| Title |
Last Updated |
| Form 144 Notice Of Proposed Sale Of Securities Pursuant To Rule 144 (SEC1147) |
May 26, 2017 |
| Form 5 Annual Statement Of Changes In Benificial Ownership Of Securities (SEC2270) |
May 26, 2017 |
| Form BD-N Notice Of Registration As A Broker-Dealer For The Purpose Of Trading Security Futures (SEC1500) |
May 5, 2017 |
| Form MA Application For Municipal Adivsor Registration (SEC2898) |
May 5, 2017 |
| Form MA-I Information Regarding Natural Persons Engage In Municipal Advisory Activities (SEC2899) |
May 5, 2017 |
| Form MA-NR Designation Of US Agent For Service Of Process (SEC2900) |
May 5, 2017 |
| Form MA-W Notice Of Withdrawal From Registration As Municipal Advisor (SEC2901) |
May 5, 2017 |
| Form MSD Application For Registration As A Municipal Securities Dealer (SEC1534) |
January 30, 2017 |
| Form 19b-4 Proposed Rule Change By Self-Regulatory Organization (SEC1832) |
December 19, 2016 |
| Form D Notice Of Sale Of Securities Pursuant To Regulation D Section 4(6) (SEC1972) |
December 19, 2016 |
| Form PILOT Initial Operation Report Amendment To Initial Operation Report And Quarterly Report (SEC2552) |
December 19, 2016 |
| Form N-SAR Semi Annual Report For Registered Investment Companies (SEC2100) |
December 19, 2016 |
| Form X-17A-5 Focus Report Form X-17A-5 Schedule 1 (SEC1675) |
May 16, 2016 |
| Form X-17A-5 Focus Report Part I (SEC1705) |
May 16, 2016 |
| Form F-7 Registration Statement Under The Securities Act Of 1933 (SEC2289) |
May 12, 2016 |
| Form SBSE-BD Application For Registration Of Security-Based Swap Dealers (SEC2926) |
February 10, 2016 |
| Form SBSE-A Application For Registration Of Security-Based Swap Dealers (SEC2925) |
February 10, 2016 |
| Form SBSE Application For Registration Of Security-Based Swap Dealers (SEC2924) |
February 10, 2016 |
| Form N-MFP Monthly Schedule Of Portfolio Holdings Of Money Market Funds (SEC2847) |
January 28, 2016 |
| Form 1-A Regulation Offering Statement Under The Securities Act Of 1933 (SEC486) |
June 26, 2015 |
| Form BDW Uniform Request For Broker Dealer Registration (SEC1500) |
April 13, 2015 |
| Form TA-W Notive Of Withdrawal From Registration As Transfer Agent (SEC1669) |
April 13, 2015 |
| Form CB Tender Offer-Rights Offering Notification Form (SEC2560) |
April 13, 2015 |
| Form ADV-W (Paper Version) Notice Of Withdrawal From Registration (SEC777) |
April 13, 2015 |
| Form CA-1 Application For Registration Or Exemption From Registration As A Clearing Agency (SEC1853) |
April 13, 2015 |
| Form ADV-H Application For A Temporary Or Continuing Hardship Exemption (SEC2566) |
April 13, 2015 |
| Form ADV-NR Appointment Of Agent For Service Of Process By Non-Resident (SEC2565) |
April 13, 2015 |
| Form N-8B-4 Registration Statement Of Face-Amount Certificate Companies (SEC1285) |
April 13, 2015 |
| Form 19b-7 Proposed Rule Change By (Self-Regulatory Organization) (SEC2450) |
April 13, 2015 |
| Form N-18F-1 Notification Of Election Pursuant To Rule 18f-1 Under The Investment Company Act Of 1940 (SEC1846) |
April 13, 2015 |
| Form MSDW Notice Of Withdrawal From Registration As A Muni Securities Dealer (SEC1588) |
April 13, 2015 |
| Form D Items 1 And 2 Continuation Page Issuers Identity And Contact Information |
April 13, 2015 |
| Form D Item 3 Continuation Page Related Persons (Continued) |
April 13, 2015 |
| Form 2-A Report Of Sales And Use Of Proceeds Pursuant To Rule 257 Of Regulation A (SEC816) |
August 6, 2014 |
| Form D Item 12 Sales Compensation (Continued) |
July 15, 2014 |
| Form SIP Application Or Amendment To Application For Registration As Securities Information Processor (SEC1939) |
April 1, 2014 |
| Form N-27D-1 Accounting Of Segregated Trust Account (SEC1840) |
April 1, 2014 |
| Form 15F Certification Of A Foreign Private Issuers Termination Of Registration Of A Class Of Securities |
January 7, 2014 |
| Form 1-N Form And Amendments For Notice OF Registration As A National Securities Exchange (SEC2568) |
January 7, 2014 |
| Form R31 Form For Reporting Covered Sales And Covered Round Turn Transactions Under Section 31 (SEC2502) |
November 18, 2013 |
| Form S-6 (Facing Sheet) For Registration Under The Securities Act Of 1933 (SEC649) |
September 17, 2013 |
| Form N-8F Application For Deregistration Of Certain Registered Investment Companies (SEC1691) |
August 14, 2013 |
| Form 19b-4(e) Information Required Of A Self-Regulatory Organization Listing And Trading A New Derivative Securities Product (SEC2449) |
August 14, 2013 |
| Form 18-K Annual Report For Foreign Governments And Political Subdivisions Thereof (SEC1797) |
July 12, 2013 |
| Form BD Uniform Application For Broker Dealer Registration (SEC1490) |
June 14, 2013 |
| Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 2) (SEC1707) |
November 12, 2012 |
| Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 1B) (SEC1707) |
November 12, 2012 |
| Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 1B) (SEC1707) |
November 12, 2012 |
| Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 1A) (SEC1707) |
November 12, 2012 |
| Form 1 Application And Amendments To Application For Registration As A National Securities Exchange Or Exemption From Registration (SEC1935) |
September 5, 2012 |
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