PAULSON INVESTMENT COMPANY LLC
Related Filers (4)
- Paulson Cardax Investments 1 LLC (2)
- PAULSON CAPITAL (DELAWARE) CORP. (2)
- CARDAX, INC. (2)
- CYTODYN INC (1)
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Other (39)
X-17A-5
Friday, 3/10/2023
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
X-17A-5
Monday, 3/28/2022
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
X-17A-5
Monday, 3/22/2021
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
Monday, 3/23/2020
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
Monday, 3/4/2019
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
X-17A-5
Friday, 3/30/2018
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
X-17A-5
Friday, 2/24/2017
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
D/A
Thursday, 12/8/2016
Exempt (Private) Offering
D
Tuesday, 8/23/2016
Exempt (Private) Offering
D
Tuesday, 4/26/2016
Exempt (Private) Offering
X-17A-5
Monday, 2/29/2016
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
Wednesday, 3/11/2015
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
FOCUSN
Wednesday, 3/11/2015
None
X-17A-5
Friday, 2/28/2014
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
FOCUSN
Friday, 2/28/2014
None
FOCUSN/A
Friday, 2/28/2014
None
X-17A-5
Friday, 4/5/2013
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
FOCUSN
Friday, 3/1/2013
None
X-17A-5
Wednesday, 2/29/2012
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
FOCUSN
Wednesday, 2/29/2012
None
X-17A-5
Thursday, 3/17/2011
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
FOCUSN
Monday, 2/28/2011
None
X-17A-5
Monday, 3/22/2010
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
FOCUSN
Monday, 3/1/2010
None
X-17A-5
Monday, 7/6/2009
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, 7/6/2009
None
FOCUSN/A
Wednesday, 4/2/2008
None
FOCUSN/A
Wednesday, 4/2/2008
None
X-17A-5
Friday, 2/29/2008
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
Friday, 2/29/2008
None
X-17A-5
Friday, 5/18/2007
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
Friday, 5/18/2007
None
FOCUSN
Tuesday, 10/3/2006
None
X-17A-5
Tuesday, 10/3/2006
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
Tuesday, 3/1/2005
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, 3/1/2004
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, 3/3/2003
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/A
Monday, 3/25/2002
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, 3/1/2002
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