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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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9/9/20 Alamo Capital X-17A-5 6/30/20 1:2K SEC #7
9/9/20‡ Financial Sense Securities, Inc. X-17A-5 6/30/20 1:2K SEC #7
9/9/20‡ Heim, Young & Associates, Inc. FOCUSN 6/30/20 1:2K SEC #7
9/9/20‡ Heim, Young & Associates, Inc. X-17A-5 6/30/20 1:2K SEC #7
9/9/20‡ Pacific Financial Assocs NV, Inc. X-17A-5 6/30/20 1:2K SEC #7
9/9/20 Nelson Securities, Inc. X-17A-5 6/30/20 1:2K SEC #7
9/9/20 Int’l Money Mgmt Group, Inc. X-17A-5 6/30/20 1:2K SEC #7
9/9/20 Portsmouth Financial Services X-17A-5 6/30/20 1:2K SEC #7
9/9/20 Liberty Investment Counsel, Ltd. X-17A-5 6/30/20 1:2K SEC #7
9/9/20 ParcelPal Logistics Inc. SEC LETTER 12/16/20 1:269K SEC #7
9/9/20 Westhoff, Cone & Holmstedt MA-A 8/31/20 1:13K
9/9/20 Gayton Bradley M 3 Officer² 1:3K Coca-Cola Co. Computershare Inc.
9/9/20 Cboe EDGX Exchange, Inc. 19B-4E 9/9/20 1:2K SEC #7
9/9/20 Cboe EDGA Exchange, Inc. 19B-4E 9/9/20 1:2K SEC #7
9/9/20 Cboe BYX Exchange, Inc. 19B-4E 9/9/20 1:2K SEC #7
9/9/20 Cboe BZX Exchange, Inc. 19B-4E 9/9/20 1:2K SEC #7
9/9/20 Orphazyme A/S SEC LETTER 9/10/20 1:270K SEC #7
9/9/20‡ AYRO, Inc. EFFECT 9/9/20 1:2K SEC #5
9/9/20‡ KNOT Offshore Partners LP EFFECT 9/9/20 1:2K SEC #5
9/9/20‡ Taronis Fuels, Inc. EFFECT 9/9/20 1:2K SEC #5
____________ | ‡ | 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: | | 3 | Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 { The Filer is an Insider² of the Issuer }. | | 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. | | FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. | | MA-A | Annual Update of Registration by a Municipal Advisor — Form MA. | | SEC LETTER | SEC Staff Letter – SEC Comment, No-Action, Redacted Exhibit, Serious Deficiencies or Uncategorized Letter. | | X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. | ² | Insider: The Filer is a Director, Officer, 10% Owner and/or Other “insider” of the Issuer. |
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