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Effective Thursday, 12/17/15
17
DEC


        

565  Filings
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 ·  Click on a Filing/Form Type¹
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to view it
 ·  List the Documents
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& Exhibits
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within them


        
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  As Of               Filer                 Filing¹   For·On·As Docs:Size             Issuer                      Filing Agent      
Currently in descending order - Sort in ascending orderSort in ascending orderSort in ascending orderSort in descending orderSort in ascending orderSort in ascending order


        
12/17/15  Air Products & Chemicals, Inc.    ARS         9/30/15    1:2K                                     SEC #7                   
12/17/15  Hormel Foods Corp./DE             ARS        10/25/15    1:2K                                     SEC #7                   
12/17/15  Pismo Coast Village Inc.          ARS         9/30/15    1:2K                                     SEC #7                   
 12/7/15  SunTrust Bank, Muni Secs Division MSD/A      12/17/15    1:2K                                     SEC #7                   
12/17/15  NYSE Chicago, Inc.                19B-4E     12/17/15    1:2K                                     SEC #7                   
12/17/15  NYSE Chicago, Inc.                19B-4E     12/17/15    1:2K                                     SEC #7                   
12/17/15  iKang Healthcare Group, Inc.      CERTNAS    12/17/15    1:2K                                     SEC #7                   
12/17/15  Smartfinancial Inc.               CERTNAS    12/17/15    1:2K                                     SEC #7                   
12/17/15  Trinity Place Holdings Inc.       CERTNYS    12/17/15    1:2K                                     SEC #7                   
12/17/15  Naked Brand Group Inc.            CERTNAS    12/17/15    1:2K                                     SEC #7                   
12/17/15  Bullish Bob Bagley Secs, Inc.     X-17A-5     9/30/15    1:2K                                     SEC #7                   
12/17/15  Samuel A. Ramirez & Co., Inc.     X-17A-5     9/30/15    1:2K                                     SEC #7                   
12/17/15  Samuel A. Ramirez & Co., Inc.     FOCUSN      9/30/15    1:2K                                     SEC #7                   
12/17/15 FT 5788                           EFFECT     12/17/15    1:2K                                     SEC #5                   
12/17/15FT 5789                           EFFECT     12/17/15    1:2K                                     SEC #5                   
12/17/15GS Mortgage Securities Corp. II   EFFECT     12/17/15    1:2K                                     SEC #5                   
12/17/15Nanosphere Inc.                   EFFECT     12/17/15    1:2K                                     SEC #5                   
12/17/15Yiren Digital Ltd.                EFFECT     12/17/15    1:2K                                     SEC #5                   
12/17/15Dorian LPG Ltd.                   EFFECT     12/17/15    1:2K                                     SEC #5                   
12/17/15Titan Pharmaceuticals Inc.        EFFECT     12/17/15    1:2K                                     SEC #5                   
____________
 ‡  A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm
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ET
.  The legal “Filed As Of” date may be the next, or another, day.
 ¹  Filing/Form Types: 
Type emoji
-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.
  CERTNAS    Certification by the Nasdaq Stock Market Approving a Listing — Form CERT.
  CERTNYS    Certification by the NYSE Approving a Listing — Form CERT.
  EFFECT    SEC Notice of Effectiveness.
  FOCUSN    Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer.
  MSD    Application for Registration by a Municipal Securities Dealer — Form MSD.
  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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