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| As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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8/26/09 Cboe BZX Exchange, Inc. 19B-4E 8/26/09 1:2K SEC #7
8/26/09 Ernst & Young Corp Fin (Cana… Inc FOCUSN 7/3/09 1:2K SEC #7
8/26/09 Ernst & Young Corp Fin (Cana… Inc X-17A-5 7/3/09 1:2K SEC #7
8/26/09 Atel Securities Corp. FOCUSN/A 7/31/08 1:2K SEC #7
8/26/09 Plante Moran Ins Agency Svcs, LLC FOCUSN 6/30/09 1:2K SEC #7
8/26/09 1st Global Capital Corp. FOCUSN 6/30/09 1:2K SEC #7
8/26/09 VSR Financial Services, Inc. FOCUSN 6/30/09 1:2K SEC #7
8/26/09 Commonfund Securities, Inc. FOCUSN 6/30/09 1:2K SEC #7
8/26/09 Westport Capital Markets, LLC FOCUSN 6/30/09 1:2K SEC #7
8/26/09 Fifth Street Capital, LLC X-17A-5 12/31/08 1:2K SEC #7
8/26/09 1964 Global, LLC X-17A-5 6/30/09 1:2K SEC #7
8/26/09 Conners & Co., Inc. X-17A-5 6/30/09 1:2K SEC #7
8/26/09 Clearview Trading Advisors, Inc. X-17A-5 6/30/09 1:2K SEC #7
8/26/09 Philadelphia Investors, Ltd. X-17A-5 6/30/09 1:2K SEC #7
8/26/09 Westport Capital Markets, LLC X-17A-5 6/30/09 1:2K SEC #7
8/26/09 Commonfund Securities, Inc. X-17A-5 6/30/09 1:2K SEC #7
8/26/09 VSR Financial Services, Inc. X-17A-5 6/30/09 1:2K SEC #7
8/26/09 Liberty Investment Counsel, Ltd. X-17A-5 6/30/09 1:2K SEC #7
8/26/09 1st Global Capital Corp. X-17A-5 6/30/09 1:2K SEC #7
8/26/09 Bruce A. Lefavi Securities, Inc. X-17A-5 6/30/09 1:2K SEC #7
| ____________ | | ¹ | Filing/Form Types: | | 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). | | FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. | | 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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