United States of America Before the Securities and Exchange Commission in the Matter of Richard Whitney, Edwin D. Morgan, Jr., F. Kingsley Rodewald, Henry D. Mygatt, Daniel G. Condon, John J. McManus, and Estate of John A. Hayes, Individually and as Partners Doing Business as Richard Whitney & Company: Pursuant to Section 21 (a) of the Securities Exchange Act of 1934 ...
... rule of the Business Conduct Committee that you talked about a written rule or simply an unwritten rule ? A. It is an unwritten rule . Q. You say that that rule was adopted on advice of counsel . Who was the counsel ? A. Carter ...
Compilation of securities laws within the jurisdiction of the Committee on Energy and Commerce: including Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Trust Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970
... Company Act of 1935, Trust Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. as may be prescribed under any rules or regulations under this ...
Reports on Banks Securities Activities of the Securities and Exchange Commission Pursuant to Section 11A(e) of the Securities and Exchange Act of 1934 (Public Law 94-29).
... banking laws applicable to broker - dealers and to banks offering corporate financing services . B. Private Placement Services 101 / 1. Role of Banks In Private Placements While bank lending officers have traditionally provided varying ...
The Plays of Shakespeare: King John. King Richard II. King Henry IV, part 1. King Henry IV, part 2. Henry V. King Henry VI, part 1. King Henry VI, part 2. King Henry VI, part 3. King Richard III. King Henry VIII
William Shakespeare Mary Cowden Clarke. Bard . Will you give me money ... fear the report of a caliver 36 worse than a struck fowl , or a hurt wild - duck . ' I pressed me none but such toasts ... IV . ] [ SCENE II . KING HENRY IV . - PART I.
King John. King Richard II. King Henry IV, part 1. King Henry IV, part 2. Henry V. King Henry VI, part 1. King Henry VI, part 2. King Henry VI, part 3. King Richard III. King Henry VIII. Titus Andronicus. Pericles. Glossary
... NORFOLK . - A sort of vagabonds , rascals , and runaways , A scum of Bretagnes , and base lackey peasants , Whom their o'ercloyed ... horse : - Call up Lord Stanley , bid him bring his power . I will lead forth ... horses hard , and ride in ...
King John. King Richard II. King Henry IV, part 1. King Henry IV, part 2. Henry V. King Henry VI, part 1. King Henry VI, part 2. King Henry VI, part 3. King Richard III. King Henry VIII. Titus Andronicus. Pericles. Poems. Glossary
... NORFOLK . Nor . Arm , arm , my lord , the foe vaunts in the field . : - K. Rich . Come , bustle , bustle : caparison my horse ... ercloyed country vomits forth To desperate ventures and assured destruction ... horses hard , and ride in blood ...
Survey of American Listed Corporations: Reported Information on Registrants with the Securities and Exchange Commission Under the Securities Exchange Act of 1934 : Subsidiaries of 2052 Registrants Under the Securities Exchange Act of 1934 Showing Relationship to and Control by Parent
... PACKING COMPANY ( MAINE ) , THE American Salt Corporation Barry Machinery Co. Bissell Leather Co. Cudahy & Company ... CURTIS LIGHTING , INCORPORATED 38-3 * Curtis Lighting of Canada , Ltd. Curtis Lighting Europe S. A 100 50.5 Curtis ...
The Complete Histories / History Plays of William Shakespeare: King John + The Tragedy Of King Richard The Second + King Henry IV, The First Part + King Henry IV, Second Part + King Henry V + King Henry VI, First Part + King Henry The Sixth, Second Part + King Henry The Sixth, Third Part + The Tragedy Of King Richard III + King Henry The Eighth
... NORFOLK Arm, arm, my lord;the foe vaunts in the field. KING RICHARD Come, bustle,bustle; caparison my horse ... Norfolk, Thomas Earlof Surrey, Shall have the leading ... ercloyed country vomits desperate adventures andassur'd destruction. You ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... FMENS 1,712 30,701 51,313 MV Relationship Amdt / Orp TRANSACTIONS H 26,100 34,500 136,100 0. ISSUER SECURITY REPORTING PERSON SEC received date NATURE OF OWNERSHIP Month end Bought or otherwise acquired Sold or otherwise disposed of ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... UL L2L LADYMAN BRIAN W DIRECT ... 02/26/86 DIRECT .. THOMAS JOE ED 02/28/86 S SS 02/03/86 02/04/86 02/10/86 02/19/86 ... D 925 152 93 KEYSTONE MED CORP COM PY JOSEPH DIRECT . 04/16/86 S DIRECT .. DIRECT .. DIRECT .. 04/21/86 S 04/24/86 S ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
TRANSACTIONS DURING MONTH == " NC " CHANGE DURING MONTH HOLDINGS NET REPORTED AS OF END OF MONTH TRANSACTIONS DURING MONTH " NC " = NET CHANGE ... 5E 5 GIANT YELLOWKNIFE GOLD MINES LIMITED $ 1 PAR COMMON NOVEMBER 1947 REPORT BEAR EXPLORATION ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... Chaddock Wife Edward E De Fobio OD 8-8-69 H 12-9-69 1-13-70 1-15-70 SHAW ... UH SILO INC SHELLER - GLOBE CORP $ 1.35 Pfd Chester Devenow Wife & children ... Wayne E DaBell DDec 1969 H 200 16863 J Albert Kramer Daughter OD 1-9-70 L ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... 80 09/15/80 OX A ༤༠ སླཏྠཱུ ཞ 7 སྶུམྦྷ 243 252 777 888 1.088 1,129 824 996 12/15/80 09/15/80 1,883 A 1,955 935 A ... CTF CCONNELL ARTHUR B DIRECT . 01/30/81 S L MAGIC CHEF INC CCM GREEN JOHN R JR INDIRECT .. 02/26/81 P 6,800 $ 11.25 MAGNETIC CTLS CO ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... 350 1625 350 250 1885 600 300 3500 100 100 2064 204 300 1000 9137 . Month ... MOTOROLA INC J T Hickey Wife 22 O2-10-70 HX 10000 2-13-70 H 2 R N Swift OD 2 ... H 350 NARRAGANSETT CAPITAL E E Potter OSept 1969 H 12886 13486 S Livingston ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... LDDD 02/14/01 10/01/00 02/14/01 10/01/00 02/14/01 02/14/01 12/31/00 A 12/31/00 LDDD A J Y Y Y Y 0 02/14/01 10/01/00 02/14/01 10/01/00 02/14/01 12/13/00 02/14/01 12/31/00 AAGA Y G Y 02/14/01 12/31/00 D 02/ ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... INTERTHERM INC COM YOUNG ISAAC E DIRECT . IOWA ELEC LT & PHR CO COM ARNOLD DUANE 7.150 232 $ 34.0C $ 34.00 500 ... 50 INDIRECT ..... LIU LEE DIRECT .... 14 MCDONALD MARJORIE E DIRECT .. 35 PITNER THOMAS J DIRECT . 5 REHNSTRUM J BERNARD ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... TA 5,000 $ 7.38 BITTICKS KENNETH W DIRECT . 01/01/92 TA 5,000 $ 7.38 Y Y GERDES LARRY G DIRECT . 01/01/92 ] TA 5,000 $ 7.38 DIRECT . 01/22/92 Р 1,000 $ 7.63 DIRECT . 01/29/92 P 2,600 $ 7.63 28,374 LUCAS DONALD L DIRECT . 01/01/92 TA 5,000 ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... TA 5,000 INDIRECT . 01/01/92 JONES THADDEUS W DIRECT .... 01/01/92 TA 2,793 64,697 24,869 460 47,233 CB FINANCIAL CORP . COM GLICK ALVIN L DIRECT ... CBI INDUSTRIES INC . COM AKIN LEWIS E 01/16/92 P 900 $ 21.00 DIRECT ... 01/07/92 GV ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... LDDD 951 AV 17,600 AV 70,200 460 2,528 SCHUBA MARY T DIRECT . 06/07/00 01/30/00 AV DIRECT . 06/07/00 02/18/00 DIRECT . 06/07/00 02/18/00 INDIRECT . 06/07/00 01/01/00 LDDD 238 AV 5,900 AV 33,700 500 3,524 SEGSHWORTH WALTER T DIRECT . 06 ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... 12/97 08/01/96 05/12/97 05/12/97 04/01/97 S N / D An AV 5,368 $ 36.85 5,368 ... JAMIE B DIRECT .. 05/13/97 DIRECT .. 05/13/97 DIRECT ... DIRECT .. 05/13/97 ... EASON MARK S DIRECT ... 05/13/97 DIRECT .. 05/13/97 DIRECT .. 05/13/97 04/24 ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... INTERTHERM INC CCH HEIMAN JORDAN L DIRECT ............. DIRECT ....... INDIRECT ......... INVEST CO CL A HUNEKE ... 50 $ 12.75 SOUTH S C COM INVESTORS HERITAGE LIFE INS CO DIRECT ....... 02/04/80 P 537 $ 3.25 INVEST EX INC COM BIRENBAUM ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... UL 197 TRANSACTIONS Month end Option holdings of report- securities ed 6,100 32,461 200 06/30/73 3.450 06/30/73 2,000 06/30/73 P 06/30/73 S 1,437 04/03/73 P I A 04/03/73 A 40,470 17,214 H 06/28/73 P 06/29/73 P 43,352 06/29/73 5,648 H Y ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... BARRY S DIRECT .. 01/10/94 1,688 $ 4.50 DIRECT ... 01/10/94 5,400 $ 4.76 DIRECT ... 01/10/94 3,785 $ 5.13 DIRECT ... HOENIG GROUP INC . COM DONAHUE ROBERT F DIRECT ... 01/06/94 HOENIG RONALD H DIRECT .. 01/10/94 1,000 5,000 $ 4.63 $ .10 ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... GVHG 09/10/90 D 08/06/90 P AA J OD 10/26/90 P VP 09/05/90 P 09/05/90 D 10/16/90 P D 10/16/90 P OD 06/23/90 J L P 06/18/90 J TRANSACTIONS Relationship O D Date of trans- action 10/05/90 Character. ISSUER SECURITY REPORTING PERSON NATURE ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... B PRUITT GARY DIRECT . 02/09/99 BERGER ROBERT W DIRECT 02/09/99 CAJACOB PETER M DIRECT . 02/09/99 DIRECT . 02/09/99 PRAGER KAROLE MORGAN DIRECT 02/09/99 SMITH JAMES P DIRECT 02/09/99 WEIL ROBERT J DIRECT . 02/09/99 WHITTAKER FRANK ...
Official Summary of Security Transactions and Holdings Reported to the Securities and Exchange Commission Under the Securities Exchange Act of 1934 and the Public Utility Holding Company Act of 1935
... 84 50 CONV PREFERRED RALPH PERKINS 100- CLEVELAND OHIO MELVIN H BAKER FRANCES V BAKER WIFE OD 100 - MC JANUARY 1942 REPORT WH STAPLES D 3 500 EUCLID OHIO 500 NC NATL MORTGAGE & INVEST COMMON NPV J GARFIELD RILEY WASHINGTON D C CLASS B ...
This website uses cookies and collects data for optimal performance. Your continued use signifies agreement to our Privacy Policy.
