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Filed as of Wednesday, 10/16/19
16
OCT


        

1,508  Filings
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  As Of               Filer                 Filing¹   For·On·As Docs:Size             Issuer                      Filing Agent      
Currently in descending order - Sort in ascending orderSort in ascending orderSort in ascending orderSort in descending orderSort in ascending orderSort in ascending order


        
10/16/19 DB Services Americas Inc./TA      TA-1/A     10/26/19    1:843K                                                            
10/16/19  Christen Group, Inc.              MA-I       11/26/19    1:7K                                                              
          Christen Erika Johnson³
10/16/19  Blackrock NY Muni Bond Trust      40-33      10/16/19    1:2K                                     SEC #7                   
10/16/19  Raymond James & Associates, Inc.  MA/A       10/30/19    1:179K                                                            
10/16/19  Blackrock Credit Allocation I… Tr 40-33      10/16/19    1:2K                                     SEC #7                   
10/16/19‡ Innate Pharma SA                  EFFECT     10/16/19    1:2K                                     SEC #5                   
10/16/19  Treasury Solutions, LLC           MA-W       10/18/19    1:4K                                                              
10/16/19  Fuego Enterprises, Inc.           D          10/16/19    1:7K                                     Blueprint/FA             
10/16/19  Treasury Solutions, LLC           MA-I/A     10/17/19    1:10K                                                             
          Jerry Mac Milner³
10/16/19  DiPerna & Co., LLC                MA-I/A     10/17/19    1:11K                                                             
          Glenn Josiah Huber³
10/16/19  KNN Public Finance, LLC           MA-I/A     10/17/19    1:11K                                                             
          Justin Robert Rich³
10/16/19  KNN Public Finance, LLC           MA-I/A     10/17/19    1:9K                                                              
          Jon Bennett Armstrong³
10/16/19‡ BellRing Brands, Inc.             EFFECT     10/16/19    1:2K                                     SEC #5                   
10/16/19‡ Glacier Bancorp, Inc.             EFFECT     10/16/19    1:2K                                     SEC #5                   
10/16/19‡ Innate Pharma SA                  EFFECT     10/16/19    1:2K                                     SEC #5                   
10/16/19‡ Star Bulk Carriers Corp.          EFFECT     10/16/19    1:2K                                     SEC #5                   
10/16/19‡ Blackrock Large Cap Focus Gr… Inc EFFECT     10/16/19    1:9K                                     SEC #5                   BlackRock Large Cap Focus Growth FundBlackrock Large Cap Focus Growth Fund, Inc.
10/16/19‡ Guggenheim Taxable Muni Bond … Tr EFFECT     10/16/19    1:2K                                     SEC #5                   
10/16/19‡ Resource RE Opportunity REIT, Inc EFFECT     10/16/19    1:2K                                     SEC #5                   
10/16/19‡ Titan Pharmaceuticals Inc.        EFFECT     10/16/19    1:2K                                     SEC #5                   
____________
 ‡  A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm
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.  The legal “Filed As Of” date may be the next, or another, day.
 ¹  Filing/Form Types: 
Type emoji
  40-33    Stockholder Derivative Action Against an Investment Company or an Affiliate.
  D    Notice of an Exempt Offering of Securities — Form D.
  EFFECT    SEC Notice of Effectiveness.
  MA    Application for Registration by a Municipal Advisor — Form MA.
  MA-I    Info re: a Natural Person Who Engages in Municipal Advisory Activity — Form MA-I.
  MA-W    Notice of a Withdrawal from Registration by a Municipal Advisor — Form MA-W.
  TA-1    Application for Registration by a Transfer Agent — Form TA-1.
  /A  Amendment to, or Amended version of, a previous Filing of this Type.
 ³  Group Member:  A Registrant or non-Registrant party to this Filing made by a Group.
   Fund / Series:  Fund or Series of this Filer with a Class or Contract that this Filing pertains to.
 
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