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| As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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3/22/22 Lincoln International LLC X-17A-5 12/31/21 1:2K SEC #7
3/22/22 Ba Securities, LLC X-17A-5 12/31/21 1:2K SEC #7
3/22/22 Ba Securities, LLC FOCUSN 12/31/21 1:2K SEC #7
3/22/22 Cutter & Co. Brokerage, Inc. X-17A-5 12/31/21 1:2K SEC #7
3/22/22 Investment Bank Services, Inc. X-17A-5 12/31/21 1:2K SEC #7
3/22/22 Cboe EDGX Exchange, Inc. 19B-4E 3/22/22 1:2K SEC #7
3/22/22 Cboe EDGA Exchange, Inc. 19B-4E 3/22/22 1:2K SEC #7
3/22/22 Cboe BZX Exchange, Inc. 19B-4E 3/22/22 1:2K SEC #7
3/22/22 Cboe BYX Exchange, Inc. 19B-4E 3/22/22 1:2K SEC #7
3/22/22‡ Genasys Inc. EFFECT 3/22/22 1:2K SEC #5
3/22/22‡ FT 9977 EFFECT 3/22/22 1:2K SEC #5
3/22/22‡ FT 9949 EFFECT 3/22/22 1:2K SEC #5
3/22/22‡ Blackrock Ltd. Duration Income Tr EFFECT 3/22/22 1:2K SEC #5
3/22/22‡ Rockley Photonics Holdings Ltd. EFFECT 3/22/22 1:2K SEC #5
3/22/22‡ DocGo Inc. EFFECT 3/22/22 1:2K SEC #5
3/22/22‡ Rockley Photonics Holdings Ltd. EFFECT 3/22/22 1:2K SEC #5
3/22/22‡ Rockley Photonics Holdings Ltd. EFFECT 3/22/22 1:2K SEC #5
3/22/22‡ Rockley Photonics Holdings Ltd. EFFECT 3/22/22 1:2K SEC #5
3/22/22‡ Perella Weinberg Partners EFFECT 3/22/22 1:2K SEC #5
3/22/22‡ Reviva Pharmas Holdings, Inc. EFFECT 3/22/22 1:2K SEC #5
| ____________ | | ‡ | 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: -K | | 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). | | EFFECT | SEC Notice of Effectiveness. | | FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. | | X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. |
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