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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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8/27/08 Seven J Stock Farm Inc. TA/TA TA-W 10/26/08 1:1K SEC #7
8/27/08 Reliance Capital Mgmt Advs LLC FOCUSN 6/30/08 1:2K SEC #7
8/27/08 Quantum Securities, Inc. X-17A-5/A 12/31/07 1:2K SEC #7
8/27/08 Ernst & Young Corp Fin (Cana… Inc FOCUSN 6/27/08 1:2K SEC #7
8/27/08 McGladrey Capital Markets, LLC X-17A-5/A 4/30/08 1:2K SEC #7
8/27/08 Reliance Capital Mgmt Advs LLC X-17A-5 6/30/08 1:2K SEC #7
8/27/08 Plante Moran Ins Agency Svcs, LLC X-17A-5 6/30/08 1:2K SEC #7
8/27/08 Burns Financial Centre, Inc. X-17A-5 6/30/08 1:2K SEC #7
8/27/08 First Bermuda Securities Ltd. X-17A-5 6/30/08 1:2K SEC #7
8/27/08 Ernst & Young Corp Fin (Cana… Inc X-17A-5 6/27/08 1:2K SEC #7
8/27/08 G - W Brokerage Group, Inc. X-17A-5 6/30/08 1:2K SEC #7
8/27/08 Fleming Securities Inc. X-17A-5 6/30/08 1:2K SEC #7
8/27/08‡ Evestra Inc. REGDEX/A 8/27/08 1:2K SEC #7
8/27/08 International Fund Marketing Ltd. X-17A-5 6/30/08 1:2K SEC #7
8/27/08 Black Oak Securities, Inc. X-17A-5 6/30/08 1:2K SEC #7
8/27/08 Silverwood Partners LLC X-17A-5/A 12/31/07 1:2K SEC #7
8/27/08 R.M. Duncan Securities, Inc. FOCUSN 6/30/08 1:2K SEC #7
8/27/08 Palmieri, Angnardo & Co., Inc. FOCUSN 6/30/08 1:2K SEC #7
8/27/08 Retirement Resources Inv Corp. FOCUSN 6/30/08 1:2K SEC #7
8/27/08 Portsmouth Financial Services X-17A-5 6/30/08 1:2K SEC #7
____________ | ‡ | A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm ET. The legal “Filed As Of” date may be the next, or another, day. | ¹ | Filing/Form Types: | | FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. | | REGDEX | Notice of an Exempt Offering of Securities — Form D. | | TA-W | Notice of a Withdrawal from Registration by a Transfer Agent — Form TA-W. | | X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. | | /A | Amendment to, or Amended version of, a previous Filing of this Type. |
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