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Effective Tuesday, 11/21/17
21
NOV


        

544  Filings
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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


        
11/21/17  Cboe EDGX Exchange, Inc.          19B-4E     11/21/17    1:2K                                     SEC #7                   
11/21/17  Cboe EDGA Exchange, Inc.          19B-4E     11/21/17    1:2K                                     SEC #7                   
11/21/17  Cboe BYX Exchange, Inc.           19B-4E     11/21/17    1:2K                                     SEC #7                   
11/21/17  Cboe BZX Exchange, Inc.           19B-4E     11/21/17    1:2K                                     SEC #7                   
11/21/17  Franklin/Templeton Distribut… Inc FOCUSN      9/30/17    1:2K                                     SEC #7                   
11/21/17  Franklin/Templeton Distribut… Inc X-17A-5     9/30/17    1:2K                                     SEC #7                   
11/21/17  Templeton/Franklin Inv Svcs, Inc. FOCUSN      9/30/17    1:2K                                     SEC #7                   
11/21/17  Templeton/Franklin Inv Svcs, Inc. X-17A-5     9/30/17    1:2K                                     SEC #7                   
11/21/17  Franklin Templeton Fin’l Sv… Corp FOCUSN      9/30/17    1:2K                                     SEC #7                   
11/21/17  Franklin Templeton Fin’l Sv… Corp X-17A-5     9/30/17    1:2K                                     SEC #7                   
11/21/17  Maiora Asset Management PTE. Ltd. ADV-NR     11/21/17    1:2K                                     SEC #7                   
11/21/17  Peters & Co. Equities Inc.        FOCUSN      9/30/17    1:2K                                     SEC #7                   
11/21/17  Peters & Co. Equities Inc.        X-17A-5     9/30/17    1:2K                                     SEC #7                   
11/21/17  Carl M. Hennig, Inc.              FOCUSN      9/30/17    1:2K                                     SEC #7                   
11/21/17  Carl M. Hennig, Inc.              X-17A-5     9/30/17    1:2K                                     SEC #7                   
11/21/17  De Paola Trading, Inc.            FOCUSN      9/30/17    1:2K                                     SEC #7                   
11/21/17  De Paola Trading, Inc.            X-17A-5     9/30/17    1:2K                                     SEC #7                   
11/21/17  Monument Group, Inc.              X-17A-5     9/30/17    1:2K                                     SEC #7                   
11/21/17  Goldman Sachs ETF Trust           24F-2NT     8/31/17    1:44K                                    Donnelley … Solutions/FA Goldman Sachs Access Investment Grade Corporate Bond ETFGoldman Sachs Access Treasury 0-1 Year ETFGoldman Sachs ActiveBeta® Emerging Markets Equity ETFGoldman Sachs ActiveBeta® Europe Equity ETFGoldman Sachs ActiveBeta® International Equity ETFGoldman Sachs ActiveBeta® Japan Equity ETFGoldman Sachs ActiveBeta® U.S. Large Cap Equity ETFGoldman Sachs ActiveBeta® U.S. Small Cap Equity ETFGoldman Sachs Hedge Industry VIP ETF
11/21/17  WPP plc                           CERTNYS    11/21/17    1:2K                                     SEC #7                   
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 ¹  Filing/Form Types: 
Type emoji
-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.
 
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