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Click to view... | Registrant | About | Filings | Files | Relationships | Names | Topics | Web | ||||||||||||||||||||||||||||||
List All Filings | or | ||
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Most-Recent Filing: | ‘X-17A-5’ — Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5 — for 12/31/23 — | ||
New-Filing E-Mail: |
Latest Filing | Type | Category | Description | Documents | ||||||||
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2/27/24 | X-17A-5 | Update: | Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers — Form X-17A-5 | 23 | ||||||||
12/7/21 | OLD | 40-APP | Registration: | Applications for Exemption Orders and Other Relief by Investment Companies OLD | 2 | |||||||
Broker-Dealer Reports: | ||||||||||||
2/27/24 | FULL | Annual Financial Reports (Full) | 8 | |||||||||
Graphics: | ||||||||||||
12/7/21 | OLD | GRAPHIC | Photos, Images and Graphs OLD | 2 |
Year | # of Filings | |
---|---|---|
2024 | 1 | |
2023 | 1 | |
2022 | 1 | |
2021 | 3 | |
2020 | 1 | |
2019 | 1 | |
2018 | 1 | |
2017 | 1 | |
2016 | 1 | |
2015 | 1 | |
2014 | 1 | |
2013 | 1 | |
2012 | 1 | |
2011 | 1 | |
2010 | 1 | |
2009 | 1 | |
2008 | 1 | |
2007 | 1 | |
2006 | 1 | |
2005 | 1 | |
2004 | 1 | |
2003 | 1 | |
2002 | 1 |