DOCSLIB.ORG

Alpha Sorted by Symbol; Numerical Sorted by NSCC Clearing Participant Then Executing Broker) November 2014

Total Page：16

File Type：pdf, Size：1020Kb

Download full-text PDF Read full-text
Alpha Sorted by Symbol; Numerical Sorted by NSCC Clearing Participant Then Executing Broker) November 2014 Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker) November 2014 Clearing Muni ALLU 0750 Alluvion Securities, LLC CNS MPID No. Name Clearing Allen, Mooney & Barnes ABN Amro Chicago Corporation AMBB 0141 Brokerage Services, LLC CNS AABT 5231 Bond Trading TFT American General Securities Thrivent Investment Management, AMGN 0443 Incorporated CNS AALC 0226 Inc. CNS AMIC 0226 L.S.Y., Inc. CNS ABAI 0309 Abacus Investments, Inc. CNS AMMI 0443 AM&M Investment Brokers, Inc. CNS ABAS 0226 Conover Securities Corporation CNS AMMS 0141 American Municipal Securities Inc. CNS ABLE 0031 Natixis Securities Americas LLC CNS AMNN 0443 American Network Securities Corp. CNS ABPI 0235 Allied Beacon Partners, Inc. CNS AMTD 0188 Ameritrade, Inc. CNS North Star Investment Services, ABYL 0226 Inc. CNS ANBF 0309 ANB Financial Group LLC CNS ACAD 0352 Academy Securities, Inc. CNS ANDG 0235 Garrett (Andrew) Inc. CNS ACBD 0443 American Century Brokerage, Inc. CNS ANOV 0750 Anovest Financial Services, Inc. CNS ACCP 0158 Aegis Capital Corp. CNS ANSR 0443 Anderson & Strudwick, Inc. CNS ACCU 0158 AltaCorp Capital (USA) Inc. CNS ANZS 0443 ANZ Securities, Inc. CNS ACGP 0235 Andes Capital Group, LLC CNS APEX 0443 Rice Financial Products Company CNS ACLP 0235 Alexander Capital, L.P. CNS APFS 0443 America's Portfolio's CNS ACSL 0226 FinTrust Brokerage Services, LLC CNS APTO 0103 Apto Partners, LLC CNS ACTI 0443 Activner Securities, Inc. CNS Cantor Fitzgerald & Co./Aqua ADAK 0052 Adirondack Trading Group, LLC CNS AQUA 7310 Securities, L.P. CNS ADAM 0352 Canaccord Genuity Inc. CNS ARBI 0443 Aufhauser Securities, Inc. CNS ARCH 0226 Investacorp, Inc. CNS American Diversified Financial ADFG 0235 Group, LLC CNS ARGA 0443 Auriga USA, Inc. CNS ADKT 0309 Adirondack Trading Group LLC CNS ARIV 0309 Arive Capital Markets LLC CNS ADSO 0141 Prospera Financial Services CNS ARKA 0443 ARKA Securities, Inc. CNS ADVA 0052 Advanced Equities, Inc. CNS ARTI 0388 Arbor Research & Trading, Inc. CNS AEGC 0512 Aegis Capital Corp. CNS ARVS 0141 Arvest Investments, Inc. CNS AEGS 0750 Aegis Investments, Inc. CNS ASCR 0595 Ascendiant Capital Markets, LLC CNS AFCO 0284 Fried (Albert) & Company, LLC CNS ASEL 0370 Tradition Asiel Securities, Inc. CNS AFGI 0352 Access Financial Group, Inc. CNS ASGI 0235 Alton Securities Group Inc. CNS AFGL 0161 Atlas One Financial Group, LLC CNS ASKR 0141 Askar Corp. CNS Associated Investment Services, AFGR 0052 Avenir Financial Group, Inc. CNS ASOI 0226 Inc. CNS AFGT 0279 Ambassador Financial Group, Inc. CNS ASPN 0309 Aspen Equity Partners, LLC CNS AFIN 0226 All Funds, Inc. CNS ASTI 0226 AST Investor Services LLC CNS AGCP 0235 Aegis Capital Corp. CNS ATGP 0226 Agency Trading Group, Inc. CNS AGIS 0235 Aegis Capital Corp. CNS Strand Atkinson Williams & York, AGSS 0443 Great American Advisors, Inc. CNS ATKC 0141 Inc. CNS AHBI 0352 Abner, Herrman & Brock, Inc. CNS ATPA 0161 Concept Capital Markets, LLC CNS AHSI 0141 American Heritage Securities, Inc. CNS Atlantic Trading Partners ATTR 0235 Incorporated CNS AIAI 0226 LTC Investment Services, Inc. CNS AUDO 0418 Audobon Securities, Inc. CNS AICO 0352 Arcadia Investment Corp. CNS AURA 0750 Aura Financial Services, Inc. CNS AIGF 0443 Sagepoint Financial, Inc. CNS AURC 0052 Aurora Capital LLC CNS AIGI 0279 American Investors Group CNS AVEN 0226 Aventura Securities, LLC CNS AIGN 0226 Sagepoint Financial, Inc. CNS AVIA 0443 Avian Securities, LLC CNS AIRS 0309 Hand Securities, Inc. CNS AVIL 0226 Avila Capital Markets, Inc. CNS American Independent Securities AVML 6704 AVM, L.P. TFT AISG 0235 Group, LLC CNS AVON 0226 Avondale Partners, LLC CNS AJCO 0443 Alexandra & James Co. CNS AXAA 0075 AXA Advisors, LLC CNS AKGS 0141 Alliance Financial Group, Inc. CNS AXCB 0443 Access Securities, Inc. CNS ALAC 0309 Alamo Capital CNS AXIO 0352 Axiom Capital Management, Inc. CNS ALAD 0235 Alliance Advisory & Securities, Inc. CNS AYME 0052 Martinez-Ayme Securities CNS ALEN 0141 Allen & Company of Florida, Inc. CNS AZAD 0750 Alzaid Financial Services, Inc. CNS ALIN 0309 Alanar Incorporated CNS Alexander Investment Services BAIN 0279 Bankers & Investors Co. CNS ALIS 0235 Co. CNS BAKR 6069 James Baker & Associates, L.P. TFT ALLE 0226 Alleghany Investments Inc. CNS BALL 0443 Ballew Investments, Inc. CNS 1 Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker) November 2014 BANF 0443 Banif Securities Inc. CNS BHKS 0141 BHK Securities, LLC CNS BANK 0701 Cetera Investment Services LLC CNS BHLP 0226 Belle Haven Investments, LP CNS BAQP 0443 Burke & Quick Partners LLC CNS BHSE 0309 The Bond House CNS Baird (Robert W.) & Co., BICA 0443 Beacon Investment Company CNS BARD 0547 Incorporated CNS BIDS 0161 BIDS Trading L.P. CNS BARR 0226 Barrett & Company CNS BIGS 0352 PCBB Capital Markets, LLC CNS BAUM 0129 Baum (George K.) & Co. TFT Brownstone Investment Group, BBBI 0443 Bluebid Brokerage, LLC CNS BIGZ 0443 LLC CNS BBCC 0750 BankersBanc Capital Corporation CNS BIMI 0136 Banca IMI Securities Corp. CNS BBGC 0235 Graham (B.B.) & Company CNS BISH 0226 Bishop, Rosen & Co., Inc. CNS BBID 6409 Bankers Bank TFT BJCM 0750 Essex Securities LLC CNS BBII 0235 Sierra Equity Group Ltd. CNS BJRC 0235 Cascade Investment Group, Inc. CNS Performance Trust Capital BKCM 0443 BNY Capital Markets Inc. CNS BBNI 0443 Partners, Inc. CNS Broker Dealer Financial Services BKFC 0141 Corp. CNS BBNT 0702 BB&T Securities, LLC CNS BKRT 0235 Buckman, Buckman & Reid, Inc. CNS BBTT 0702 BB&T Investment Services, Inc. CNS Barclays Capital, Inc./Fixed BKVW 0443 Brookview Capital LLC CNS BCAP 7256 Income CNS BLAY 0443 Bley Investments Group, Inc. CNS BCCS 0443 BAC Florida Investments Corp. CNS BLCK 7031 Black (James I.) & Co. CNS BCLE 0229 Barclays Capital, Inc./LE CNS BLKB 0642 Blackburn & Company CNS BCLT 0309 Barton Creek Ltd. CNS BLNI 0226 Ameritas Investment Corp. CNS BCMI 0235 Blackwall Capital Markets, Inc. CNS Braymen, Lambert and Noel BCMR 0443 BBVA Investments Inc. CNS BLNS 0309 Securities, Ltd. CNS BCOM 0235 Baker & Co., Incorporated CNS Butler Larsen Pierce & Company, BLPC 0279 Inc. CNS BCPI 0309 GVC Capital LLC CNS BLTN 0235 Bolton Securities Corporation CNS BCRK 0309 Bear Creek Securities, LLC CNS BLTS 0443 Bulltick Securities, Inc. CNS BCSB 0352 Blue Capital Securities, Inc. CNS BMAC 0052 BMA Securities CNS BCZC 0443 Ziegler (B.C.) & Company CNS Backstrom McCarley Berry & Co., BDDK 0226 BondDesk Trading LLC CNS BMCB 0103 LLC CNS BDIR 0352 Jefferies & Co., Inc. CNS BMKS 0309 Benchmark Securities LLC CNS BDON 0750 Bond One, LLC CNS BMRK 0235 Benchmark Investments, Inc. CNS BDST 0352 Broad Street Securities CNS BMSA 0443 Mariva Capital Markets, LLC CNS BDTR 0226 Bonddesk Trading, LLC CNS BMUR 0443 Brean Capital, LLC CNS Beaconsfield Financial Services, Bellamah, Neuhauser & Barrett, BEAF 0235 Inc. CNS BNBB 0443 Inc. CNS BEAL 0443 Beal (M.R.) & Company CNS BNCH 0352 Benchmark Company, LLC (The) CNS BEAR 0352 J.P. Morgan Securities, Inc. CNS BNDI 0443 Bernardi Securities, Inc. CNS BECS 0443 Becker & Suffern Ltd. CNS BNDS 0443 Bonds.com, Inc CNS BEJJ 0052 Benjamin & Jerold Brokerage, Inc. CNS BNKS 0141 FIG Partners, LLC CNS Beloyan Investment Securities, BELO 0052 Inc. CNS Bozarth, Newton & Murphy BNMI 0226 Securities, Inc. CNS BELS 0352 Bel Air Securities LLC CNS BNPS 2154 BNP Paribas Securities Corp. CNS BEMC 0235 Berghoff & Company, Inc. CNS BNYN 0226 Banyan Securities, LLC CNS Bermuda Investment Advisory BOBO 0235 Penates Group Inc. CNS BERM 0443 Services CNS BERN 0013 Bernstein (Sanford C.) & Co., Inc. CNS Merrill Lynch, Pierce, Fenner & BOFA 0773 Smith Incorporated/Fixed Income CNS BEST 0352 J.P. Morgan Securities, Inc. CNS BOKF 6757 BOSC, Inc. TFT BFEW 0443 Bill Few Associates, Inc. CNS BOKI 0443 BOSC, Inc. CNS Berthel, Fisher & Company BOKL 6752 Bank of Oklahoma, N.A. TFT BFFI 0226 Financial Services, Inc. CNS BOLL 0309 Bodell Overcash Anderson & Co. CNS BFSL 0235 Briggs-Ficks Securities, LLC CNS BOSC 0141 Boenning & Scattergood, Inc. CNS BGCF 0537 BGC Financial, L.P. CNS BOTZ 0052 Botzum (C.A.) & Company CNS BGHT 0141 Brighton Securities Corp. CNS BOYR 0443 Mark Boyar & Co., Inc. CNS BGIA 0226 Biondo Asset Management LLC CNS BOYS 0226 Financial Advisers of America, LLC CNS BGIS 0352 BlackRock Execution Services CNS BPAT 0443 Baird Patrick & Co., Inc. CNS BGSG 0226 CBIZ Financial Solutions, Inc. CNS BNP Paribas Prime Brokerage, BHII 0443 Belle Haven Investments, LP CNS BPBI 2154 Inc. CNS 2 Muni Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker) November 2014 BPCO 0750 Blount Parrish & Co., Inc. CNS CALT 0279 Calton & Associates, Inc. CNS Gleacher & Company Securities, CAMC 0052 Cambria Capital, LLC CNS BPSG 0443 Inc. CNS Comprehensive Asset BPWP 0226 Buttonwood Partners, Inc. CNS CAMS 0443 Management and Servicing, Inc. CNS BRBR 0279 Brown & Brown Securities, Inc. CNS CANR 0103 Cantone Research, Inc. CNS BRCY 0443 BCP Securities, LLC CNS CANT 0696 Cantor Fitzgerald & Co. TFT BRGE 0052 Newbridge Securities Corporation CNS CAPB 0750 Capital Investment Brokerage Inc. CNS BRGI 0235 Advanced Asset Trading, Inc. CNS CAPE 0279 Cape Securities, Inc. CNS BRIL 0352 Brill Securities, Inc. CNS CAPG 0750 Capital Investment Group, Inc. CNS BRIT 0226 Brittingham, Inc. CNS CAPI 0443 Capital Analysts Inc. CNS Birkelbach Investment Securities, BRKE 0443 Inc. CNS CAPT 0512 Capital Path Securties CNS BRLI 0226 Brown, Lisle/Cummings, Inc. CNS CARC 0702 Carolina Capital Markets, Inc. CNS First Bermuda Securities (BVI), CARL 0443 Base Securities LLC CNS BRMF 0158 Ltd. CNS CART 0443 Carty & Company, Inc. CNS BRNK 0226 Brinker Capital Securities Corp. CNS CARY 0141 Cary Street Partners LLC CNS BRNM 0352 Burnham Securities Inc. CNS Chicago Analytic Trading BRNT 0235 Brent (H.D.) & Company, Inc. CNS CATC 0443 Company, LLC CNS Barrington Research Associates, CATE 0235 Carter, Terry & Company, Inc.
Load more

Recommended publications
  • TEACHERS' RETIREMENT SYSTEM of the STATE of ILLINOIS 2815 West Washington Street I P.O
    Teachers’ Retirement System of the State of Illinois Compliance Examination For the Year Ended June 30, 2020 Performed as Special Assistant Auditors for the Auditor General, State of Illinois Teachers’ Retirement System of the State of Illinois Compliance Examination For the Year Ended June 30, 2020 Table of Contents Schedule Page(s) System Officials 1 Management Assertion Letter 2 Compliance Report Summary 3 Independent Accountant’s Report on State Compliance, on Internal Control over Compliance, and on Supplementary Information for State Compliance Purposes 4 Independent Auditors’ Report on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards 8 Schedule of Findings Current Findings – State Compliance 10 Supplementary Information for State Compliance Purposes Fiscal Schedules and Analysis Schedule of Appropriations, Expenditures and Lapsed Balances 1 13 Comparative Schedules of Net Appropriations, Expenditures and Lapsed Balances 2 15 Comparative Schedule of Revenues and Expenses 3 17 Schedule of Administrative Expenses 4 18 Schedule of Changes in Property and Equipment 5 19 Schedule of Investment Portfolio 6 20 Schedule of Investment Manager and Custodian Fees 7 21 Analysis of Operations (Unaudited) Analysis of Operations (Functions and Planning) 30 Progress in Funding the System 34 Analysis of Significant Variations in Revenues and Expenses 36 Analysis of Significant Variations in Administrative Expenses 37 Analysis
    [Show full text]
  • MARKETAXESS HOLDINGS INC. (Exact Name of Registrant As Specified in Its Charter)
    Exhibit I-3 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-34091 MARKETAXESS HOLDINGS INC. (Exact name of registrant as specified in its charter) Delaware 52-2230784 (State of incorporation) (IRS Employer Identification No.) 299 Park Avenue, New York, New York 10171 (Address of principal executive offices) (Zip Code) (212) 813-6000 (Registrant’s telephone number, including area code) SECURITIES REGISTERED PURSUANT TO SECTION 12(b) OF THE ACT: Title of each class: Name of each exchange on which registered: Common Stock, par value $0.003 per share NASDAQ Global Select Market SECURITIES REGISTERED PURSUANT TO SECTION 12(g) OF THE ACT: None Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes x No ¨ Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. Yes ¨ No x Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) 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 (2) has been subject to such filing requirements for the past 90 days.
    [Show full text]
  • Financial Technology Sector Report
    FINTECH SECTOR REPORT October 2018 Q3 2018 INSURANCE TECHNOLOGY SECTOR SUMMARY Case Study: Sale of QuoteWizard.com LLC to LendingTree, Inc. (NasdaqGS: TREE) GCA acted as exclusive financial advisor to QuoteWizard, provider of a customer acquisition technology platform, on its sale to LendingTree. Transaction Summary Strategic Rationale ▪ On October 4th, 2018, QuoteWizard.com LLC ▪ QuoteWizard will immediately establish LendingTree as a (“QuoteWizard”) announced it had entered into a leader in the high growth online insurance market definitive agreement to be acquired by LendingTree, Inc. − Since its founding in 2006, QuoteWizard has helped (NasdaqGS:TREE) (“LendingTree”) for up to $370MM over 40 million consumers compare and find TRANSACTION DETAILS − $300MM in up-front consideration at close, payable insurance policies online Closed in cash October 2018 ▪ QuoteWizard’s customer acquisition technology platform − $70MM in potential earn-out consideration based and network of over 30 top tier carriers and 10,000 SECTOR on achievement of certain growth milestones in the insurance agents across the country create a scale and Insurance Technology first three years following transaction close network advantage for high-quality insurance lead distribution Digital Media ▪ The QuoteWizard management team, led by CEO Scott Peyree, will continue as QuoteWizard leadership − Will significantly expand LendingTree’s relationships DEAL TYPE following closing with insurance carriers and agents enable cross M&A ▪ QuoteWizard generated $75.6MM in revenue
    [Show full text]
  • 2015 GIOA Corporate Attendees
    2015 GIOA Corporate Attendees Last Name First Name Title Entity Hall Wes Vice President, Investments Alamo Capital Mullally Ben Vice President, Investments Alamo Capital Bove Dave Managing Director Amherst Pierpont Brudzinski Beau Vice President Amherst Pierpont DiCamillo, CFA Dan Vice President Amherst Pierpont Markaity Dan Consultant Amherst Pierpont Teifeld Mike Managing Director Amherst Pierpont Holmen Christopher Investments Andress Enterprises Deshmukh Nisha Vice President, Business Development ASPN Solutions Li Shen Trader Bank of America Merrill Lynch Hayes Sean Vice President, SSA Origination & Syndicate Bank of Montreal Conley Craig Vice President - Fixed Income Bank of the West Ching Jerry Agency Trader Barclays Fisher Michael Rates Sales Barclays Bjursten Peter Director Barclays Capital Boyd Lewis Agency Trader BB&T Capital Markets Short Tom Senior Vice President BB&T Capital Markets Tollefsen Ed Senior Vice President Blaylock Beal Van LLC Graham Scott Co-Head Fixed Inc Sales US/Head Prim Dealer BMO Capital Markets Pilsbury Bill Interest Rate Sales BMO Capital Markets Mitrovich Mark Vice Pres - Institutional Market BMO Harris Bank Preiner David B. National Director - Relationship Devel BMO Trust & Custody Services Gavula Steve Vice President - Fixed Income BNP Paribas Mulhern Stephen Vice President BNP Paribas Shubert Craig Director BNP Paribas Hennessy Anna Vice President, Sales BNY Mellon Isaac David Managing Director BNY Mellon Jacobs Christopher Head of Sales BNY Mellon Coughlin Sean Vice President BNY Mellon Capital Markets Jemison Johnnie VP, Senior Portfolio Manager BNY Mellon Wealth Management Glidden Jason Vice Pres - Institutional Fixed Income BOSC, Inc Lewis Camee Vice President BOSC, Inc Maher Brian Taxable Trader BOSC, Inc Rietveld Joel Fixed Income Strategy BOSC, Inc Fitzpatrick Michael (Mike) Managing Director Brean Capital, LLC Sapoch William (Bill) Director Brean Capital, LLC Wells Les Marketing Consultant Business Data Links, Inc.
    [Show full text]
  • Disciplined Alpha Dividend As of 6/30/2021
    Disciplined Alpha Dividend As of 6/30/2021 Equity Sectors (Morningstar) Growth of $100,000 % Time Period: 1/1/2003 to 6/30/2021 Consumer Defensive 22.3 625,000 Healthcare 15.8 550,000 Consumer Cyclical 14.7 Financial Services 13.9 475,000 Industrials 12.6 400,000 Technology 8.2 325,000 Energy 4.4 250,000 Communication Services 3.7 Real Estate 2.5 175,000 Basic Materials 1.9 100,000 Total 100.0 25,000 Strategy Highlights Pursues a high level of current income and long-term capital appreciation utilizing Trailing Returns Inception Date: 1/1/2003 proprietary top-down and bottom-up analysis Seeks a substantially higher dividend yield than the broad market YTD 1 Yr 3 Yrs 5 Yrs 10 Yrs 15 Yrs Incpt Invests primarily in 25- 50 companies with dividend growth potential Disciplined Alpha Dividend (Gross) 16.19 40.38 14.47 14.15 12.74 10.09 10.18 Offers the potential for competitive upside performance in strong market Disciplined Alpha Dividend (Net) 15.63 39.02 13.28 12.93 11.51 8.82 8.90 environments and the potential for lower downside risk in weak environments Morningstar US Value TR USD 17.03 41.77 10.76 11.29 10.92 7.61 9.43 Calendar Year Returns Disciplined Alpha Dividend – Top Holdings* 2020 2019 2018 2017 2016 2015 2014 2013 2012 2011 Portfolio Disciplined Alpha Dividend (Gross) 8.62 25.26 -3.48 16.20 17.06 -3.52 11.05 38.86 10.97 2.96 Weighting % Disciplined Alpha Dividend (Net) 7.51 23.91 -4.54 14.93 15.72 -4.58 9.81 37.33 9.67 1.77 Exxon Mobil Corp 2.52 Welltower Inc 2.43 Morningstar US Value TR USD -1.31 25.09 -7.51 14.23 20.79 -2.16
    [Show full text]
  • 17-19 November 2020
    17-19 November 2020 https://financeusa.solarenergyevents.com Confirmed Organizations: 38 DEGREES NORTH EC CAPITAL NATURAL POWER CONSULTANTS AB POWER ADVISORS ECOS ENERGY NAUTILUS SOLAR ENERGY, LLC AETHER INVESTMENT PARTNERS EMERGING ENERGY & ENVIRONMENT INVESTMENT GROUP LLC NEW ENERGY EQUITY AGILITAS ENERGY, LLC ENBALANCE STORAGE NJR CLEAN ENERGY VENTURES AMARESCO ENCORE RENEWABLE ENERGY NORD LB AMERICAS ENERGY GROUP ENEL X NUVEEN, A TIAA COMPANY APRICITY RENEWABLES INC. ENERGY STORAGE DEVELOPMENT PARTNERS ONYX RENEWABLE PARTNERS, LP. ASCEND ANALYTICS ENERGY TOOLBASE ORIGIS ENERGY AVANA CAPITAL ENERVEST CAPITAL ORIGIS SERVICES BLACKROCK FTI CONSULTING PEAK POWER BLATTNER ENERGY GINLONG TECHNOLOGIES PIVOT ENERGY BLOOMBURG GLOBUS THENKEN POWER AFRICA-USAID BLUE WAVE SOLAR GRIDSME PV TECH RESEARCH BNRG HECATE ENERGY RABOBANK BORALEX HELIOLYTICS RADIENT REIT BOSTONIA PARTNERS HELIOVAAS RIGUP BRETTS SOLUTIONS HODGSON RUSS ROTH CAPITAL PARTNERS BRIGHTNIGHT INVESTEC HOLDINGS SEMINOLE FINANCIAL SERVICES BVT ITRI SILICON RANCH C2 ENERGY CAPITAL JAVELIN CAPITAL SOLAMERICA ENERGY CALVERT IMPACT CAPITAL JINKO SOLAR SOLAR RANCH DEVELOPMENT CENTROPLAN USA LLC KAISERWETTER ENERGY ASSET MANAGEMEMT SOLAR RANCH DEVELOPMENT COMPANY CIT BANK KEYBANC CAPITAL MARKETS SOLARIS GLOBAL LLC CITADEL LECLANCHE SOLAS ENERGY CONSULTING CLEAN HORIZON LIBERTY RENEWABLES SOLIS INVERTERS CLEANCAPITAL LIGHTSOURCE BP STANDARD SOLAR INC. CLIFFVIEW PARTNERS LIVE OAK BANK STARKPOINT CAPITAL ADVISORS, LLC CNB LONGI SOLAR STEM COMMONWEALTH BANK OF AUSTRALIA LS POWER SUNLIGHT GENERAL CAPITAL COMMUNITY ENERGY M&T BANK SUNTECH CONEDISON MAP ENERGY SUSGEN CPS ENERGY MARATHON CAPITAL SUSTAINABLE WESTCHESTER CUBICO MITSUBISHI HEAVY INDUSTRIES AMERICA, INC. TMEIC CUSTOMIZED ENERGY SOLUTIONS MOMENTUM ENERGY STORAGE PARTNERS TORTOISE ADVISORS DAYMARK ENERGY ADVISORS MONARCH PRIVATE CAPITAL U.S. DEPARTMENT OF ENERGY DLA PIPER MOTT MACDONALD UL DNV-GL MUNICHRE USAID/ POWER AFRICA.
    [Show full text]
  • Download IPO Report
    Donnelley Financial Solutions US IPO Report - December 2020 Edition Congratulations to the 74 December issuers and their advisors on the ~$159 Billion "2020 - an unforgettable year for IPOs! successful completion of their IPO. As I look back on all the successes we Total Raised in 2020 DFIN was proud to have serviced shared with our clients - perseverance, AbCellera Biologics, Altitude hard work, compassion, and great Acquisition, BioAtla, CBRE partnerships led us to successfully Acquisition, 17 Education & 2020 Priced (count) complete 197 IPOs during a year with Technology Group, 4D Molecular 100 so many challenges. An incredibly Therapeutics, Wish, DoorDash, active pipeline, robust valuations, Far Peak Acquisition, Golden vaccine deployment and newfound Falcon Acquisition, Gores hope brings much optimism for 2021." Holding VI, Marquee Raine CRAIG CLAY, PRESIDENT, DONNELLEY FINANCIAL SOLUTIONS 0 Acquisition, Periphas Capital JAN FEB MAR APR MAY JUNE JULY AUG SEP OCT NOV DE… Partnering, Pharming Group NV, Silverback Therapeutics, Thayer 91 League Table *Top 25 Ventures Acquisition, Upstart Issuer's Counsel Count Holdings, and the largest offering IPOs publicly filed in December Ellenoff Grossman 48 this year Airbnb! bringing total count for 2020 to 621. In Kirkland & Ellis 41 2019, there were 293 total filings and Skadden Arps 38 Latham & Watkins LLP 33 296 in 2018. 156 of 2020 filings are Cooley LLP 30 December Priced (count) pending pricing. Goodwin Procter 27 2017 (15) White & Case 23 Davis Polk 19 Sector Breakdown (non-SPACs) 2018 (17) Loeb & Loeb 16 Wilson Sonsini 16 49.8% Healthcare 2019 (13) Winston & Strawn 15 24.08% Technology Ropes & Gray 14 2020 (74) Weil Gotshal 14 11.42% Consumer 2020 Priced Simpson Thacher 11 7.35% Industrial Graubard Miller 9 Greenberg Traurig 9 7.35% Financial 50% of the priced IPOs in 2020 were Paul Weiss 7 SPACs with a total count for the year Sheppard Mullin 7 WilmerHale 7 248 with a total valuation of ~$76 Healthcare Fenwick & West 6 billion.
    [Show full text]
  • The Toronto-Dominion Bank U.S. Resolution Plan Section I: Public Section December 31, 2018
    The Toronto-Dominion Bank U.S. Resolution Plan Section I: Public Section December 31, 2018 THIS PAGE LEFT WAS LEFT BLANK INTENTIONALLY The Toronto-Dominion Bank – U.S. Resolution Plan Public Section Table of Contents Table of Contents I. SUMMARY of RESOLUTION PLAN ______________________________________________ 4 A. Resolution Plan Requirements ______________________________________________________ 4 B. Name and Description of Material Entities ____________________________________________ 6 C. Name and Description of Core Business Lines __________________________________________ 8 D. Summary Financial Information – Assets, Liabilities, Capital and Major Funding Sources _______ 9 E. Description of Derivative and Hedging Activities _______________________________________ 12 F. Memberships in Material Payment, Settlement and Clearing Systems _____________________ 13 G. Description of Foreign Operations __________________________________________________ 14 H. Material Supervisory Authorities ___________________________________________________ 15 I. Principal Officers ________________________________________________________________ 17 J. Resolution Planning Corporate Governance Structure & Process __________________________ 19 K. Description of Material Management Information Systems ______________________________ 20 L. High Level Description of Resolution Strategy _________________________________________ 21 Page | 3 The Toronto-Dominion Bank – U.S. Resolution Plan Public Section I. Summary of Resolution Plan A. Resolution Plan Requirements
    [Show full text]
  • Td Bank Group Q 2 202 1 Earnings Conference Call May 2 7 , 202 1 Disclaimer
    TD BANK GROUP Q 2 202 1 EARNINGS CONFERENCE CALL MAY 2 7 , 202 1 DISCLAIMER THE INFORMATION CONTAINED IN THIS TRANSCRIPT IS A TEXTUAL REPRESENTATION OF THE TORONTO-DOMINION BANK’S (“TD”) Q2 2021 EARNINGS CONFERENCE CALL AND WHILE EFFORTS ARE MADE TO PROVIDE AN ACCURATE TRANSCRIPTION, THERE MAY BE MATERIAL ERRORS, OMISSIONS, OR INACCURACIES IN THE REPORTING OF THE SUBSTANCE OF THE CONFERENCE CALL. IN NO WAY DOES TD ASSUME ANY RESPONSIBILITY FOR ANY INVESTMENT OR OTHER DECISIONS MADE BASED UPON THE INFORMATION PROVIDED ON TD’S WEB SITE OR IN THIS TRANSCRIPT. USERS ARE ADVISED TO REVIEW THE WEBCAST (AVAILABLE AT TD.COM/INVESTOR) ITSELF AND TD’S REGULATORY FILINGS BEFORE MAKING ANY INVESTMENT OR OTHER DECISIONS. FORWARD - LOOKING INFORMATION From time to time, the Bank (as defined in this document) makes written and/or oral forward-looking statements, including in this document, in other filings with Canadian regulators or the United States (U.S.) Securities and Exchange Commission (SEC), and in other communications. In addition, representatives of the Bank may make forward-looking statements orally to analysts, investors, the media and others. All such statements are made pursuant to the “safe harbour” provisions of, and are intended to be forward-looking statements under, applicable Canadian and U.S. securities legislation, including the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements include, but are not limited to, statements made in this document, in the Quarterly Report to Shareholders for the quarter ended April 30, 2021 under the heading “How We Performed”, including under the sub-headings “Economic Summary and Outlook” and “The Bank's Response to COVID-19”, and under the heading “Managing Risk”, and statements made in the Management’s Discussion and Analysis (“2020 MD&A”) in the Bank’s 2020 Annual Report under the headings “Economic Summary and Outlook” and “The Bank’s Response to COVID-19”, for the Canadian Retail, U.S.
    [Show full text]
  • Office of the State Treasurer Summary of Responses to Request For
    Office of the State Treasurer Summary of Responses to Request for Disclosure July 1, 2017 through June 30, 2018 INVESTMENT PAID 3RD COMPANY NAME DIVISION SERVICES PAYMENT ARRANGEMENTS COMMENTS PARTY FEES? PROVIDER? Aberdeen Asset Management Inc. PFM Yes No ACA Financial Guaranty Corporation DEBT Yes No Acacia Financial Group, Inc. DEBT Yes No Academy Securities DEBT Yes No Acadian Asset Management, Inc. PFM Yes No AIG Financial Products Corp. DEBT Yes No Alliance Bernstein ("AB") PFM Yes No Altaris Constellation Partners IV, L.P. PFM Yes No Altaris Health Partners II, L.P. PFM Yes No Altaris Capital Partners, LLC was paid management fees Management fees are permissible third party payments. (See C.G.S. § Altaris Health Partners III, L.P. PFM Yes Yes totaling $180,961 pursuant to the Limited Partnership 3-13l (b)(2). Agreement. Altaris Capital Partners, LLC was paid management fees Management fees are permissible third party payments. (See C.G.S. § Altaris Health Partners IV, L.P. PFM Yes Yes totaling $86,119 pursuant to the Limited Partnership 3-13l (b)(2). Agreement. Ambac Assurance Corporation DEBT Yes No American Realty Advisors PFM Yes No AMTEC Corp. DEBT No No Anderson, Kill & Olick PFM Yes No Aon Hewitt Investment Consulting, Inc. PFM Yes No Apollo Capital Management VIII, LLC PFM Yes No Apollo Capital Management IX, LLC PFM Yes No Appomattox Advisers, Inc. PFM Yes No (Thomas Welles Fund I, LLC ) AQR Capital Management, LLC PFM Yes No Arclight Energy Partners Fund V, L.P. PFM Yes No TransPacific Group LLC was paid $2,100,000 in connection Placement agent fees are permissible third party payments.
    [Show full text]
  • The Hidden Alpha in Equity Trading Steps to Increasing Returns with the Advanced Use of Information
    THE HIDDEN ALPHA IN EQUITY TRADING STEPS TO INCREASING RETURNS WITH THE ADVANCED USE OF INFORMATION TABLE OF CONTENTS 1 INTRODUCTION 4 2 MARKET FRAGMENTATION AND THE GROWTH OF INFORMATION 5 3 THE PROLIFERATION OF HIGH FREQUENCY TRADING 8 4 FLASH CRASHES, BOTCHED IPOS AND OTHER SYSTEMIC CONCERNS 10 5 THE CHANGING INVESTOR-BROKER RELATIONSHIP 11 6 THE INFORMATION OPPORTUNITY FOR INSTITUTIONAL INVESTORS 13 7 STEPS TO FINDING HIDDEN ALPHA AND INCREASED RETURNS 15 1. INTRODUCTION Following regulatory initiatives aimed at creating THE TIME DIFFERENCE IN TRADING competition between trading venues, the equities market has fragmented. Liquidity is now dispersed ROUTES; PEOPLE VS. COMPUTERS across many lit equity trading venues and dark pools. This complexity, combined with trading venues becoming electronic, has created profit opportunities for technologically sophisticated players. High frequency traders (HFTs) use ultra-high speed connections with trading venues and sophisticated trading algorithms to exploit inefficiencies created by the new market vs. structure and to identify patterns in 3rd parties’ trading that they can use to their own advantage. Person Computer For traditional investors, however, these new market conditions are less welcome. Institutional investors find JUST HOW FAST ARE TRADERS PROCESSING TRADES? themselves falling behind these new competitors, in » Traders that take advantage of technology can create large part because the game has changed and because programs that trade in milliseconds. In many cases they lack the tools
    [Show full text]
  • Deutsche Bank Securities Complaint
    UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK SECURITIES AND EXCHANGE COMMISSION, 450 Fifth Street, N.W. Washington, D.C. 20549-0801, Plain tiff, COMPLAINT - against - DEUTSCHE BANK SECURITIES INC., 31 West 52nd Street New York, New York 10019, Defendant. Plaintiff Securities and Exchange Commission (the "Commission" or "SEC") alleges: NATURE OF THE ACTION 1. The Commission brings this action against defendant Deutsche Bank Securities Inc. ("Deutsche Bank" or "Defendant") to redress Deutsche Bank's violations of the Securities Act of 1933 ("Securities Act"), the Securities Exchange Act of 1934 ("Exchange Act"), and rules of NASD Inc. ("NASD") and the New York Stock Exchange, Inc. ("NYSE"). 2. From July 1999 through June 2001 (the "relevant period"), Deutsche Bank engaged in acts and practices that created and/or maintained inappropriate.influence by investment banking over research analysts, thereby creating conflicts of interest for its research analysts. Deutsche Bank failed to manage these conflicts in an adequate manner. During this time period, Deutsche Bank offered research coverage in order to gain investment banking business and receive investment banking fees. It also received over $1 million from other investment banks to provide research coverage of their investment banking clients, and made payments of approxiniately $10 million to other securities finns primarily for research coverage for its investment banking clients. In addition, Deutsche Bank compensated its research analysts based in part upon their contributions to Deutsche Bank's investment banking business. These relationships and activities constituted substantial conflicts of interest for Deutsche Bank's research analysts. 3. Deutsche Bank failed to establish and maintain adequate policies and procedures reasonably designed to manage these conflicts of interest.
    [Show full text]