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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: |
| ATS-N/UA | Updating Amendment — Form ATS-N. |
| EFFECT | SEC Notice of Effectiveness. |
| MA | Application for Registration by a Municipal Advisor — Form MA. |
| MA-A | Annual Update of Registration by a Municipal Advisor — Form MA. |
| MA-I | Info re: a Natural Person Who Engages in Municipal Advisory Activity — Form MA-I. |
| S-3 | Registration Statement – Securities for a Transaction — Form S-3. |
| 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. |
| ¶ | This Filing contains a delayed-release Document. |
³ | Group Member: A Registrant or non-Registrant party to this Filing made by a Group. |