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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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3/4/24 Rance King Securities Corp. X-17A-5 1/31/24 1:2K SEC #7
3/4/24 Harris Williams LLC FOCUSN 12/31/23 1:2K SEC #7
3/4/24 Abn Amro Clearing USA LLC FOCUSN 12/31/23 1:2K SEC #7
3/4/24‡ Cboe EDGX Exchange, Inc. 19B-4E 3/4/24 1:2K SEC #7
3/4/24‡ Cboe EDGA Exchange, Inc. 19B-4E 3/4/24 1:2K SEC #7
3/4/24‡ Cboe BZX Exchange, Inc. 19B-4E 3/4/24 1:2K SEC #7
3/4/24‡ Cboe BYX Exchange, Inc. 19B-4E 3/4/24 1:2K SEC #7
3/4/24 Innovation Partners LLC FOCUSN 12/31/23 1:2K SEC #7
3/4/24 Intellivest Securities, Inc. FOCUSN 12/31/23 1:2K SEC #7
3/4/24 Raptor Partners LLC FOCUSN 12/31/23 1:2K SEC #7
3/4/24 Abel Noser, LLC. X-17A-5 12/31/23 1:2K SEC #7
3/4/24 United Capital Markets, Inc. X-17A-5 12/31/23 1:2K SEC #7
3/4/24 Abel Noser, LLC. FOCUSN 12/31/23 1:2K SEC #7
3/4/24 Cyndx Advisors LLC FOCUSN 12/31/23 1:2K SEC #7
3/4/24 Simplex Trading, LLC FOCUSN 12/31/23 1:2K SEC #7
3/4/24 Kapitall Generation, LLC FOCUSN 12/31/23 1:2K SEC #7
3/4/24 J.C. Reed Investments, LLC FOCUSN 12/31/23 1:2K SEC #7
3/4/24 JCC Capital Markets, LLC FOCUSN 12/31/23 1:2K SEC #7
3/4/24 Alt Fund Distributors LLC FOCUSN 12/31/23 1:2K SEC #7
3/4/24 Lockebridge Partners, Inc. FOCUSN 12/31/23 1:2K SEC #7
____________ | ‡ | 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: -A | | 19B-4E | Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e). | | 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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