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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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3/11/24 Cboe EDGX Exchange, Inc. 19B-4E 3/11/24 1:2K SEC #7
3/11/24 Cboe EDGA Exchange, Inc. 19B-4E 3/11/24 1:2K SEC #7
3/11/24 Cboe BZX Exchange, Inc. 19B-4E 3/11/24 1:2K SEC #7
3/11/24 Cboe BYX Exchange, Inc. 19B-4E 3/11/24 1:2K SEC #7
3/1/24 ESHARES Inc. DBA Carta Inc. TA-1/A 3/11/24 1:6K
3/11/24‡ Harpoon Therapeutics, Inc. EFFECT 3/11/24 1:2K SEC #5
3/11/24‡ Harpoon Therapeutics, Inc. EFFECT 3/11/24 1:2K SEC #5
3/11/24‡ HCI Group, Inc. EFFECT 3/11/24 1:2K SEC #5
3/11/24‡ CorEnergy Infrastructure Tr, Inc. EFFECT 3/11/24 1:2K SEC #5
3/11/24‡ CorEnergy Infrastructure Tr, Inc. EFFECT 3/11/24 1:2K SEC #5
3/11/24‡ CorEnergy Infrastructure Tr, Inc. EFFECT 3/11/24 1:2K SEC #5
3/11/24‡ CorEnergy Infrastructure Tr, Inc. EFFECT 3/11/24 1:2K SEC #5
3/11/24‡ Harpoon Therapeutics, Inc. EFFECT 3/11/24 1:2K SEC #5
3/11/24‡ CorEnergy Infrastructure Tr, Inc. EFFECT 3/11/24 1:2K SEC #5
3/11/24‡ Vast Renewables Ltd. EFFECT 3/11/24 1:2K SEC #5
3/11/24‡ Bynd Cannasoft Enterprises Inc. EFFECT 3/11/24 1:2K SEC #5
3/11/24‡ Verb Technology Co., Inc. QUALIF 3/11/24 1:2K SEC #4
3/11/24‡ Guggenheim Defined Ports Se… 2390 EFFECT 3/11/24 1:2K SEC #5
3/11/24‡ Masterworks Vault 4, LLC QUALIF 3/11/24 1:2K SEC #4
3/11/24‡ Gladowsky Capital Mgmt Corp. X-17A-5 12/31/23 2:620K
____________ | ‡ | 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). | | 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. |
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