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Effective Friday, 10/29/10
29
OCT


        

1,113  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


        
10/29/10  Cboe BYX Exchange, Inc.           19B-4E     10/29/10    1:2K                                     SEC #7                   
10/29/10  Cboe BZX Exchange, Inc.           19B-4E     10/29/10    1:2K                                     SEC #7                   
10/29/10  Cboe BZX Exchange, Inc.           19B-4E     10/29/10    1:2K                                     SEC #7                   
10/29/10  Cboe BYX Exchange, Inc.           19B-4E     10/29/10    1:2K                                     SEC #7                   
10/29/10  Pendrell Corp.                    ARS        12/31/09    1:2K                                     SEC #7                   
10/29/10  Westhoff Cone & Holmstedt A… Corp X-17A-5     8/31/10    1:2K                                     SEC #7                   
10/29/10  Whitehall-Parker Securities, Inc. X-17A-5     8/31/10    1:2K                                     SEC #7                   
10/29/10  Goodwin Securities, Inc.          X-17A-5     8/31/10    1:2K                                     SEC #7                   
10/29/10  Ustocktrade Securities, Inc.      X-17A-5     7/31/10    1:2K                                     SEC #7                   
10/29/10  MFS Series Trust IX               40-33      10/29/10    1:2K                                     SEC #7                   
10/29/10  Portfolio Advisors LLC/Adv        ADV-E      10/29/10    1:2K                                     SEC #7                   
10/29/10  Canyon Cap Realty Advs LLC/Adv    ADV-E      10/29/10    1:2K                                     SEC #7                   
10/29/10  S & Co. Inc./Adv                  ADV-E      10/29/10    1:2K                                     SEC #7                   
10/29/10  MGP Ingredients Inc.              ARS         6/30/10    1:2K                                     SEC #7                   
10/29/10  Lesaka Technologies Inc.          ARS         6/30/10    1:2K                                     SEC #7                   
10/19/10  Milliman Inc./TA                  TA-1/A     10/29/10    1:10K                                                             
10/29/10 Cornerstone Strategic Value … Inc EFFECT     10/29/10    1:2K                                     SEC #5                   
10/29/10Cornerstone Total Return Fd Inc.  EFFECT     10/29/10    1:2K                                     SEC #5                   
10/29/10iShares Diversified Alternati… Tr EFFECT     10/29/10    1:2K                                     SEC #5                   
10/29/10Oceanstone Fund                   EFFECT     10/29/10    1:3K                                     SEC #5                   Oceanstone Fund
____________
 ‡  A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm
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ET
.  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).
  40-33    Stockholder Derivative Action Against an Investment Company or an Affiliate.
  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.
  EFFECT    SEC Notice of Effectiveness.
  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.
   Fund / Series:  Fund or Series of this Filer with a Class or Contract that this Filing pertains to.
 
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