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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: -D |
| 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). |
| 40-33 | Stockholder Derivative Action Against an Investment Company or an Affiliate. |
| ARS | Annual Report to Security Holders. |
| CERTNAS | Certification by the Nasdaq Stock Market Approving a Listing — Form CERT. |
| CERTNYS | Certification by the NYSE Approving a Listing — Form CERT. |
| EFFECT | SEC Notice of Effectiveness. |
| FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. |
| REGDEX | Notice of an Exempt Offering of Securities — Form D. |
| X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. |