253   Nuveen Investments, LLC

 

 

 

 


 

 

 

 



 

Part 1-H

Unit Investment Trusts  

 

 

 

Nuveen Pennsylvania Insured Portfolio, Series 254

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 255

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 256

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 258

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 259

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 260

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 261

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 262

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 263

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 264

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 265

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 266

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 267

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 268

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 269

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 270

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 271

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 272

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 273

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 274

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 275

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 276

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 277

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 278

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 279

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 280

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 281

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 282

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 283

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 284

  

Nuveen Investments, LLC

Nuveen Pennsylvania Insured Portfolio, Series 285

  

Nuveen Investments, LLC

Nuveen Tennessee Insured Portfolio, Series 21

  

Nuveen Investments, LLC

Nuveen Nasdaq-100 Growth and Treasury Portfolio,

September 2001

  

Nuveen Investments, LLC