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¹ | Filing/Form Types: -Q |
| 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). |
| 40-17F2 | Certificate of Accounting of Securities in the Custody of an Investment Company — Form N-17f-2. |
| ADV-E | Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Advisor — Form ADV-E. |
| ARS | Annual Report to Security Holders. |
| CERTNAS | Certification by the Nasdaq Stock Market Approving a Listing — Form CERT. |
| FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. |
| SE | Separate Exhibits – Scanned Paper-Format Exhibits of Another Electronic Filing — Form SE. |
| SUPPL | Supplemental Material by a Foreign Issuer. |
| X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. |