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‡ | 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 |
| 40-17G | Fidelity Bond for an Investment Company. |
| 40-33 | Stockholder Derivative Action Against an Investment Company or an Affiliate. |
| 40-203A | Exemption from the Prohibition on Registration as an Investment Advisor. |
| ADV-E | Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Advisor — Form ADV-E. |
| CERTAMX | Certification by the American Stock Exchange Approving a Listing — Form CERT. |
| REGDEX | Notice of an Exempt Offering of Securities — Form D. |
| SB-2 | Registration Statement by a Small-Business Issuer — Form SB-2. |
| SUPPL | Supplemental Material by a Foreign Issuer. |
| 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. |