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Filed as of Thursday, 3/23/23
23
MAR


        

2,658  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


        
 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
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.  The legal “Filed As Of” date may be the next, or another, day.
 ¹  Filing/Form Types: 
Type emoji
  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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