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| As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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7/7/15 Cboe BZX Exchange, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 Cboe BYX Exchange, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 Cboe EDGA Exchange, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 Cboe EDGX Exchange, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 NYSE Chicago, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 NYSE Chicago, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 NYSE Chicago, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 NYSE Chicago, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 NYSE Chicago, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 NYSE Chicago, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 NYSE Chicago, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 NYSE Chicago, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 NYSE Chicago, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 NYSE Chicago, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15 NYSE Chicago, Inc. 19B-4E 7/7/15 1:2K SEC #7
7/7/15‡ Cumberland Securities LLC X-17A-5 4/30/15 1:2K SEC #7
7/7/15‡ Cumberland Securities LLC FOCUSN 4/30/15 1:2K SEC #7
7/7/15 Chico’s Fas, Inc. ARS 1/31/15 1:2K SEC #7
7/7/15‡ Tobira Therapeutics, Inc. EFFECT 7/7/15 1:2K SEC #5
7/7/15‡ Elkhorn Unit Trust, Series 2 EFFECT 7/7/15 1:2K SEC #5
| ____________ | | ‡ | 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: -U | | 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. | | EFFECT | SEC Notice of Effectiveness. | | 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. |
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