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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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9/14/15 Applied Industrial Techs Inc. ARS 6/30/15 1:2K SEC #7
9/14/15 First Empire Securities, Inc. MA-I 10/1/15 1:10K
9/14/15 First Empire Securities, Inc. MA-I 10/1/15 1:10K
9/14/15 Cboe BZX Exchange, Inc. 19B-4E 9/14/15 1:2K SEC #7
9/14/15 Cboe BYX Exchange, Inc. 19B-4E 9/14/15 1:2K SEC #7
9/14/15 Cboe EDGA Exchange, Inc. 19B-4E 9/14/15 1:2K SEC #7
9/14/15 Cboe EDGX Exchange, Inc. 19B-4E 9/14/15 1:2K SEC #7
9/14/15 Cboe BZX Exchange, Inc. 19B-4E 9/14/15 1:2K SEC #7
9/14/15 Cboe BYX Exchange, Inc. 19B-4E 9/14/15 1:2K SEC #7
9/14/15 Cboe EDGX Exchange, Inc. 19B-4E 9/14/15 1:2K SEC #7
9/14/15 Cboe EDGA Exchange, Inc. 19B-4E 9/14/15 1:2K SEC #7
9/14/15 NYSE Chicago, Inc. 19B-4E 9/14/15 1:2K SEC #7
9/14/15 NYSE Chicago, Inc. 19B-4E 9/14/15 1:2K SEC #7
9/14/15‡ Oppenheimer & Co. Inc. MA-I 9/22/15 1:10K
9/14/15 Inte Securities LLC FOCUSN 6/30/15 1:2K SEC #7
9/14/15 Coinbase Capital Markets Corp. X-17A-5 6/30/15 1:2K SEC #7
9/14/15 Security Research Assocs, Inc. X-17A-5 6/30/15 1:2K SEC #7
9/14/15 Locust Walk Securities, LLC X-17A-5/A 6/30/15 1:2K SEC #7
9/14/15‡ Citycode Financial LLC MA/A 9/15/15 1:10K
9/14/15 Citycode Financial LLC MA-I/A 9/15/15 1:9K
____________ | ‡ | 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: | | 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). | | ARS | Annual Report to Security Holders. | | FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. | | MA | Application for Registration by a Municipal Advisor — Form MA. | | MA-I | Info re: a Natural Person Who Engages in Municipal Advisory Activity — Form MA-I. | | 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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