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List of Marginable OTC Stocks
List of Marginable OTC Stocks @ENTERTAINMENT, INC. ABACAN RESOURCE CORPORATION ACE CASH EXPRESS, INC. $.01 par common No par common $.01 par common 1ST BANCORP (Indiana) ABACUS DIRECT CORPORATION ACE*COMM CORPORATION $1.00 par common $.001 par common $.01 par common 1ST BERGEN BANCORP ABAXIS, INC. ACETO CORPORATION No par common No par common $.01 par common 1ST SOURCE CORPORATION ABC BANCORP (Georgia) ACMAT CORPORATION $1.00 par common $1.00 par common Class A, no par common Fixed rate cumulative trust preferred securities of 1st Source Capital ABC DISPENSING TECHNOLOGIES, INC. ACORN PRODUCTS, INC. Floating rate cumulative trust preferred $.01 par common $.001 par common securities of 1st Source ABC RAIL PRODUCTS CORPORATION ACRES GAMING INCORPORATED 3-D GEOPHYSICAL, INC. $.01 par common $.01 par common $.01 par common ABER RESOURCES LTD. ACRODYNE COMMUNICATIONS, INC. 3-D SYSTEMS CORPORATION No par common $.01 par common $.001 par common ABIGAIL ADAMS NATIONAL BANCORP, INC. †ACSYS, INC. 3COM CORPORATION $.01 par common No par common No par common ABINGTON BANCORP, INC. (Massachusetts) ACT MANUFACTURING, INC. 3D LABS INC. LIMITED $.10 par common $.01 par common $.01 par common ABIOMED, INC. ACT NETWORKS, INC. 3DFX INTERACTIVE, INC. $.01 par common $.01 par common No par common ABLE TELCOM HOLDING CORPORATION ACT TELECONFERENCING, INC. 3DO COMPANY, THE $.001 par common No par common $.01 par common ABR INFORMATION SERVICES INC. ACTEL CORPORATION 3DX TECHNOLOGIES, INC. $.01 par common $.001 par common $.01 par common ABRAMS INDUSTRIES, INC. ACTION PERFORMANCE COMPANIES, INC. 4 KIDS ENTERTAINMENT, INC. $1.00 par common $.01 par common $.01 par common 4FRONT TECHNOLOGIES, INC. -
The Effectiveness of CEO Leadership Styles in the Technology Industry
The Effectiveness of CEO Leadership Styles in the Technology Industry Sean Dougherty, Andrew Drake Advisors: Dr. Jonathan Scott and Professor Katherine Nelson Temple University Explanation of research The purpose of this research is to determine the impact of leadership style on financial success. A great deal of research has been done on the factors that affect the financial success of a company, but leadership is one factor that tends to be overlooked. That is due to the nature of leadership; like other aspects of human resources management such as company culture, leadership is not easily quantifiable. In order to study leadership’s effect on company success, we needed to make leadership less abstract and more concrete. We needed a means of distinguishing the way one person leads in comparison to another person, and the solution was presented to us upon reading Primal Leadership. Authors Daniel Goleman, Richard Boyatzis, and Annie McKee make the detailed claim that the way a person leads can always be categorized into at least one of six distinct emotional leadership styles. We seek to build on the research of Goleman, Boyatzis, and McKee by analyzing the effectiveness of each of these styles in terms of driving financial success. To measure financial success, we looked at the behavior of stock price in the time following an initial public offering. For our data set, we chose to study 60 companies in the technology industry that have gone public since the year 2000. With each company, we researched the CEO who led the company during the IPO and assigned him or her one to two leadership styles that he or she exhibits. -
681 A&W Restaurants, 249 AARP (American Association of Retired
name index A American Express, 574 Baker, Stephen, 601–602 A&W Restaurants, 249 American Heart Association, 69, Bakke, Dennis, 286 AARP (American Association of 193 Ballew, Paul, 600 Retired Persons), 390 American National Standards Ballmer, Steve, 16, 272, 281, ABC, 80 Institute, 589, 590 282 Abledata, 395 American Society for Quality, Ball, Sharon, 357 Academy of Management 586, 590 Banana Republic, 99, 529 Executive, 38 American Society of Mechanical Banga, M. S., 190 Academy of Management Engineers, 42 The Bankers Bank, 567 Journal, 7, 38 America West, 485 Bank of America (BoA), Academy of Management America Online (AOL), 11, 168, 227–228 Review, 7, 38 542 Bank One, 401 The Accident Group, 425–426 Ameritech Corporation, 375 Baptist, Douglas, 208–209 Ace Hardware, 185 AMP, 261 Baratta, Sandy, 116 Acura, 464 Anda, Luis de, 245 Bare, Mike, 525–526 Acxiom, 559–560 Angelini, Greg, 436 Barger, Dave, 440 Adams, Diane, 133 Angle, Colin, 525 Barlow, Jeanette, 570 Adams, Ed, 403 Anheuser-Busch, 239 Barnard, Chester, 34, 54–56 Addessi, Joan, 107, 108, 109, Apache Medical Systems, 574 Barneys, 219 110–111 Apple Computer, 210, 297, 322, Barnholt, Ned, 435, 493–494 Addessi, Richard, 107, 108 601–602 Barron’s, 176 Addington, Gordon, 120 Appling, Troy, 567 Baseler, Randy, 147 Adelphia, 100 Aramark, 478 Baxter International, 434, 512 Adidas-Salomon, 247 Argenti, Paul, 486 Bayer, 274 Adler, Nancy J., 507 Argosy Education Group, 497 Becoming a Manager: Mastery of Administrative Science Arizona Public Service Company, a New Identity (Hill), 21–23 Quarterly, -
1 UNITED STATES SECURITIES and EXCHANGE COMMISSION Washington, D.C
1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2000 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: AMERICAN INTERNATIONAL GROUP, INC. Address: 70 Pine Street New York, New York 10270 Form 13F File Number: 28-219 The Institutional Investment Manager filing this report and the person by whom it is signed represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Edward E. Matthews Title: Vice Chairman -- Investments and Financial Services Phone: (212) 770-7000 Signature, Place, and Date of Signing: /s/ Edward E. Matthews New York, New York November 14, 2000 - ------------------------------- ------------------------ ----------------- (Signature) (City, State) (Date) Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check if no holdings reported are in this report, and all holdings are reported in this report and a portion are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check -
OECD Information Technology Outlook OECD Information Technology Outlook 2002 « Icts and the INFORMATION ECONOMY
OECD Information Technology Outlook 2002 « Outlook OECD Information Technology ICTs AND THE INFORMATION ECONOMY Information technology (IT) continues to be a major driver of economic change, restructuring OECD Information businesses, affecting skills and employment, and contributing significantly to growth and wealth creation. This volume describes the main trends in industries and businesses Technology Outlook supplying IT goods and services. It looks at the impact of IT diffusion and applications, as well as the growing importance of network effects as the use of IT expands. It describes recent market dynamics and gives a detailed overview of the globalisation of the information and communication technology (ICT) sector. It also analyses the increasingly important ICTs AND THE INFORMATION software sector and examines the growth in electronic commerce as well as some of the barriers to its expansion. ECONOMY This volume also looks at developments in the provision and use of ICT skills, mismatches between supply and demand and potential remedies. It traces the diffusion of ICTs and examines the digital divide among individuals, households and businesses, then highlights the potential of selected technological developments that will affect the commercial exploitation and socio-economic impacts of ICTs in the medium term. Finally, it provides an overview of IT policies in OECD countries, particularly those aimed at expanding the supply and use of ICT skills and overcoming the digital divide. National IT policy profiles are available at the following URL: www.oecd.org/sti/information-economy OECD's books, periodicals and statistical databases are now available via www.SourceOECD.org, our online library. This book is available to subscribers to the following SourceOECD themes: Science and Information Technology Social Issues/Migration/Health Ask your librarian for more details on how to access OECD books on line, or write to us at [email protected] www.oecd.org ISBN 92-64-19754-0 93 2002 02 1P 2002 -:HSTCQE=V^\ZYV: 2002 © OECD, 2002. -
SEC News Digest, 07-16-1999
SEC NEWS DIGEST Issue 99-136 July 16, 1999 SELF-REGULATORY ORGANIZATIONS PROPOSED RULE CHANGES The Pacific Exchanae filed a proposed rule change (SR-PCX-99-04) relating to increasing the maximum order size eligible for automatic execution on Auto-Ex to fifty contracts. Publication of the proposal is expected in the Federal Register during the week of July 19. (ReI. 34-41611) The Chicago Board Options Exchange filed a proposed rule change (SR- CBOE-99-29) to allow RAES orders to trade against orders in the exchange's limit order book. Publication of the proposal is expected in the Federal Register during the week of July 19. (ReI. 34-41621) The New York Stock Exchange filed a proposed rule change (SR-NYSE- 99-10) to amend NYSE Rule 123A.40 to allow specialists to make a bid or offer that betters the market at a price that would elect stop orders and eliminate the requirement to obtain Floor Official approval, unless the price of the specialist's electing transaction is more than 4/16 point away from the previous sale. Publication of the notice is expected in the Federal Register during the week of July 19. (ReI. 34-41623) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. -
SEC News Digest, 11-15-1999
l ./ SEC NEWS DIGEST Issue 99-219 November IS, 1999 SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change filed by the Philadelphia Stock Exchange amending rules governing the Phlx Automatic Communication and Execution System (SR-Phlx-99-33) has become effective under Section 19{b) (3) (A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 15. (ReI. 34-42120) A proposed rule change filed by the Philadelphia Stock Exchange (SR- Phlx-99-34) to amend its fee schedule for Registered Representative registration has become effective under Section 19{b) (3) (A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 15. (ReI. 34-42122) A proposed rule change filed by the Philadelphia Stock Exchange (SR- Phlx-99-37) to increase the maximum size of option orders eligible for delivery through the Automated Options Market System (AUTOM) has become effective under Section 19{b) (3) (A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of November 15. (ReI. 34- 42123 ) The American Stock Exchange, Pacific Exchange, and the Chicago Board Options Exchange have filed proposed rule changes (SR-Amex-99-40i SR-PCX-99-41i SR-CBOE-99-59) to make permanent pilot programs eliminating position and exercise limits for FLEX Equity options. Publication of the proposal is expected in the Federal Register during the week of November 15. -
NASDAQ Stock Market LLC (“Nasdaq Exchange”), a Subsidiary of the Nasdaq Stock Market, Inc
July 31, 2006 Nancy M. Morris, Esq. Secretary US Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Request for Relief from § 12 of the Securities Exchange Act of 1934 Dear Ms. Morris: On January 13, 2006, the Securities and Exchange Commission (“SEC” or “Commission”) approved the application of The NASDAQ Stock Market LLC (“Nasdaq Exchange”), a subsidiary of The Nasdaq Stock Market, Inc. (“Nasdaq”), to register under Section 6 of the Securities Exchange Act of 1934 (“Act” or “Exchange Act”) as a national securities exchange.1 Nasdaq’s transition of its listing and trading activities to the Nasdaq Exchange will further Congress’s instruction to promote “fair competition . between exchange markets.”2 Absent the relief requested herein, however, Nasdaq’s transition to a national securities exchange would require approximately 3,200 Nasdaq Global Market3 and Capital Market issuers with securities registered pursuant to the Act, or exempt from registration under Section 12(g) of the Act,4 to file registration statements5 to register those securities under Section 12(b) of the Act.6 1 Securities Exchange Act Release No. 53128 (January 13, 2006), 71 FR 3550 (January 23, 2006) (the “Exchange Approval Order”). 2 Exchange Act Section 11A(a)(1)(C)(ii). 3 Effective July 1, 2006, Nasdaq renamed the Nasdaq National Market as the Nasdaq Global Market and created a new segment within the Global Market called the Global Select Market. References to the Nasdaq Global Market include those securities listed on the Nasdaq Global Market and the Nasdaq Global Select Market. See Securities Exchange Act Release No. -
Fundamentals Content Monthly Coverage Packet April 2009 - Worldscope
FUNDAMENTALS CONTENT MONTHLY COVERAGE PACKET APRIL 2009 - WORLDSCOPE A SERIES OF RESOURCE DOCUMENTS HIGHLIGHTING THE BREADTH AND DEPTH OF THOMSON REUTERS WORLDSCOPE FUNDAMENTALS CONTENT For further information or assistance, please contact your local Thomson Reuters customer service or account team. North America: +1 888.888.1082 [email protected] [email protected] Europe: +44 (0) 870 458.1052 [email protected] Asia: +63 2 878.5772 [email protected] 1 NOTICE This document contains confidential and proprietary information of Thomson Reuters and may be used only by a recipient designated by and for purposes specified by Thomson Reuters. Reproduction of, dissemination of, modifications to, or creation of derivative works from this document, by any means and in any form or manner, is expressly prohibited, except with the prior written permission of Thomson Reuters. Permitted copies of this document must retain all proprietary notices contained in the original. The information in this document is subject to change without prior notice. Always confirm with Thomson Reuters that you are using the most current version of this document. Thomson Reuters is free to modify any of its products and services, in any manner and at any time, notwithstanding the information contained in this document. Certain information, including images, graphics, numerical or textual data pertaining to assets or securities may be included in this document to illustrate different types of products and services of Thomson Reuters. Such information may be fictitious or incomplete and should not be relied upon or considered investment advice. THE CONTENTS OF THIS DOCUMENT SHALL NOT CONSTITUTE ANY WARRANTY OF ANY KIND, EITHER EXPRESSED OR IMPLIED, INCLUDING BUT NOT LIMITED TO THE IMPLIED WARRANTIES OF MERCHANTABILITY AND/OR FITNESS FOR A PARTICULAR PURPOSE OR GIVE RISE TO ANY LIABILITY OF THOMSON REUTERS, ITS AFFILIATES OR ITS SUPPLIERS. -
OTC) Margin Stocks
F e d e r a l R e s e r v e B a n k OF DALLAS ROBERT D. MCTEER, JR. P R E S ID E N T DALLAS, TEXAS AND CHIEF EXECUTIVE OFFICER 75 265-590 6 March 7, 1996 Notice 96-27 TO: The Chief Executive Officer of each member bank and others concerned in the Eleventh Federal Reserve District SUBJECT Over-the-Counter (OTC) Margin Stocks DETAILS The Board of Governors of the Federal Reserve System has revised the list of over-the-counter (OTC) stocks that are subject to its margin regulations, effective February 12, 1996. Included with the list is a listing of foreign margin stocks that are subject to Regulation T. The foreign margin stocks listed are foreign equity securities eligible for margin treatment at broker-dealers. The Board publishes complete lists four times a year, and the Federal Register announces additions to and deletions from the lists. ATTACHMENTS Attached are the complete lists of OTC stocks and foreign margin stocks as of February 12, 1996. Please retain these lists, which supersede the complete lists published as of February 13, 1995. Announcements containing additions to and deletions from the lists will be provided quarterly. MORE INFORMATION For more information regarding marginable OTC stock requirements, please contact Eugene Coy at (214) 922-6201. For additional copies of this Bank’s notice and the complete lists, please contact the Public Affairs Department at (214) 922-5254. Sincerely yours, For additional copies, bankers and others are encouraged to use one of the following toll-free numbers in contacting the Federal Reserve Bank of Dallas: Dallas Office (800) 333 -4460; El Paso Branch In trasta te (800) 592-1631, Intersta te (800) 351-1012; Houston B ra n ch In tra sta te (800) 392-4162, Intersta te (800) 221-0363; San Antonio Branch In tra sta te (800) 292-5810. -
PLANAR SYSTEMS INC Exact Name of Registrant As Specified in Its Charter
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C 20549 Amendment No Form 10-K/A Mark One 12025225 ANNUAL REPORT PURSUANT TO SECTION 13 OR 15d OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30 2011 or fl TRANSITION REPORT PURSUANT TO SECTION 13 OR 15d OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No 0-23018 00 PLANAR SYSTEMS INC Exact name of Registrant as specified in its charter Oregon 93-0835396 State or other jurisdiction IRS Employer of incorporation Identification No 1195 NW Compton Drive Beaverton Oregon 97006 503 748-1100 Address of principal executive offices Zip Code Registrants Telephone Number Including Area Code Securities registered pursuant to Section 12b of the Act Common Stock Preferred Stock Purchase Rights NASDAQ Global Market Title of Each Class Name of Each Exchange on Which Registered Securities registered pursuant to Section 12g of the Act None Indicate by check mark if the registrant is well-known seasoned issuer as defined in Rule 405 of the Securities Act Yes No IEJ Indicate check if the by mark registrant is not required to file reports pursuant to Section 13 or Section 15d of the Act Yes No Indicate check whether the by mark registrant has filed all reports required to be filed by Section 13 or 15d of the Securities Exchange Act of 1934 during the preceding 12 months or for such shorter period that the registrant was required to file such reports and has been subject to such filing requirements for the past 90 days Yes No Indicate -
Alteon Switched Firewall 3.0.2 Installation And
Installation and User’s Guide Alteon Switched FirewallTM Release 3.0.2 Part Number: 212535-E, April 2003 4655 Great America Parkway Santa Clara, CA 95054 Phone 1-800-4Nortel www.nortelnetworks.com Alteon Switched Firewall Installation and User’s Guide Copyright © 2003 Nortel Networks, Inc., 4655 Great America Parkway, Santa Clara, California, 95054, USA. All rights reserved. Part Number: 212535-E. This document is protected by copyright and distributed under licenses restricting its use, copying, distribution, and decompilation. No part of this document may be reproduced in any form by any means without prior written authorization of Nortel Networks, Inc. Documentation is provided “as is” without warranty of any kind, either express or implied, including any kind of implied or express warranty of non- infringement or the implied warranties of merchantability or fitness for a particular purpose. U.S. Government End Users: This document is provided with a “commercial item” as defined by FAR 2.101 (Oct. 1995) and contains “commercial technical data” and “commercial software documentation” as those terms are used in FAR 12.211-12.212 (Oct. 1995). Government End Users are authorized to use this documentation only in accordance with those rights and restrictions set forth herein, consistent with FAR 12.211- 12.212 (Oct. 1995), DFARS 227.7202 (JUN 1995) and DFARS 252.227-7015 (Nov. 1995). Nortel Networks, Inc. reserves the right to change any products described herein at any time, and without notice. Nortel Networks, Inc. assumes no responsibility or liability arising from the use of products described herein, except as expressly agreed to in writing by Nortel Networks, Inc.