As Of	Filer	Filing¹	For·On·As	Docs:Size	Issuer		Filing Agent

  4/1/14  William E. Simon & Sons, LLC      40-202A/A   3/15/17    1:2K                                     SEC #7                   
  4/1/14  NYSE Chicago, Inc.                19B-4E       4/1/14    1:2K                                     SEC #7                   
  4/1/14  NYSE Chicago, Inc.                19B-4E       4/1/14    1:2K                                     SEC #7                   
  4/1/14  NYSE Chicago, Inc.                19B-4E       4/1/14    1:2K                                     SEC #7                   
  4/1/14‡ TCFG Wealth Management, LLC       X-17A-5/A  12/31/13    1:2K                                     SEC #7                   
  4/1/14  Maple Securities U.S.A. Inc.      X-17A-5/A   9/30/13    1:2K                                     SEC #7                   
  4/1/14  TJM Investments, LLC              X-17A-5    12/31/13    1:2K                                     SEC #7                   
  4/1/14  Liberty Associates, Inc.          X-17A-5     1/31/14    1:2K                                     SEC #7                   
  4/1/14  Premier Secs of America, Inc.     X-17A-5     1/31/14    1:2K                                     SEC #7                   
  4/1/14  Itau Bba USA Securities, Inc.     X-17A-5    12/31/13    1:2K                                     SEC #7                   
  4/1/14  Itau Bba USA Securities, Inc.     FOCUSN     12/31/13    1:2K                                     SEC #7                   
  4/1/14  ITT Inc.                          ARS        12/31/13    1:2K                                     SEC #7                   
  4/1/14  E.W. Scripps Co.                  ARS        12/31/13    1:2K                                     SEC #7                   
  4/1/14  Pentair plc                       ARS        12/31/13    1:2K                                     SEC #7                   
  4/1/14  Barnes Group Inc.                 ARS        12/31/13    1:2K                                     SEC #7                   
  4/1/14  Knoll Inc.                        ARS        12/31/13    1:2K                                     SEC #7                   
  4/1/14  Invesco Ltd.                      ARS        12/31/13    1:2K                                     SEC #7                   
  4/1/14  Intricon Corp.                    ARS        12/31/13    1:2K                                     SEC #7                   
  4/1/14  Loews Corp.                       ARS        12/31/13    1:2K                                     SEC #7                   
  4/1/14  Albemarle Corp.                   ARS        12/31/13    1:2K                                     SEC #7                   

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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:
	19B-4E	Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e).
	40-202A	Application to Designate the Applicant a Person Not Within the Intent of the Investment Advisers Act.
	ARS	Annual Report to Security Holders.
	FOCUSN	Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer.
	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.