As Of	Filer	Filing¹	For·On·As	Docs:Size	Issuer		Filing Agent

11/20/19  Peters & Co. Equities Inc.        FOCUSN      9/30/19    1:2K                                     SEC #7                   
11/20/19  Foreside Investment Services, LLC FOCUSN      9/30/19    1:2K                                     SEC #7                   
11/20/19  Pension Dynamics Securities Corp. X-17A-5     9/30/19    1:2K                                     SEC #7                   
11/20/19  Dubeau Capital USA, Inc.          X-17A-5     9/30/19    1:2K                                     SEC #7                   
11/20/19‡ Canaan Inc./ADR                   EFFECT     11/20/19    1:2K                                     SEC #5                   
11/20/19‡ Karuna Therapeutics, Inc.         EFFECT     11/20/19    1:2K                                     SEC #5                   
11/20/19‡ Canaan Inc.                       EFFECT     11/20/19    1:2K                                     SEC #5                   
11/20/19‡ China Natural Resources Inc.      EFFECT     11/20/19    1:2K                                     SEC #5                   
11/20/19‡ Diamond S Shipping Inc.           EFFECT     11/20/19    1:2K                                     SEC #5                   
11/20/19‡ Gaotu Techedu Inc.                EFFECT     11/20/19    1:2K                                     SEC #5                   
11/20/19‡ SiTime Corp.                      EFFECT     11/20/19    1:2K                                     SEC #5                   
11/20/19‡ Streamline Health Solutions Inc.  EFFECT     11/20/19    1:2K                                     SEC #5                   
11/20/19‡ Kintara Therapeutics, Inc.        EFFECT     11/20/19    1:2K                                     SEC #5                   
11/20/19‡ Kintara Therapeutics, Inc.        EFFECT     11/20/19    1:2K                                     SEC #5                   
11/20/19‡ Vertalo, Inc./TA                  EFFECT     11/20/19    1:2K                                     SEC #5                   
11/20/19‡ Luma Securities LLC               X-17A-5     9/30/19    2:576K                                                            
11/20/19  1224 2nd Avenue OZ Fund LLC       D          11/20/19    1:6K                                                              
11/20/19  Northern Lights Fund Trust IV     497        11/20/19   11:526K                                   Blu Giant, LLC/FA        
          → Moerus Worldwide Value Fund
11/20/19  Gannett Media Corp.               S-8 POS    11/20/19    1:22K                                    Broadridge Fin’l So… Inc 
11/20/19  Gannett Media Corp.               S-8 POS    11/20/19    1:22K                                    Broadridge Fin’l So… Inc 

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‡	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:
	497	Definitive Material.
	D	Notice of an Exempt Offering of Securities — Form D.
	EFFECT	SEC Notice of Effectiveness.
	FOCUSN	Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer.
	S-8 POS	Post-Effective Amendment of a Form S-8 Registration.
	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.