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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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1/23/23 Doeren Mayhew Capital Advs, LLC X-17A-5 9/30/22 1:2K SEC #7
1/23/23 Quincy Cass Associates, Inc. X-17A-5 11/30/22 1:2K SEC #7
1/23/23 Doeren Mayhew Capital Advs, LLC X-17A-5 9/30/19 1:2K SEC #7
1/13/23 Computershare Inc./TA TA-1/A 1/23/23 1:26K
1/23/23‡ Doeren Mayhew Capital Advs, LLC X-17A-5 9/30/18 1:2K SEC #7
1/23/23‡ Top Ships Inc. EFFECT 1/23/23 1:2K SEC #5
1/23/23‡ Masterworks 212, LLC QUALIF 1/23/23 1:2K SEC #4
1/23/23‡ Morgan Stanley ETF Trust EFFECT 1/23/23 1:5K SEC #5
→ Calvert International Responsible Index ETF
→ Calvert Ultra-Short Investment Grade ETF
→ Calvert US Large-Cap Core Responsible Index ETF
→ Calvert US Large-Cap Diversity, Equity & Inclusion Index ETF
→ Calvert US Mid-Cap Core Responsible Index ETF
→ Calvert US Select Equity ETF
1/23/23‡ Masterworks 203, LLC QUALIF 1/23/23 1:2K SEC #4
1/23/23‡ Masterworks 188, LLC QUALIF 1/23/23 1:2K SEC #4
1/23/23‡ Forward Pharma A/S EFFECT 1/23/23 1:2K SEC #5
1/23/23‡ Old Ayala, Inc. EFFECT 1/23/23 1:2K SEC #5
1/23/23‡ Masterworks 199, LLC QUALIF 1/23/23 1:2K SEC #4
1/23/23‡ Aveo Pharmaceuticals, Inc. EFFECT 1/23/23 1:2K SEC #5
1/23/23‡ Hudson Technologies Inc./NY EFFECT 1/23/23 1:2K SEC #5
1/23/23‡ Proterra Inc. EFFECT 1/23/23 1:2K SEC #5
1/23/23‡ Red Oak Cap Intermediate Inc… LLC QUALIF 1/23/23 1:2K SEC #4
1/23/23‡ LogicMark, Inc. EFFECT 1/23/23 1:2K SEC #5
1/23/23‡ Aveo Pharmaceuticals, Inc. EFFECT 1/23/23 1:2K SEC #5
1/23/23‡ SatixFy Communications Ltd. EFFECT 1/23/23 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 | | EFFECT | SEC Notice of Effectiveness. | | QUALIF | SEC Notice of Qualification. | | 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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