FORESIDE FINANCIAL SERVICES, LLC
Related Filers (4)
- Ruane, Cunniff & Goldfarb L.P. (4)
- RCG ETFs, Inc. (4)
- Monachil Capital Partners LP (4)
- Monachil Credit Income Fund (4)
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Other (27)
FOCUSN
Wednesday, 3/15/2023
None
X-17A-5
Tuesday, 3/14/2023
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
40-APP/A
Thursday, 10/6/2022
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-APP/A
Thursday, 6/9/2022
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
FOCUSN
Tuesday, 3/1/2022
None
X-17A-5
Friday, 2/25/2022
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
40-APP/A
Thursday, 2/10/2022
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
APP WD/A
Monday, 11/1/2021
None
APP WD
Monday, 11/1/2021
Withdrawal of an application for exemptive or other relief from the federal securities laws
APP WD
Monday, 9/27/2021
Withdrawal of an application for exemptive or other relief from the federal securities laws
40-APP
Monday, 9/13/2021
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-APP
Tuesday, 7/20/2021
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
X-17A-5
Wednesday, 2/24/2021
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Thursday, 2/27/2020
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Thursday, 2/28/2019
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Thursday, 2/28/2019
None
X-17A-5
Wednesday, 2/28/2018
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Wednesday, 2/28/2018
None
X-17A-5
Monday, 2/27/2017
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
FOCUSN
Monday, 2/27/2017
None
X-17A-5
Tuesday, 3/1/2016
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Monday, 3/2/2015
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Thursday, 2/27/2014
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Thursday, 2/28/2013
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Monday, 2/27/2012
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Friday, 2/25/2011
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder
X-17A-5
Thursday, 2/25/2010
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder