BUYER's GUIDE on the City's Institutions
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Chicago Board Options Exchange Annual Report 2001
01 Chicago Board Options Exchange Annual Report 2001 cv2 CBOE ‘01 01010101010101010 01010101010101010 01010101010101010 01010101010101010 01010101010101010 CBOE is the largest and 01010101010101010most successful options 01010101010101010marketplace in the world. 01010101010101010 01010101010101010 01010101010101010 01010101010101010 01010101010101010 01010101010101010ifc1 CBOE ‘01 ONE HAS OPPORTUNITIES The NUMBER ONE Options Exchange provides customers with a wide selection of products to achieve their unique investment goals. ONE HAS RESPONSIBILITIES The NUMBER ONE Options Exchange is responsible for representing the interests of its members and customers. Whether testifying before Congress, commenting on proposed legislation or working with the Securities and Exchange Commission on finalizing regulations, the CBOE weighs in on behalf of options users everywhere. As an advocate for informed investing, CBOE offers a wide array of educational vehicles, all targeted at educating investors about the use of options as an effective risk management tool. ONE HAS RESOURCES The NUMBER ONE Options Exchange offers a wide variety of resources beginning with a large community of traders who are the most experienced, highly-skilled, well-capitalized liquidity providers in the options arena. In addition, CBOE has a unique, sophisticated hybrid trading floor that facilitates efficient trading. 01 CBOE ‘01 2 CBOE ‘01 “ TO BE THE LEADING MARKETPLACE FOR FINANCIAL DERIVATIVE PRODUCTS, WITH FAIR AND EFFICIENT MARKETS CHARACTERIZED BY DEPTH, LIQUIDITY AND BEST EXECUTION OF PARTICIPANT ORDERS.” CBOE MISSION LETTER FROM THE OFFICE OF THE CHAIRMAN Unprecedented challenges and a need for strategic agility characterized a positive but demanding year in the overall options marketplace. The Chicago Board Options Exchange ® (CBOE®) enjoyed a record-breaking fiscal year, with a 2.2% growth in contracts traded when compared to Fiscal Year 2000, also a record-breaker. -
Companies in Texas That Match Financial Donations
COMPANIES IN TEXAS THAT MATCH FINANCIAL DONATIONS Abbott Laboratories Avery Dennison Chubb Group/Chubb & Sons Adobe Systems Avon Products (Federal Insurance) ADP Ball Cigna Advanced Micro Devices Bank One Dallas Circuit City Stores Aetna BankAmerica Cisco Systems AG Communication Systems Bankers Trust CIT Group Air & Water Technologies Baroid Citgo Petroleum Air Products & Chemicals BASF Citicorp/Citibank N.A. Albertson’s Baxter Citizens Ban Alco Standard Bechtel CJT Enterprises Alcoa Becton Dickinson Clarcor Alex Brown & Sons Beecham SmithKline Clark, Klein & Beaumont Allegheny Ludlum Bell & Howell Clorox Allstate BellSouth Coca-Cola Amcast Industrial Bemis Colgate-Palmolive American Electric Power Beneficial Comerica American Express BetzDearborn Computer Associates Intl American General Finance BF Goodrich Conoco American Home Products Bituminous Casualty Container American Honda Motor Bloomingdale’s Continental Airlines American Intl Group Boeing Continental Corp Insurance American National Bank & Trust Borden Cooper Industrial American Standard Borg-Warner Cooper Tire & Rubber American States Insurance BP America Corning Amerisure Companies Brenco Cray Research Ameritech Bridgestone/Firestone Credit Suisse AMI Bristol-Myers Squibb Crowe Horwath LLP Amoco Brunswick Crum & Foster AMP BT Cummins Engine Analog Devices Budget Rent-A-Car CUNA Group Andersons Management Bunge Cytec Industries Anheuser-Busch Burlington Northern Dain Bosworth/IFG A.O. Smith Cabot Darden Restaurants Aon Campbell’s Soup Datatel Apache Canada Ltd Candle DDB -
CCW News April 2007.Qxd
CORNELL CLUB CCWN EWS A C ORNELL CLUB OF WASHINGTON PUBLICATION www.cornellclubdc.org OF WASHINGTON November 2009 In this issue... Events at a Glance . p. 2 Old Rag Recap . p. 3 Big Red Hockey @ MSG! . p. 3 Cornell Cares Day . p. 3 Cornell Glee Club at the Kennedy Center NY Philharmonic . p. 4 Saturday, January 9, 7:30 pm Ivy Singles: Holiday Party . p. 4 Kennedy Center Terrace Theatre Scarf Donation Drive . p. 4 2700 F Street, NW, Washington, DC NY Philharmonic . p. 4 Int’l Spy Museum Trip . p. 4 The Cornell University Glee Club will perform in the Kennedy Center’s Terrace Theater Robert Ladd ’43 . p. 5 as part of its 2010 Northeast Tour. The concert program will feature both classical and contemporary men’s choral music, including the Washington, DC premiere of a work Ivy Singles: City Tavern . p. 6 commissioned by the Glee Club this year. The Glee Club’s a cappella subset, The Hangovers, will also perform a few pop favorites, and the program will close with your favorite Cornell Songs including the Evening Song and Alma Mater! This is the Glee Club’s first solo appearance at the Kennedy Center, on a tour that also includes performances in New York’s Lincoln Center and Boston’s historic Old South Church. The tour will also cap a truly remarkable year in Glee Club history: last March, the Glee Club appeared at the prestigious American Choral Directors Association National Convention – the benchmark for choral excellence in America. The Glee Club also traveled to China for the first time in two decades, performing Brahms’ A German Requiem in Beijing, Shanghai, and Hong Kong in conjunction with the women’s Chorus. -
NASD Notice to Members 98-47
Executive Summary Interpretive Material 2310-3 (IM-2310- NASD On May 29, 1998, the Securities and 3) describes members’ suitability obli- Exchange Commission (SEC) gation in making recommendations to approved amendments to National institutional customers. The primary Notice to Association of Securities Dealers, considerations under IM-2310-3 Inc. (NASD®) Rule 3110 (the Books include the customer’s capability to and Records Rule) that (i) change evaluate risk independently and the Members the definition of “institutional account” extent to which individual judgment is to include the accounts of investment exercised when making investment 98-47 advisers that are now required to decisions. register with the states pursuant to the National Securities Markets Accounts Of Registered Improvement Act of 1996 (NSMIA), Investment Advisers and (ii) exclude certain customer SEC Approves Changes accounts from the requirement to NSMIA and new rules recently To Books And Records obtain certain tax and employment adopted by the SEC under the Requirements information from the customer. Investment Advisers Act of 1940 (Advisers Act) reallocated regulatory Questions concerning this Notice oversight of investment advisers may be directed to Joseph E. Price, between the SEC and the states. Counsel, Advertising/Investment Under the new rules, advisers to reg- Suggested Routing Companies Regulation, NASD Regu- istered investment companies and Senior Management lation, Inc., at (202) 728-8877 or those with assets under manage- Robert J. Smith, Assistant General ment of at least $25 million generally Advertising Counsel, Office of General Counsel, will register exclusively with the SEC. Continuing Education NASD RegulationSM, at (202) 728- Most others will register exclusively 8176. -
ALLSTATE LIFE INSURANCE COMPANY (Exact Name of Registrant)
As filed with the Securities and Exchange Commission on November 3, 2017 REGISTRATION NO. 333-220835 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 PRE-EFFECTIVE AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ALLSTATE LIFE INSURANCE COMPANY (Exact Name of Registrant) ILLINOIS (State or other jurisdiction of incorporation or organization) 36-2554642 (I.R.S. Employer Identification Number) C/O ALLSTATE LIFE INSURANCE COMPANY 3075 SANDERS ROAD NORTHBROOK, ILLINOIS 60062 847/402-5000 (Address, including zip code, and telephone number, including area code, of principal executive offices) C T CORPORATION 208 South LaSalle Street Suite 814 Chicago, IL 60604 (312) 345-4320 (Name, address, including zip code and telephone number, including area code, of agent for service) COPIES TO: JAN FISCHER-WADE, ESQUIRE ALLSTATE LIFE INSURANCE COMPANY 2940 S. 84 th Street Lincoln, NE 68506-4142 Approximate date of commencement of proposed sale to the public: As soon as practicable after the effective date of this registration statement. EXPLANATORY NOTE This Pre-Effective Amendment No. 1 to the Registration Statement on Form S-3, File No. 333-220835, includes facing pages and Part II, including exhibits. This Pre-Effective Amendment No. 1 incorporates by reference the supplements and prospectuses contained in the Form S-3 filed on October 5, 2017. If the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans, please check the following box: ☐ If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, other than securities offered only in connection with dividend or interest reinvestment plans, check the following box. -
SEC News Digest, 01-26-1990
sec nas di ..est Issue 90 ..18 _ January 26, 1990 JAN 2 9 \990 ~.s.SECURITIES ANti ::Xaw«2 COMMISSION WEEKLY CALENDAR The following is a schedule of speaking engagements, Congressional testimony, Commission hearings and other public events involving the Commission for the week of January 29, 1990. (Commission Meetings are announced separately in the News Digest.) Thursday. February 1 * Chairman Breeden will testify before the Senate Subcommittee on Securities of the Senate Banking Committee on Thursday, February 1, beginning at 9:30 a.m. The subject of the hearing, which will be in Room 538 of the Dirksen Senate Office Building, is the Securities Law Enforcement Remedies Act. ·.·~RIM:[NAL••••••})iQc.lat·.G$· ••••·•••••••••·•••••·•·•.•.... QUILLIN PORTER SENTENCED The Fort Worth Regional Office and the U.S. Attorney for the Western District of Arkansas announced that on January 17 Judge H. Franklin Waters sentenced Quillin Porter, formerly of Fayetteville, Arkansas, to 15 years incarceration and restitution of up to $2.2 million. On the same date, J. Bert Curtsinger, a business associate of Porter, was sentenced by Judge Waters to a five-year suspended sentence and restitution of approximately $370,000. Porter had previously pled guilty to mail fraud and the sale of unregistered securities, and Curtsinger had previously pled guilty to mail fraud. The pleas were the result of investigations by the Commission, the U.S. Attorney's Office and the Arkansas Securities Department. On November 29, 1988, Porter was permanently enjoined from future violations of the antifraud and registration provisions of the securities laws and ordered to turn over approximately $30,000 to the trustee in a related bankruptcy. -
Michael N. Ungar Partner | Chair, Litigation Department
Michael N. Ungar Partner | Chair, Litigation Department Overview As Chair of Ulmer’s Litigation Department, Mike is a nationally-recognized trial lawyer who is trusted by his clients to handle their most critical disputes. His practice is focused on complex civil litigation, with an emphasis on commercial and financial services matters. Mike represents clients across the country in a broad range of matters, including the defense of commercial, banking, professional liability, securities, broker- dealer, class action, consumer, product liability, pharmaceutical, and medical device cases. He frequently serves as a mediator and arbitrator, helping find solutions in contentious and complicated disputes. Mike brings a determined, decisive, and results- oriented approach to his cases, which has resulted in his recognition as one of the top trial lawyers in the United States. National Recognition O: 216.583.7002 C: 216.978.8197 Selected as one of the top 100 Trial Lawyers in the country by Benchmark 1660 West 2nd Street, Litigation (2015-2021), which also recognized Mike as a “State Litigation Star,” Suite 1100 defined as an attorney who is recommended consistently as a reputable and Cleveland, OH 44113-1406 effective litigator by clients and peers (2014-2021). [email protected] Recognized in Chambers USA: America’s Leading Lawyers for Business Practices/Industries (2007-2020) and ranked in Band 1 (the highest of six bands) for General Commercial Litigation (only six other Ohio attorneys earned this ranking). The Complex Business qualities on which Chambers USA rankings are assessed include technical legal Litigation ability, professional conduct, client service, commercial astuteness, diligence, Securities & commitment, and other qualities most valued by clients. -
SEC News Digest, 03-24-1981
sec ne igest Issue 81-56 MAR Z 5 1981 March 24, 1981 IIS SECURITIE8 AND RULES AND RELATED MATTERS EXCHANQE COMMISSION PROPO~ED DEFINITIONS OF "SMALL BUSINESS" AND "SMALL ORGANIZATION" FOR PURPOSES OF THE REGULATORY FLEXIBILITY ACT The Commission has issued a release giving interested persons until May 19 to comment on proposed rules under each of the securities laws administered by the Commission that would define the terms "small business" and "small organization" for purposes of the Regulatory Flexibility Act of 1980. Among other things, the Regulatory Flexibility Act requires federal agencies to determine whether proposed and final rules will or are likely to have a significant economic impact upon a substantial number of small entities. The Commission intends to use the proposed definitions in implementing this and other requirements of the Regulatory Flexi- bility Act. Persons wishing to submit written views should file four copies thereof with George A. Fitzsimmons, Secretary, Securities and Exchange commission, 500 North Capitol Street, Washington, D.C. 20549, and should refer to File No. S7-879. All submissions will be available for public inspection. (ReI. 33-6302) FOR FURTHER INFORMATION CONTACT: Jeffry L. Davis at (202) 272-2850 IIVESTMENT COMPANY ACT RELEASES SOUTHWESTERN INVESTORS, INC. A notice has been issued g~v~ng interested persons until April 17 to request a hearing on an application by Southwestern Investors, Inc., Southwestern Investors Income Fund, Inc., Fund of the Southwest, Inc. (collectively, Funds), each a diver- -
All Men, Fraternity Men and ΔKE Scholastic Averages 79.0
DELTA KAPPA EPSILON FRATERNITY Delta Chi Chapter at Cornell University Office of the Alumni Historian ΔΧ of ΔΚΕ Special Study #14: Scholastic Performance in the Post-WWII Deke House The academic progress of Cornell fraternity men was a major concern of the University administration during the years following World War II. The Registrar’s Office compiled tables of average marks for fraternities, sororities and residential living units that were published in the Cornell Alumni News. The Office of the Dean of Students added elaborate statistical analyses to determine what factors led to academic success or failure. For the Cornell Dekes this was a period of embarrassingly poor marks, suspensions and dismissals for reasons of academic deficiency. These woes were compounded with disciplinary actions for dissolute conduct, rush failures and financial mismanagement. The Chapter came within a breath of closing in 1959 and would have had the alumni not stepped into to force corrections. All Men, Fraternity Men and ΔKE Scholastic Averages 79.0 78.0 77.0 76.0 75.0 74.0 73.0 72.0 71.0 70.0 All Men Frat. Avg. ΔKE Avg. Contents Table I – Summary of Grades for the Star League & Big Six Fraternities ..................................... 3 Background ..................................................................................................................................... 4 Chronology ..................................................................................................................................... 6 Fraternity Resident Advisor -
1940-ITHACA Directory-1940 Hz05%
204 1940-ITHACA DIRECTORy-1940 June Mary J wid Geo emp I Laundries Inc Kappa Alpha Lodge 2 Central av h618 Utica " Alpha Theta Sorority 118 Triphammer rd ;: Robt M lab r251 Floral av :: Delta Rho Fraternity 306 Highland rd Cay " Victor E elk 1016 W State r251 Floral av Hts J uracka Anthony J stmftr r624 W State " Delta Sorority 109 Triphammer rd Justice Oren L (Helvia) asst CU h125 Col " Gamma Psi 506 E Seneca legeav "Kappa Gamma Sorority 508 Thurston av " Sigma Lodge 600 University av KAC MARK instr CU rl06 Highland pI Karapetoff Vladimir prof CU res Leonia N J Kahn Dorothy elk CU rl30 Linden av Karch Hyman (Mildred C) prop Holleys " Edw L prntr The Cayuga Press r310 N h230 Renwick dr Ren Hts Geneva Karikka Kate M cashier Gillette Cafeteria Kalamazoo Stove & Furnace Co Earl R rl27% College av , Margeson branch supvr 140 W State :: Mary Mrs pastry cook Gillette Cafeteria rl27% College av Kallfelz Paul F (Dorothea) auditor CGLF Karmelkorn Shop Edwin H Buteux prop 304 Holding Corp hlO06 EState EState Kalman Louis (Susie) pntr and dec 1011 N Kasa Chas lab r304 Dey Cayuga h do Kassman Evelyn F student CU r Belleayre Kampel Kath M maid 402 Cayuga Hts rd Apts (31) Cay Hts r do "Gertrude G (Mrs Saml B) emp Kay's Kana Raymond W (Madelon R) tchr IS Fabric Shop h Belleayre Apts (31) r61l N Aurora Kane Anna C asst to dir dept of pub welfare ;: Leonard E student rl20 Hudson r402 N Albany "Maurice P (Clara) prop AB Brooks & " Charlotte J wid Thos J h402 N Albany Son h120 Hudson "Edw M (Gertrude M) slsmn hZ05% "Noah J (Shirley) student rl20 Hudson -
Securities Law Fifth Circuit Symposium, 34 Loy
Fordham Law School FLASH: The Fordham Law Archive of Scholarship and History Faculty Scholarship 1988 Securities Law Fifth irC cuit Symposium Steve Thel Fordham University School of Law, [email protected] Follow this and additional works at: http://ir.lawnet.fordham.edu/faculty_scholarship Part of the Business Organizations Law Commons, Consumer Protection Law Commons, Legal Ethics and Professional Responsibility Commons, and the Securities Law Commons Recommended Citation Steve Thel, Securities Law Fifth Circuit Symposium, 34 Loy. L. Rev. 1029 (1988-1999) Available at: http://ir.lawnet.fordham.edu/faculty_scholarship/468 This Article is brought to you for free and open access by FLASH: The orF dham Law Archive of Scholarship and History. It has been accepted for inclusion in Faculty Scholarship by an authorized administrator of FLASH: The orF dham Law Archive of Scholarship and History. For more information, please contact [email protected]. SECURITIES LAW Steven S. Thel* The Fifth Circuit decided some important securities cases dur- ing the survey period and issued some interesting opinions. Al- though the court consistently claimed a conservative reliance on precedent and seldom acknowledged making new law, it inter- preted some well-established doctrine in surprising ways. The past year's opinions in fraud cases provide guidance in the related areas of reliance, damages, and plaintiff's due diligence. The year also witnessed important developments in the law governing the rela- tionship between brokerage firms and their clients. The most spectacular development in this area during the sur- vey year was the October collapse in security prices. In light of the crash and increasing volatility in the securities markets, many have come to question the nature of the relationship between the price of securities and their value. -
December 23, 1982 Issue (Dig122382.Pdf)
RULES AND RELATED MATTERS OIL AND GAS PRODUCERS -- FULL COST ACCOUNTING PRACTICES The Commission announced the issuance for comment of two alternative sets of pro- posed amendments to its rules for application of the full cost method of accounting by oil and gas producers. The proposed amendments are intended to clarify the criteria for determining which capitalized costs may 'be excluded from immediate amortization. They would thereby narrow the diversity of practice resulting from varying interpretations of the commission's existing rules which permit the exclu- sion from,amortization of "unusually significant" costs of unproved properties and major development projects. The Commission also announced the issuance of proposed amendments which would clarify its rules on the recognition of gain or loss on sales of oil and gas producing properties. Comments should be submitted to George A. Fitzsimmons, Secretary, Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, DC 20549, on or before April 30, 1983 and should refer to File No. 87-956. All comments will be available for public inspection at the commission's Public Reference Room. (Rel. 33-6445) FOR FURTHER INFORMATION CONTACT: M. Elizabeth Rader or John W. Albert at (202) 272-2130 CRt_NAL PROCEEDINGS JERRY s. MAERAS PLEADS GUILTY The Chicago Regional Office announced that on November 19, before the Honorable William ',Hungate,U.S. District Judge for the Eastern District of Missouri, Jerry s. Ma~ras entered a plea of guilty to a three-count Information charging him with a conspiracy to impede the Department of the Treasury, mail fraud and securities fraud relating to his involvement with Thomas R.