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Docket 020 : Succeeding to the Registration Status of a Predecessor Firm 
 Approved by SEC 

 
 

 Releases and Rule Filings

Release No.
Description
Date
2009-03SEC Filing Form 19b-4Sept. 30, 2009
2008-05SEC Filing Form 19b-4Aug. 4, 2008
2008-005Final RuleJuly 29, 2008
2006-005Proposed RuleMay 23, 2006

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