UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.CFORM 8-K CURRENT REPORT

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549   FORM 8-K

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Introduction Brokerage firms that experience serious financial difficulties and must be shut down may undergo what are called “liquidation” proceedings. The good news is that such closures do not happen very

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.CFORM 10-Q [ x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES

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SECURITIES AND EXCHANGE COMMISSION Washington, D.CSCHEDULE TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934

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As filed with the Securities and Exchange Commission on July 9, 2015 Registration NoUNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.CFORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT

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SECURITIES AND EXCHANGE COMMISSION Washington, D.C. INVESTMENT ADVISERS ACT OF 1940 Release NoSeptember 17, 2015 INVESTMENT COMPANY ACT OF 1940 Release NoSeptember 17, 2015

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INITIAL DECISION RELEASE NO. 624 ADMINISTRATIVE PROCEEDING FILE NOUNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.CFORM 10-K (Mark One)

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