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

 11/5/19  Cboe EDGX Exchange, Inc.          19B-4E      11/5/19    1:2K                                     SEC #7                   
 11/5/19  Cboe EDGA Exchange, Inc.          19B-4E      11/5/19    1:2K                                     SEC #7                   
 11/5/19  Cboe BZX Exchange, Inc.           19B-4E      11/5/19    1:2K                                     SEC #7                   
 11/5/19  Cboe BYX Exchange, Inc.           19B-4E      11/5/19    1:2K                                     SEC #7                   
 11/5/19  Uplift Nutrition, Inc.            REVOKED      1/3/20    1:119K                                   SEC #7                   
 11/5/19  Hilltop Securities Inc.           MA/A       12/11/19    1:77K                                                             
 11/5/19  Sage Municipal Advisors, LLC      MA-I/A     11/13/19    1:8K                                                              
          Beth Alison Ferguson³
 11/5/19  Piper Sandler & Co.               MA/A        11/8/19    1:113K                                                            
 11/5/19  K-12 Capital Advisors, LLC        MA/A        11/8/19    1:19K                                                             
 11/5/19  K-12 Capital Advisors, LLC        MA-I/A      11/6/19    1:13K                                                             
          James Robert Wilson³
 11/5/19  Sprout Social, Inc.               SEC LETTER  11/6/19    1:226K                                   SEC #7                   
 11/5/19‡ Trilogy Metals Inc.               EFFECT      11/5/19    1:2K                                     SEC #5                   
 11/5/19‡ NovaBay Pharmaceuticals, Inc.     EFFECT      11/5/19    1:2K                                     SEC #5                   
 11/5/19‡ ESSA Pharma Inc.                  EFFECT      11/5/19    1:2K                                     SEC #5                   
 11/5/19‡ Giga Tronics Inc.                 EFFECT      11/5/19    1:2K                                     SEC #5                   
 11/5/19‡ Ocugen, Inc.                      EFFECT      11/5/19    1:2K                                     SEC #5                   
 11/5/19‡ Orrstown Financial Services Inc.  EFFECT      11/5/19    1:2K                                     SEC #5                   
 11/5/19‡ Carlyle Tactical Private Cred… Fd EFFECT      11/5/19    1:2K                                     SEC #5                   
 11/5/19‡ Highpower International, Inc.     EFFECT      11/5/19    1:2K                                     SEC #5                   
 11/5/19‡ Invesco Unit Trusts Series 2010   EFFECT      11/5/19    1:2K                                     SEC #5                   

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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:  /A
	19B-4E	Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e).
	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.
	REVOKED	SEC Order Revoking a Registration.
	SEC LETTER	SEC Staff Letter – SEC Comment, No-Action, Redacted Exhibit, Serious Deficiencies or Uncategorized Letter.
	/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.