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¹ | Filing/Form Types: |
| 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). |
| ARS | Annual Report to Security Holders. |
| CERTNAS | Certification by the Nasdaq Stock Market Approving a Listing — Form CERT. |
| CERTPAC | Certification by the Pacific Coast Stock Exchange Approving a Listing — Form CERT. |
| FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. |
| REVOKED | SEC Order Revoking a Registration. |
| SUPPL | Supplemental Material by a Foreign Issuer. |
| X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. |