SECURITY BROKERS, DEALERS & FLOTATION COMPANIES

Latest 10-K SEC Filings
Annual report [Section 13 and 15(d), not S-K Item 405]

ADVEST GROUP INC, 10-K, 2001-01-16
AMERITRADE HOLDING CORP, 10-K, 2000-12-22
RAYMOND JAMES FINANCIAL INC, 10-K, 2000-12-22
E TRADE GROUP INC, 10-K, 2000-11-09
MORGAN KEEGAN INC, 10-K, 2000-10-27
SOUTHWEST SECURITIES GROUP INC, 10-K, 2000-09-28
NATIONAL DISCOUNT BROKERS GROUP INC, 10-K, 2000-08-18
MACKENZIE INVESTMENT MANAGEMENT INC, 10-K, 2000-06-29
LEGG MASON INC, 10-K, 2000-06-28
EDWARDS A G INC, 10-K, 2000-05-30
MEYERSON M H & CO INC /NJ/, 10-K, 2000-04-28
JWGENESIS FINANCIAL CORP /, 10-K, 2000-04-03
MERRILL LYNCH PREFERRED CAPITAL TRUST VI, 10-K, 2000-03-30
GABELLI ASSET MANAGEMENT INC, 10-K, 2000-03-30
NUVEEN JOHN COMPANY, 10-K, 2000-03-30
DEAN WITTER GLOBAL PERSPECTIVE PORTFOLIO L P, 10-K, 2000-03-30
HOENIG GROUP INC, 10-K, 2000-03-30
JONES FINANCIAL COMPANIES LP LLP, 10-K, 2000-03-30
ZIEGLER COMPANIES INC, 10-K, 2000-03-30
FIRST MONTAUK FINANCIAL CORP, 10-K, 2000-03-30
KNIGHT TRIMARK GROUP INC, 10-K, 2000-03-29
FRIEDMAN BILLINGS RAMSEY GROUP INC, 10-K, 2000-03-29
FIRST ALBANY COMPANIES INC, 10-K, 2000-03-29
SEI CORP, 10-K, 2000-03-29
KINNARD INVESTMENTS INC, 10-K, 2000-03-29
SIEBERT FINANCIAL CORP, 10-K, 2000-03-29
INVESTMENT TECHNOLOGY GROUP INC, 10-K, 2000-03-28
SCHWAB CHARLES CORP, 10-K, 2000-03-28
JEFFERIES GROUP INC, 10-K, 2000-03-27
FREEDOM SECURITIES CORP /DE/, 10-K, 2000-03-24
PEOPLES FINANCIAL SERVICES CORP/, 10-K, 2000-03-23
WADDELL & REED FINANCIAL INC, 10-K, 2000-03-23
FAHNESTOCK VINER HOLDINGS INC, 10-K, 2000-03-21
LEHMAN BROTHERS HOLDINGS INC, 10-K, 2000-02-28
GOLDMAN SACHS GROUP INC, 10-K, 2000-02-14
CENTURY PACIFIC FINANCIAL CORP, 10-K, 2000-01-13
EVISION USA COM INC, 10-K, 1999-12-29
AMERITRADE HOLDING CORP, 10-K, 1999-12-23
RAYMOND JAMES FINANCIAL INC, 10-K, 1999-12-22
RAGEN MACKENZIE GROUP INC, 10-K, 1999-12-20
ADVEST GROUP INC, 10-K, 1999-12-20
MORGAN KEEGAN INC, 10-K, 1999-10-26
E TRADE GROUP INC, 10-K, 1999-10-22
BEAR STEARNS COMPANIES INC, 10-K, 1999-09-28
SOUTHWEST SECURITIES GROUP INC, 10-K, 1999-09-23
NATIONAL DISCOUNT BROKERS GROUP INC, 10-K, 1999-08-19
LEGG MASON INC, 10-K, 1999-06-28
GABELLI ASSET MANAGEMENT INC, 10-K, 1999-05-11
RESEARCH PARTNERS INTERNATIONAL INC, 10-K, 1999-05-03
FIRST MONTAUK FINANCIAL CORP, 10-K, 1999-04-15
FREEDOM SECURITIES CORP /DE/, 10-K, 1999-03-31
NUVEEN JOHN COMPANY, 10-K, 1999-03-31
HOENIG GROUP INC, 10-K, 1999-03-31
INTERVEST CORPORATION OF NEW YORK, 10-K, 1999-03-31
JONES FINANCIAL COMPANIES LP LLP, 10-K, 1999-03-31
FAHNESTOCK VINER HOLDINGS INC, 10-K, 1999-03-30
STIFEL FINANCIAL CORP, 10-K, 1999-03-30
SCHWAB CHARLES CORP, 10-K, 1999-03-30
PEOPLES FINANCIAL SERVICES CORP/, 10-K, 1999-03-29
SEI CORP, 10-K, 1999-03-29
FIRST ALBANY COMPANIES INC, 10-K, 1999-03-26
ZIEGLER COMPANIES INC, 10-K, 1999-03-26
KNIGHT TRIMARK GROUP INC, 10-K, 1999-03-24
KINNARD INVESTMENTS INC, 10-K, 1999-03-24
WADDELL & REED FINANCIAL INC, 10-K, 1999-03-19
INVESTMENT TECHNOLOGY GROUP INC, 10-K, 1999-03-19
TIERS ASSET BACKED SECURITIES SER CHAMT TR 1997-7, 10-K, 1999-03-18
JEFFERIES GROUP INC, 10-K, 1999-03-18
FRONTEER FINANCIAL HOLDINGS LTD, 10-K, 1999-01-13
E TRADE GROUP INC, 10-K, 1998-12-29
INTERSTATE JOHNSON LANE INC, 10-K, 1998-12-29
RAYMOND JAMES FINANCIAL INC, 10-K, 1998-12-24
ADVEST GROUP INC, 10-K, 1998-12-21
RAGEN MACKENZIE GROUP INC, 10-K, 1998-12-18
MORGAN KEEGAN INC, 10-K, 1998-10-27
EXECUTIVE WEALTH MANAGEMENT SERVICES INC /FL/, 10-K, 1998-10-13
CITIZENS BANCORP, 10-K, 1998-09-28
BEAR STEARNS COMPANIES INC, 10-K, 1998-09-28
NATIONAL DISCOUNT BROKERS GROUP INC, 10-K, 1998-08-11
LEGG MASON INC, 10-K, 1998-06-29
MCDONALD & CO INVESTMENTS INC, 10-K, 1998-06-22
EDWARDS A G INC, 10-K, 1998-05-29
GKN HOLDING CORP, 10-K, 1998-04-28
FIRST MONTAUK FINANCIAL CORP, 10-K, 1998-04-15
WITTER DEAN WORLD CURRENCY FUND L P, 10-K, 1998-03-31
DEAN WITTER GLOBAL PERSPECTIVE PORTFOLIO L P, 10-K, 1998-03-31
INTERVEST CORPORATION OF NEW YORK, 10-K, 1998-03-31
ZIEGLER COMPANIES INC, 10-K, 1998-03-31
PAINE WEBBER GROUP INC, 10-K, 1998-03-31
SIEBERT FINANCIAL CORP, 10-K, 1998-03-31
FRIEDMAN BILLINGS RAMSEY GROUP INC, 10-K, 1998-03-30
NUVEEN JOHN COMPANY, 10-K, 1998-03-30
HOENIG GROUP INC, 10-K, 1998-03-30
FAHNESTOCK VINER HOLDINGS INC, 10-K, 1998-03-30
WITTER DEAN SELECT FUTURES FUND LP, 10-K, 1998-03-27
SCHWAB CHARLES CORP, 10-K, 1998-03-27
FIRST ALBANY COMPANIES INC, 10-K, 1998-03-25
INVESTMENT TECHNOLOGY GROUP INC, 10-K, 1998-03-18
JONES FINANCIAL COS LP, 10-K, 1998-03-18
JEFFERIES GROUP INC, 10-K, 1998-03-18
RYAN BECK & CO INC, 10-K, 1998-03-12
TIERS ASSET BACKED SECURITIES SER CHAMT TR 1997-7, 10-K, 1998-01-15
STRUCTURED PRODUCTS CORP, 10-K, 1998-01-13
FRONTEER FINANCIAL HOLDINGS LTD, 10-K, 1998-01-13
INTERSTATE JOHNSON LANE INC, 10-K, 1997-12-29
PIPER JAFFRAY COMPANIES INC, 10-K, 1997-12-29
HAMBRECHT & QUIST GROUP, 10-K, 1997-12-24
RAYMOND JAMES FINANCIAL INC, 10-K, 1997-12-24
AMERITRADE HOLDING CORP, 10-K, 1997-12-23
E TRADE GROUP INC, 10-K, 1997-12-23
ADVEST GROUP INC, 10-K, 1997-12-11
MORGAN KEEGAN INC, 10-K, 1997-10-28
BEAR STEARNS COMPANIES INC, 10-K, 1997-09-29
SOUTHWEST SECURITIES GROUP INC, 10-K, 1997-09-25
SHERWOOD GROUP INC, 10-K, 1997-08-11
JJFN SERVICES INC, 10-K, 1997-08-07
LEGG MASON INC, 10-K, 1997-06-27
QUICK & REILLY GROUP INC /DE/, 10-K, 1997-05-28
GKN HOLDING CORP, 10-K, 1997-05-01
RODMAN & RENSHAW CAPITAL GROUP INC, 10-K, 1997-04-16
STRUCTURED PRODUCTS CORP, 10-K, 1997-04-15
MILLBURN WORLD RESOURCE TRUST, 10-K, 1997-04-02
INVESTMENT TECHNOLOGY GROUP INC, 10-K, 1997-03-31
HOENIG GROUP INC, 10-K, 1997-03-31
INTERVEST CORPORATION OF NEW YORK, 10-K, 1997-03-31
JW CHARLES FINANCIAL SERVICES INC/FL, 10-K, 1997-03-31
SEI CORP, 10-K, 1997-03-31
KINNARD INVESTMENTS INC, 10-K, 1997-03-31
SIEBERT FINANCIAL CORP, 10-K, 1997-03-31
KIRLIN HOLDING CORP, 10-K, 1997-03-28
SCHWAB CHARLES CORP, 10-K, 1997-03-28
WITTER DEAN WORLD CURRENCY FUND L P, 10-K, 1997-03-27
DEAN WITTER GLOBAL PERSPECTIVE PORTFOLIO L P, 10-K, 1997-03-27
WITTER DEAN SELECT FUTURES FUND LP, 10-K, 1997-03-27
JONES FINANCIAL COS LP, 10-K, 1997-03-27
FIRST ALBANY COMPANIES INC, 10-K, 1997-03-27
JEFFERIES GROUP INC, 10-K, 1997-03-27
RYAN BECK & CO INC, 10-K, 1997-03-26
BROWN ALEX INC, 10-K, 1997-03-26
FAHNESTOCK VINER HOLDINGS INC, 10-K, 1997-03-13
FRONTEER FINANCIAL HOLDINGS LTD, 10-K, 1997-01-13
INTERSTATE JOHNSON LANE INC, 10-K, 1996-12-26
PIPER JAFFRAY COMPANIES INC, 10-K, 1996-12-26
E TRADE GROUP INC, 10-K, 1996-12-24
RAYMOND JAMES FINANCIAL INC, 10-K, 1996-12-23
FIRST OF MICHIGAN CAPITAL CORP, 10-K, 1996-12-23
ADVEST GROUP INC, 10-K, 1996-12-20
MORGAN KEEGAN INC, 10-K, 1996-10-29
BEAR STEARNS COMPANIES INC, 10-K, 1996-09-27
SOUTHWEST SECURITIES GROUP INC, 10-K, 1996-09-24
SHERWOOD GROUP INC, 10-K, 1996-08-19
JJFN SERVICES INC, 10-K, 1996-07-19
LEGG MASON INC, 10-K, 1996-06-28
QUICK & REILLY GROUP INC /DE/, 10-K, 1996-05-29
BULL & BEAR GROUP INC, 10-K, 1996-04-01
UNITED ASSET MANAGEMENT CORP, 10-K, 1996-03-29
FAHNESTOCK VINER HOLDINGS INC, 10-K, 1996-03-29
JEFFERIES GROUP INC, 10-K, 1996-03-29
KINNARD INVESTMENTS INC, 10-K, 1996-03-29
PAINE WEBBER GROUP INC, 10-K, 1996-03-29
AMERICAN EXPRESS CO, 10-K, 1996-03-29
BROWN ALEX INC, 10-K, 1996-03-28
JW CHARLES FINANCIAL SERVICES INC/FL, 10-K, 1996-03-28
SCHWAB CHARLES CORP, 10-K, 1996-03-28
JONES FINANCIAL COMPANIES L P, 10-K, 1996-03-26
STIFEL FINANCIAL CORP, 10-K, 1996-03-26
MERRILL LYNCH & CO INC, 10-K, 1996-03-22
LEHMAN BROTHERS HOLDINGS INC, 10-K, 1996-02-28
LEHMAN BROTHERS INC//, 10-K, 1996-02-28
RAYMOND JAMES FINANCIAL INC, 10-K, 1995-12-29
PIPER JAFFRAY COMPANIES INC, 10-K, 1995-12-29
FIRST OF MICHIGAN CAPITAL CORP, 10-K, 1995-12-28
FIRST ALBANY COMPANIES INC, 10-K, 1995-12-22
ADVEST GROUP INC, 10-K, 1995-12-22
WATERHOUSE INVESTOR SERVICES INC, 10-K, 1995-11-28
MORGAN KEEGAN INC, 10-K, 1995-10-27
SHERWOOD GROUP INC, 10-K, 1995-08-22
LEGG MASON INC, 10-K, 1995-06-29
MCDONALD & CO INVESTMENTS INC, 10-K, 1995-06-21
QUICK & REILLY GROUP INC /DE/, 10-K, 1995-05-26
STIFEL FINANCIAL CORP, 10-K, 1995-03-31
AMERICAN EXPRESS CO, 10-K, 1995-03-31
JONES FINANCIAL COMPANIES L P, 10-K, 1995-03-30
JEFFERIES GROUP INC, 10-K, 1995-03-30
UNITED ASSET MANAGEMENT CORP, 10-K, 1995-03-24
SCHWAB CHARLES CORP, 10-K, 1995-03-24
PIPER JAFFRAY COMPANIES INC, 10-K, 1994-12-29
FIRST ALBANY COMPANIES INC, 10-K, 1994-12-27
INTERSTATE JOHNSON LANE INC, 10-K, 1994-12-22
ADVEST GROUP INC, 10-K, 1994-12-22
MORGAN KEEGAN INC, 10-K, 1994-10-28
RODMAN & RENSHAW CAPITAL GROUP INC, 10-K, 1994-09-22
LEGG MASON INC, 10-K, 1994-06-29
MCDONALD & CO INVESTMENTS INC, 10-K, 1994-06-22
QUICK & REILLY GROUP INC /DE/, 10-K, 1994-05-31
EDWARDS A G INC, 10-K, 1994-05-26
MOMENTUM DISTRIBUTION INC, 10-K, 1994-03-31
LEHMAN BROTHERS HOLDINGS INC, 10-K, 1994-03-31
UNITED ASSET MANAGEMENT CORP, 10-K, 1994-03-31
LEHMAN BROTHERS INC//, 10-K, 1994-03-31
JEFFERIES GROUP INC, 10-K, 1994-03-31
AMERICAN EXPRESS CO, 10-K, 1994-03-31
SCHWAB CHARLES CORP, 10-K, 1994-03-30
MERRILL LYNCH & CO INC, 10-K, 1994-03-30
BROWN ALEX INC, 10-K, 1994-03-29
PAINE WEBBER GROUP INC, 10-K, 1994-03-29
JONES FINANCIAL COMPANIES L P, 10-K, 1994-03-28
INTER REGIONAL FINANCIAL GROUP INC, 10-K, 1994-03-22


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