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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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5/17/16 RDM Investment Services, LLC FOCUSN 12/31/15 1:2K SEC #7
5/17/16 Shasta Partners, LLC X-17A-5 3/31/16 1:2K SEC #7
5/17/16 Carr Riggs & Ingram Cap Advs LLC X-17A-5 12/31/15 1:2K SEC #7
5/17/16‡ Veritiv Corp. EFFECT 5/17/16 1:2K SEC #5
5/17/16 NYSE Chicago, Inc. 19B-4E 5/17/16 1:2K SEC #7
5/17/16 NYSE Chicago, Inc. 19B-4E 5/17/16 1:2K SEC #7
5/17/16 NYSE Chicago, Inc. 19B-4E 5/17/16 1:2K SEC #7
5/17/16 NYSE Chicago, Inc. 19B-4E 5/17/16 1:2K SEC #7
5/17/16 NYSE Chicago, Inc. 19B-4E 5/17/16 1:2K SEC #7
5/17/16 NYSE Chicago, Inc. 19B-4E 5/17/16 1:2K SEC #7
5/17/16 NYSE Chicago, Inc. 19B-4E 5/17/16 1:2K SEC #7
5/17/16 NYSE Chicago, Inc. 19B-4E 5/17/16 1:2K SEC #7
5/17/16 NYSE Chicago, Inc. 19B-4E 5/17/16 1:2K SEC #7
5/17/16 Citibank, N.A./ADR F-6 POS 5/17/16 2:405K Rediff Com India Ltd. E-Data Systems, Inc./FA
5/17/16 Four G Holdings Corp. D 5/17/16 1:7K Ellenoff Grossman &… LLP
5/17/16‡ BNC Bancorp EFFECT 5/17/16 1:2K SEC #5
5/17/16‡ Nuveen Unit Inv Trust, Series 134 EFFECT 5/17/16 1:2K SEC #5
5/17/16‡ Phaserx, Inc. EFFECT 5/17/16 1:2K SEC #5
5/17/16‡ Tallgrass Energy Partners, LP EFFECT 5/17/16 1:2K SEC #5
5/17/16‡ Dominion Energy Midstream Par… LP EFFECT 5/17/16 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: -K | | 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). | | D | Notice of an Exempt Offering of Securities — Form D. | | EFFECT | SEC Notice of Effectiveness. | | F-6 POS | Post-Effective Amendment of an ‘F-6EF’ Registration — Form F-6. | | 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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