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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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3/23/23‡ Eagles Coast Capital, LLC X-17A-5 12/31/21 1:2K SEC #7
3/23/23 X-Change Financial Access, LLC FOCUSN 12/31/21 1:2K SEC #7
3/23/23 Equitable Distributors, LLC X-17A-5 12/31/21 1:2K SEC #7
3/23/23 A.C.R. Securities, Inc. X-17A-5 12/31/21 1:2K SEC #7
3/23/23 McDuffie/Morris Fin’l Group, Inc. X-17A-5 4/30/19 1:2K SEC #7
3/23/23 Taglich Brothers, Inc. X-17A-5 12/31/22 1:2K SEC #7
3/23/23 Vasiliou & Co. Inc. X-17A-5 12/31/19 1:2K SEC #7
3/23/23 Trinity Wealth Securities, L.L.C. X-17A-5 12/31/18 1:2K SEC #7
3/23/23 Webb Municipal Finance, LLC MA-A 12/31/22 1:14K
3/23/23 NYSE Arca, Inc. 19B-4E 3/23/23 1:2K SEC #7
3/23/23 NYSE Arca, Inc. 19B-4E 3/23/23 1:2K SEC #7
3/23/23 NYSE Arca, Inc. 19B-4E 3/23/23 1:2K SEC #7
3/23/23 NYSE Arca, Inc. 19B-4E 3/23/23 1:2K SEC #7
3/23/23 Alps Fund Services, Inc. TA-1/A 4/2/23 1:11K
3/23/23 Argent Advisors, Inc. MA-A 12/31/22 1:27K
3/23/23 Bretwood Capital Partners MA-A 12/31/22 1:13K
3/23/23 Auddia Inc. S-1 3/24/23 12:633K GlobalOne Filings Inc/FA
3/23/23 Usee Electronic Commerce Ltd. F-1 3/24/23 2:844K
3/23/23‡ Fusion Pharmaceuticals Inc. EFFECT 3/23/23 1:2K SEC #5
3/23/23‡ Tritium DCFC Ltd. EFFECT 3/23/23 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: | | 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. | | F-1 | Registration Statement by a Foreign Issuer — Form F-1. | | 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. | | S-1 | Registration Statement (General Form) — Form S-1. | | 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. |
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