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| As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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11/30/05 BSTFC Management LLC REGDEX 11/30/05 1:2K SEC #7
11/30/05 D.A. Davidson & Co. X-17A-5 9/30/05 1:2K SEC #7
11/30/05 D.A. Davidson & Co. FOCUSN 9/30/05 1:2K SEC #7
11/30/05 Westbrook Real Estate Fund VI LP REGDEX/A 11/30/05 1:2K SEC #7
11/30/05 Steeple Capital Fund II LP REGDEX/A 11/30/05 1:2K SEC #7
11/30/05‡ Equibond, Inc. X-17A-5 9/30/05 1:2K SEC #7
11/30/05‡ Highland Financial, Ltd. X-17A-5 9/30/05 1:2K SEC #7
11/30/05‡ First Liberty Securities Inc./BD X-17A-5 9/30/05 1:2K SEC #7
11/30/05‡ Brittingham, Inc. X-17A-5 9/30/05 1:2K SEC #7
11/30/05‡ Arlington Securities, Inc. X-17A-5 10/31/05 1:2K SEC #7
11/30/05‡ First Command Brokerage Svcs, Inc X-17A-5 9/30/05 1:2K SEC #7
11/30/05‡ Battenkill Capital, Inc. X-17A-5 9/30/05 1:2K SEC #7
11/30/05 Anderson & Strudwick, Inc. FOCUSN 9/30/05 1:2K SEC #7
11/30/05 Anderson & Strudwick, Inc. X-17A-5 9/30/05 1:2K SEC #7
11/30/05 Kepley & Co., Inc. X-17A-5 9/30/05 1:2K SEC #7
11/30/05 Ingalls & Snyder, LLC X-17A-5 9/30/05 1:2K SEC #7
11/30/05 Morrison Investments, Inc. X-17A-5 9/30/05 1:2K SEC #7
11/30/05 Int’l Business Machines Corp. NO ACT 11/4/05 1:2K SEC #7
11/30/05 Nordic Telephone Co. ApS NO ACT 11/29/05 1:2K SEC #7
11/30/05 Stocking Inv Advisors, Inc. X-17A-5 9/30/05 1:2K SEC #7
| ____________ | | ‡ | 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: -D | | FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. | | NO ACT | SEC No-Action Letter re: a Shareholder Proposal. | | REGDEX | Notice of an Exempt Offering of Securities — Form D. | | 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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