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¹ | Filing/Form Types: -U |
| 40-33 | Stockholder Derivative Action Against an Investment Company or an Affiliate. |
| FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. |
| REGDEX | Notice of an Exempt Offering of Securities — Form D. |
| REVOKED | SEC Order Revoking a Registration. |
| X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. |
| F | This Filing was Deleted by the SEC, but not by SEC Info℠. See our Deletion Policy. |