|
---|
As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
---|
|
---|
12/21/16 Torq Capital Management (HK) Ltd. ADV-NR 12/21/16 1:2K SEC #7
12/21/16 Entoro Securities, LLC X-17A-5 9/30/16 1:2K SEC #7
12/21/16 Cboe BYX Exchange, Inc. 19B-4E 12/21/16 1:2K SEC #7
12/21/16 Cboe BZX Exchange, Inc. 19B-4E 12/21/16 1:2K SEC #7
12/21/16 Cboe EDGA Exchange, Inc. 19B-4E 12/21/16 1:2K SEC #7
12/21/16 Cboe EDGX Exchange, Inc. 19B-4E 12/21/16 1:2K SEC #7
12/21/16 NASDAQ Stock Market LLC 19B-4E 12/21/16 1:2K SEC #7
12/21/16 Calton & Associates, Inc. X-17A-5/A 9/30/16 1:2K SEC #7
12/21/16‡ Audioeye Inc. EFFECT 12/21/16 1:2K SEC #5
12/21/16‡ Blackrock Floating Rate Inco… Inc EFFECT 12/21/16 1:2K SEC #5
12/21/16‡ CASI Pharmaceuticals, Inc. (DE) EFFECT 12/21/16 1:2K SEC #5
12/21/16‡ Delta Apparel, Inc. EFFECT 12/21/16 1:2K SEC #5
12/21/16‡ Independent Bank Group, Inc. EFFECT 12/21/16 1:2K SEC #5
12/21/16‡ Par Pacific Holdings, Inc. EFFECT 12/21/16 1:2K SEC #5
12/21/16‡ Republic of Korea EFFECT 12/21/16 1:2K SEC #5
12/21/16‡ First Tr Sr Floating Rate 202… Fd EFFECT 12/21/16 1:2K SEC #5
12/21/16‡ Guggenheim Enhanced Equity In… Fd EFFECT 12/21/16 1:3K SEC #5
12/21/16‡ Heyu Leisure Holidays Corp. EFFECT 12/21/16 1:2K SEC #5
12/21/16‡ First Tr Sr Floating Rate 202… Fd N-2MEF 12/21/16 5:44K Fitzgerald Marke… LLC/FA
12/21/16‡ Byrna Technologies Inc. D/A 12/21/16 1:8K Hinckley Allen & Sn… LLP
____________ | ‡ | 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: /A | | 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). | | ADV-NR | Appointment of a U.S. Agent for Service of Process by a Non-Resident General Partner or Managing Agent of an Investment Advisor — Form ADV-NR. | | D | Notice of an Exempt Offering of Securities — Form D. | | EFFECT | SEC Notice of Effectiveness. | | N-2MEF | Registration Statement to Add Securities to a Prior Form N-2 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. |
|