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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: -K |
| 485BPOS | Post-Effective Amendment of a Form N-1 or N-1A Registration. |
| CERTNYS | Certification by the NYSE Approving a Listing — Form CERT. |
| REGDEX | Notice of an Exempt Offering of Securities — Form D. |
| S-8 | Registration Statement – Securities for an Employee Benefit Plan — Form S-8. |
| S-8 POS | Post-Effective Amendment of a Form S-8 Registration. |
| S-11MEF | Registration Statement to Add Securities to a Prior Form S-11 Registration. |
| 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. |