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‡ | 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: -K |
| 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. |
| CERTARCA | Certification by the NYSE Archipelago Approving a Listing — Form CERT. |
| CERTNAS | Certification by the Nasdaq Stock Market Approving a Listing — Form CERT. |
| MSD | Application for Registration by a Municipal Securities Dealer — Form MSD. |
| NO ACT | SEC No-Action Letter re: a Shareholder Proposal. |
| REVOKED | SEC Order Revoking a Registration. |
| TA-1 | Application for Registration by a Transfer Agent — Form TA-1. |
| 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. |