CALDWELL SUTTER CAPITAL, INC.

<ITEMS>06b

<ITEMS>06b

<ITEMS>06b

Annual Report of Proxy Voting Record of Registered Management Investment Company

Annual Report of Proxy Voting Record of Registered Management Investment Company

Annual Report of Proxy Voting Record of Registered Management Investment Company

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CALDWELL SUTTER CAPITAL, INC.

CALDWELL SUTTER CAPITAL, INC.

CALDWELL SUTTER CAPITAL, INC.

CALDWELL SUTTER CAPITAL, INC.

CALDWELL SUTTER CAPITAL, INC.

CALDWELL SUTTER CAPITAL, INC.

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Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration

Information Regarding Natural Persons who Engage in Municipal Advisory Activities

Annual audited report of a broker-dealer (Rule 17a-5)

Notice of Withdrawal from Registration as a Municipal Advisor

Information Regarding Natural Persons who Engage in Municipal Advisory Activities (amendment)

No description available

Annual audited report of a broker-dealer (Rule 17a-5)

Information Regarding Natural Persons who Engage in Municipal Advisory Activities

No description available

Annual audited report of a broker-dealer (Rule 17a-5)

Information Regarding Natural Persons who Engage in Municipal Advisory Activities (amendment)

Information Regarding Natural Persons who Engage in Municipal Advisory Activities

No description available

No description available

Information Regarding Natural Persons who Engage in Municipal Advisory Activities (amendment)

No description available

Information Regarding Natural Persons who Engage in Municipal Advisory Activities (amendment)

Annual audited report of a broker-dealer (Rule 17a-5)

No description available

Annual audited report of a broker-dealer (Rule 17a-5)