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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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2/28/13‡ First Derivative Traders, L.P. X-17A-5 12/31/12 1:2K SEC #7
2/28/13 Bellmark Partners LLC X-17A-5 12/31/12 1:2K SEC #7
2/28/13 Drivewealth Institutional LLC X-17A-5/A 12/31/12 1:2K SEC #7
2/28/13 Ra Capital Advisors LLC X-17A-5/A 12/31/12 1:2K SEC #7
2/28/13 Creatis Capital LLC X-17A-5 12/31/12 1:2K SEC #7
2/28/13 FMN Capital Corp. X-17A-5 12/31/12 1:2K SEC #7
2/28/13 Cboe BZX Exchange, Inc. 19B-4E 2/28/13 1:2K SEC #7
2/28/13‡ Hap Trading, LLC X-17A-5 12/31/12 1:2K SEC #7
2/28/13‡ Continuity Partners Group, LLC X-17A-5/A 12/31/12 1:2K SEC #7
2/28/13‡ Cambridge Inv Research, Inc. X-17A-5/A 12/31/12 1:2K SEC #7
2/28/13 Drivewealth Institutional LLC X-17A-5 12/31/12 1:2K SEC #7
2/28/13 Broadoak Partners, LLC FOCUSN 12/31/12 1:2K SEC #7
2/28/13 First Integrity Cap Partners Corp X-17A-5 12/31/12 1:2K SEC #7
2/28/13‡ Straus Capital, LLC X-17A-5 12/31/12 1:2K SEC #7
2/28/13‡ Securities Mgmt & Research, Inc. X-17A-5 12/31/12 1:2K SEC #7
2/28/13 Cedar Point Capital, LLC X-17A-5 12/31/12 1:2K SEC #7
2/28/13 Broadoak Partners, LLC X-17A-5 12/31/12 1:2K SEC #7
2/28/13 Ra Capital Advisors LLC X-17A-5 12/31/12 1:2K SEC #7
2/28/13 Rosenblatt Securities Inc. FOCUSN 12/31/12 1:2K SEC #7
2/28/13 Rosenblatt Securities Inc. X-17A-5 12/31/12 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). | | 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. | | F | This Filing was Deleted by the SEC, but not by SEC Info℠. See our Deletion Policy. |
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