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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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10/28/09 Nasdaq Ise, LLC 19B-4E 10/28/09 1:2K SEC #7
10/28/09 Nasdaq Ise, LLC 19B-4E 10/28/09 1:2K SEC #7
10/28/09 Nasdaq Ise, LLC 19B-4E 10/28/09 1:2K SEC #7
10/28/09 Nasdaq Ise, LLC 19B-4E 10/28/09 1:2K SEC #7
10/28/09 Nasdaq Ise, LLC 19B-4E 10/28/09 1:2K SEC #7
10/28/09 Nasdaq Ise, LLC 19B-4E 10/28/09 1:2K SEC #7
10/28/09 Nasdaq Ise, LLC 19B-4E 10/28/09 1:2K SEC #7
10/28/09 NYSE Arca, Inc. 19B-4E 10/28/09 1:2K SEC #7
10/28/09 NYSE Arca, Inc. 19B-4E 10/28/09 1:2K SEC #7
10/28/09 NYSE Arca, Inc. 19B-4E 10/28/09 1:2K SEC #7
10/28/09 NYSE Arca, Inc. 19B-4E 10/28/09 1:2K SEC #7
10/28/09 NYSE Arca, Inc. 19B-4E 10/28/09 1:2K SEC #7
10/28/09 NYSE Arca, Inc. 19B-4E 10/28/09 1:2K SEC #7
10/28/09 Feldstein Financial Group, LLC X-17A-5/A 12/31/08 1:2K SEC #7
10/28/09‡ Ook Inc. CERTPAC 10/28/09 1:2K SEC #7
10/28/09 Pioneer Portfolio Corp. X-17A-5/A 6/30/09 1:2K SEC #7
10/28/09 Goodwin Securities, Inc. X-17A-5 8/31/09 1:2K SEC #7
10/28/09 Gary Goldberg & Co., Inc. X-17A-5 7/31/09 1:2K SEC #7
10/28/09 Northern Abitibi Mining Corp. SUPPL 10/28/09 1:2K SEC #7
10/28/09 Winston Advisors, LLC X-17A-5 8/31/09 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: | | 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). | | CERTPAC | Certification by the Pacific Coast Stock Exchange Approving a Listing — Form CERT. | | SUPPL | Supplemental Material by a Foreign Issuer. | | 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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