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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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12/5/19 Cboe EDGA Exchange, Inc. 19B-4E 12/5/19 1:2K SEC #7
12/5/19 Cboe BZX Exchange, Inc. 19B-4E 12/5/19 1:2K SEC #7
12/5/19 Cboe BYX Exchange, Inc. 19B-4E 12/5/19 1:2K SEC #7
12/5/19 Cboe EDGX Exchange, Inc. 19B-4E 12/5/19 1:2K SEC #7
12/5/19 BD4RIA, Inc. X-17A-5 9/30/19 1:2K SEC #7
12/5/19 FHN Fin’l Capital Markets/G-FIN G-FIN/A 12/5/19 1:2K SEC #7
11/25/19 Invesco Investment Services Inc. TA-1/A 12/5/19 1:47K
12/5/19‡ Arch Therapeutics, Inc. EFFECT 12/5/19 1:2K SEC #5
12/5/19‡ Ducommun Inc./DE EFFECT 12/5/19 1:2K SEC #5
12/5/19‡ Dynatrace, Inc. EFFECT 12/5/19 1:2K SEC #5
12/5/19‡ FT 8416 EFFECT 12/5/19 1:2K SEC #5
12/5/19‡ Gcdi S.A./ADR EFFECT 12/5/19 1:2K SEC #5
12/5/19‡ Healthcare Trust, Inc. EFFECT 12/5/19 1:2K SEC #5
12/5/19‡ MGM Growth Props Operating Pa… LP EFFECT 12/5/19 1:4K SEC #5
MGP Finance Co-Issuer, Inc.
MGP Lessor Holdings, LLC
MGP Lessor, LLC
12/5/19‡ MyMD Pharmaceuticals, Inc. EFFECT 12/5/19 1:2K SEC #5
12/5/19‡ FT 8388 EFFECT 12/5/19 1:2K SEC #5
12/5/19‡ Phillips 66 Partners LP EFFECT 12/5/19 1:2K SEC #5
12/5/19‡ First Trinity Financial Corp. EFFECT 12/5/19 1:2K SEC #5
12/5/19‡ Frost Family of Funds 497K 12/5/19 1:262K FilePoint/FA
→ Frost Value Equity Fund
12/5/19‡ Frost Family of Funds 497K 12/5/19 1:282K FilePoint/FA
→ Frost Total Return Bond Fund
____________ | ‡ | 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: | | 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). | | 497K | Prospectus – Open-End Investment Company – Summary. | | EFFECT | SEC Notice of Effectiveness. | | G-FIN | Notice of Activity as a Government Securities Broker or Dealer by a Financial Institution — Form G-FIN. | | 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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