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| As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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12/3/09 Cboe BZX Exchange, Inc. 19B-4E 12/3/09 1:2K SEC #7
12/3/09 Nasdaq BX, Inc. 19B-4E 12/3/09 1:1K SEC #7
12/3/09 Nasdaq BX, Inc. 19B-4E 12/3/09 1:1K SEC #7
12/3/09 Nasdaq BX, Inc. 19B-4E 12/3/09 1:1K SEC #7
12/3/09 Nasdaq BX, Inc. 19B-4E 12/3/09 1:1K SEC #7
12/3/09 Nasdaq BX, Inc. 19B-4E 12/3/09 1:1K SEC #7
12/3/09 Nasdaq BX, Inc. 19B-4E 12/3/09 1:1K SEC #7
12/3/09 Nasdaq BX, Inc. 19B-4E 12/3/09 1:1K SEC #7
12/3/09 Nasdaq BX, Inc. 19B-4E 12/3/09 1:1K SEC #7
12/3/09 Nasdaq BX, Inc. 19B-4E 12/3/09 1:1K SEC #7
12/3/09 NASDAQ Stock Market LLC 19B-4E 12/3/09 1:2K SEC #7
12/3/09 NASDAQ Stock Market LLC 19B-4E 12/3/09 1:2K SEC #7
12/3/09 Hugo Marx & Co. Inc. X-17A-5/A 7/31/09 1:2K SEC #7
12/3/09 Investors Security Co., Inc. X-17A-5/A 8/31/09 1:2K SEC #7
12/3/09 City Securities Corp. X-17A-5 9/30/09 1:2K SEC #7
12/3/09 DWS Service Co. TA-1/A 12/13/09 1:414K
12/3/09 Charles Schwab & Co. Inc./TA TA-W 2/1/10 1:4K
12/3/09 Janus Henderson Services US LLC TA-1/A 12/13/09 1:3K
12/3/09 Medco Health Solutions Inc. NO ACT 11/6/09 1:2K SEC #7
12/3/09 Allied Capital Corp. 40-33 12/3/09 1:2K SEC #7
| ____________ | | 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). | | 40-33 | Stockholder Derivative Action Against an Investment Company or an Affiliate. | | NO ACT | SEC No-Action Letter re: a Shareholder Proposal. | | TA-1 | Application for Registration by a Transfer Agent — Form TA-1. | | 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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