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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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4/19/23 Steward Partners Inv Solutio… LLC FOCUSN 12/31/22 1:2K SEC #7
4/19/23 Collage Venture Partners, LLC X-17A-5 12/31/22 1:2K SEC #7
4/19/23 Echelon Capital X-17A-5 12/31/22 1:2K SEC #7
4/19/23 THIRD500, LLC X-17A-5 12/31/19 1:2K SEC #7
4/19/23 Cboe EDGX Exchange, Inc. 19B-4E 4/19/23 1:2K SEC #7
4/19/23 Cboe EDGA Exchange, Inc. 19B-4E 4/19/23 1:2K SEC #7
4/19/23 Cboe BYX Exchange, Inc. 19B-4E 4/19/23 1:2K SEC #7
4/19/23 Cboe BZX Exchange, Inc. 19B-4E 4/19/23 1:2K SEC #7
4/19/23 Cboe EDGX Exchange, Inc. 19B-4E 4/19/23 1:2K SEC #7
4/19/23 Cboe EDGA Exchange, Inc. 19B-4E 4/19/23 1:2K SEC #7
4/19/23 Cboe BYX Exchange, Inc. 19B-4E 4/19/23 1:2K SEC #7
4/19/23 Cboe BZX Exchange, Inc. 19B-4E 4/19/23 1:2K SEC #7
4/19/23‡ Bridger Aerospace Gp Holdings Inc EFFECT 4/19/23 1:2K SEC #5
4/19/23‡ Masterworks 267, LLC QUALIF 4/19/23 1:2K SEC #4
4/19/23‡ Team Inc. EFFECT 4/19/23 1:2K SEC #5
4/19/23‡ Verra Mobility Corp. EFFECT 4/19/23 1:2K SEC #5
4/19/23‡ Biolargo, Inc. EFFECT 4/19/23 1:2K SEC #5
4/19/23‡ U.S. GoldMining Inc. EFFECT 4/19/23 1:2K SEC #5
4/19/23‡ Prosper Marketplace, Inc. EFFECT 4/19/23 1:3K SEC #5
Prosper Funding LLC
4/19/23‡ Nxu, Inc. EFFECT 4/19/23 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: | | 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). | | EFFECT | SEC Notice of Effectiveness. | | FOCUSN | Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer. | | QUALIF | SEC Notice of Qualification. | | X-17A-5 | Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5. |
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