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| Click to view... | | | Registrant | | | About | | | Filings | | | Files | | | Relationships | | | Names | | | Topics | | | Web | | | |||||||||||
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| List All Filings | or | ||
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| Most-Recent Filing: | ‘MSD/A’ — Amendment to Application for Registration by a Municipal Securities Dealer — Form MSD — | ||
| New-Filing E-Mail: | |||
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| Latest Filing | Type | Category | Description | Documents | |||||
|---|---|---|---|---|---|---|---|---|---|
| 3/13/24 | MSD | Registration: | Applications for Registrations by Municipal Securities Dealers — Form MSD | 40 | |||||
| 1/12/16 | OLD | MA-W | Registration: | Notice of a Withdrawal from Registration by a Municipal Advisor — Form MA-W OLD | 1 | ||||
| 9/3/15 | OLD | MA-I | Registration: | Info re: Natural Persons Who Engage in Municipal Advisory Activity — Form MA-I OLD | 332 | ||||
| 7/28/15 | OLD | MA | Registration: | Applications for Registrations by Municipal Advisors — Form MA OLD | 5 | ||||
| 2/24/15 | OLD | MA-A | Registration: | Annual Update of Registration by a Municipal Advisor — Form MA OLD | 1 | ||||
| 4/21/10 | OLD | EFFECT | SEC: | SEC Notice of Effectiveness OLD | 1 | ||||
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| Year | # of Filings | |
|---|---|---|
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| 2024 | 3 | |
| 2023 | 8 | |
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| 2020 | 1 | |
| 2019 | 2 | |
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| 2017 | 2 | |
| 2016 | 5 | |
| 2015 | 202 | |
| 2014 | 148 | |
| 2013 | 4 | |
| 2012 | 3 | |
| 2011 | 4 | |
| 2010 | 4 |