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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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2/5/07 Get Interactive Inc. REGDEX 2/5/07 1:2K SEC #7
2/5/07‡ Northgate Capital, LLC ADV-E 2/5/07 1:2K SEC #7
2/5/07‡ Northgate Capital, L.P. ADV-E 2/5/07 1:2K SEC #7
2/5/07 Checkfree Securities, LLC X-17A-5 12/31/06 1:2K SEC #7
2/5/07 First Winston Securities, Inc. X-17A-5 12/31/06 1:2K SEC #7
2/5/07 Newmont USA Ltd. NO ACT 12/18/06 1:2K SEC #7
2/5/07 W.G. Nielsen & Co. X-17A-5 12/31/06 1:2K SEC #7
2/5/07 Salman Partners (USA) Inc. X-17A-5 10/31/06 1:2K SEC #7
2/5/07 Haberman Bros. X-17A-5 12/31/06 1:2K SEC #7
2/5/07‡ JHW Financial Services Inc. X-17A-5 12/31/06 1:2K SEC #7
2/5/07 Monte Alban Partners LP REGDEX 2/5/07 1:2K SEC #7
2/5/07 Citigroup Inc. NO ACT 12/21/06 1:2K SEC #7
2/5/07 Medical Information Tech, Inc. NO ACT 12/21/06 1:2K SEC #7
2/5/07 Abbott Laboratories NO ACT 12/19/06 1:2K SEC #7
2/5/07 Entergy Corp. NO ACT 1/5/07 1:1K SEC #7
2/5/07 Home Depot, Inc. NO ACT 1/4/07 1:2K SEC #7
2/5/07 DPL Inc. NO ACT 12/19/06 1:2K SEC #7
2/5/07 Home Depot, Inc. NO ACT 12/19/06 1:2K SEC #7
2/5/07 Dorsey & Co., Inc. X-17A-5/A 6/30/06 1:2K SEC #7
2/5/07 Berman Capital, LLC X-17A-5 12/31/06 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: | | ADV-E | Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Advisor — Form ADV-E. | | 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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