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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: |
| 1-E | Notice of an Exempt Offering of Securities by a Small Business Investment or Business Development Company (SBIC or BDC) — Form 1-E. |
| 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). |
| 40-17G | Fidelity Bond for an Investment Company. |
| 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. |
| G-FIN | Notice of Activity as a Government Securities Broker or Dealer by a Financial Institution — Form G-FIN. |
| REGDEX | Notice of an Exempt Offering of Securities — Form D. |
| SUPPL | Supplemental Material by a Foreign Issuer. |
| TA-1 | Application for Registration by a Transfer Agent — Form TA-1. |
| /A | Amendment to, or Amended version of, a previous Filing of this Type. |