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| As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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3/25/11 High Point Capital Group, Inc. X-17A-5/A 12/31/10 1:2K SEC #7
3/25/11 McMahan Securities Co. L.P. X-17A-5/A 12/31/10 1:2K SEC #7
3/25/11 Constellation Brands, Inc. NO ACT 3/21/11 1:2K SEC #7
3/25/11 JP Morgan AG/TA TA-2 12/31/10 1:3K JPMorgan Chase & Co.
3/25/11 Katalyst Securities LLC X-17A-5 12/31/10 1:2K SEC #7
3/25/11 Clarksons Platou Securities, Inc. X-17A-5/A 12/31/10 1:2K SEC #7
3/25/11 Needham & Co., LLC FOCUSN 12/31/10 1:2K SEC #7
3/25/11 Dimension Securities, LLC FOCUSN 12/31/10 1:2K SEC #7
3/25/11 O’Brien & Shepard, Inc. FOCUSN 12/31/10 1:2K SEC #7
3/25/11 Dimension Trading Group, LLC FOCUSN 12/31/10 1:2K SEC #7
3/25/11 United Brokerage Services, Inc. FOCUSN 12/31/10 1:2K SEC #7
3/25/11 Tucson Electric Power Co. ARS/A 12/31/10 1:2K SEC #7
Unisource Energy Corp.
3/25/11 Geary Securities, Inc. X-17A-5/A 12/31/10 1:2K SEC #7
3/25/11 Desjardins Securities Int’l Inc. X-17A-5/A 12/31/10 1:2K SEC #7
3/25/11 Pluris Capital Group, Inc. X-17A-5 12/31/10 1:2K SEC #7
3/25/11 Needham & Co., LLC X-17A-5 12/31/10 1:2K SEC #7
3/25/11 O’Brien & Shepard, Inc. X-17A-5 1/31/11 1:2K SEC #7
3/25/11 Premier Secs of America, Inc. X-17A-5 1/31/11 1:2K SEC #7
3/25/11 Dimension Trading Group, LLC X-17A-5 12/31/10 1:2K SEC #7
3/25/11 Averil Cap Markets Group, Inc. X-17A-5/A 12/31/10 1:2K SEC #7
| ____________ | | ¹ | Filing/Form Types: -K | | ARS | Annual Report to Security Holders. | | FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. | | NO ACT | SEC No-Action Letter re: a Shareholder Proposal. | | TA-2 | Annual Report of Activity by a Transfer Agent — Form TA-2. | | 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. |
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