This page lists the SEC filings reported by XML SECURITIES, LLC.
| Type | Filed | |
|---|---|---|
| X-17A-5 | 2024-02-29 | EDGAR |
| X-17A-5 | 2023-03-01 | EDGAR |
| X-17A-5 | 2022-03-30 | EDGAR |
| X-17A-5 | 2021-02-26 | EDGAR |
| X-17A-5 | 2020-04-09 | EDGAR |
| X-17A-5/A | 2019-04-04 | EDGAR |
| X-17A-5 | 2019-03-15 | EDGAR |
| 13F-HR/A | 2018-06-14 | EDGAR |
| 13F-HR | 2018-05-24 | EDGAR |
| 13F-HR | 2018-05-17 | EDGAR |
| X-17A-5 | 2018-03-01 | EDGAR |
| X-17A-5 | 2017-03-01 | EDGAR |
| X-17A-5 | 2016-03-14 | EDGAR |
| FOCUSN | 2015-02-27 | EDGAR |
| X-17A-5 | 2015-02-27 | EDGAR |
| X-17A-5 | 2014-03-05 | EDGAR |
| X-17A-5 | 2013-02-28 | EDGAR |
| X-17A-5/A | 2012-05-15 | EDGAR |
| X-17A-5 | 2012-02-29 | EDGAR |
| X-17A-5/A | 2011-02-28 | EDGAR |
- Form 13F-HR
- The 13F-HR report is filed quarterly to report securities held by the filer that fall under the SEC's 13F rules.
- Form SC 13D/G
- Reported by persons and groups who own 5% or more of any class of a company's outstanding shares. If the ownership changes by 1% or more, an amendment must be filed.
- Form 3, 4, and 5
- Form 3, 4, and 5 reports are filed to report insider transactions by company officers and directors, and any beneficial owners of more than ten percent of a company's shares. Form 3 is the initial report that must be filed when a person becomes an officer, director, or beneficial owner. Form 4 reports are used to report changes in ownership, while the Form 5 report is used for reporting transactions that should have been reported earlier in a Form 4 filing.