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¹ | Filing/Form Types: -D |
| 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). |
| 24F-2NT | Annual Notice of Securities Sold by an Investment Company — Form 24F-2. |
| ADV-NR | Appointment of a U.S. Agent for Service of Process by a Non-Resident General Partner or Managing Agent of an Investment Advisor — Form ADV-NR. |
| CERTNYS | Certification by the NYSE Approving a Listing — Form CERT. |
| 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. |
→ | Fund / Series: Fund or Series of this Filer with a Class or Contract that this Filing pertains to. |