SEC Form 40-6B

Application under the Investment Company Act by an employees‟ securities company

Latest 40-6B Filings:

Date Accession No. Company
2019-12-13 00:00:00 0000905148-19-001031 Citadel Enterprise Americas LLC
2019-08-22 00:00:00 0000905148-19-000825 Neuberger Berman Investment Advisers LLC
2019-02-26 00:00:00 0001144204-19-010196 Signature PE Fund, LLC
2019-01-18 00:00:00 0000930413-19-000100 LAZARD ASSET MANAGEMENT LLC
2018-09-28 00:00:00 0000895345-18-000269 Point72 Employee Investment Fund, L.P.
2017-12-13 00:00:00 0001193125-17-368123 TCW Owners LLC
2017-12-01 00:00:00 0000895345-17-000360 TUDOR EMPLOYEE INVESTMENT FUND LLC
2017-09-20 00:00:00 0001193125-17-289056 425 PRIVATE FUND I, LLC (f/k/a LEXINGTON PRIVATE INVESTMENT FUND I, LLC)
2017-06-30 00:00:00 0001140361-17-026803 TWO SIGMA INVESTMENTS, LP
2016-11-22 00:00:00 0001144204-16-135913 Energy & Minerals Group LP
2016-11-18 00:00:00 0000898432-16-003092 LSREF V Investments, L.P.
2016-09-16 00:00:00 0000950103-16-016367 BOSTON CONSULTING GROUP INC
2015-05-11 00:00:00 0001104659-15-036729 ARES MANAGEMENT LLC
2015-04-20 00:00:00 0000895345-15-000135 ALLIANCEBERNSTEIN L.P.
2013-01-31 00:00:00 0000905148-13-000157 Citadel Enterprise Americas LLC
2012-09-20 00:00:00 0001104659-12-064500 Kohlberg Kravis Roberts & Co. L.P.
2011-04-06 00:00:00 0000909518-11-000145 WEIL GOTSHAL & MANGES 04/FA
2011-04-06 00:00:00 0000909518-11-000143 Partners' Non-Qualified Pension Investment Fund
2010-08-13 00:00:00 0001104659-10-044427 ALVAREZ & MARSAL, INC.
2010-05-04 00:00:00 0001193125-10-106189 LAZ-MD Holdings LLC
2009-12-10 00:00:00 0000905148-09-003669 Citadel Enterprise Americas LLC
2009-08-26 00:00:00 0001470829-09-000002 2009 Exchange Place Fund A, LLC
2008-10-16 00:00:00 9999999997-08-042716 Blackstone Group Inc
2008-09-29 00:00:00 9999999997-08-041025 Winstead PC
2008-07-09 00:00:00 9999999997-08-031423 ELFUN INTERNATIONAL EQUITY FUND
2008-06-23 00:00:00 9999999997-08-029304 LEHMAN BROTHERS HOLDINGS INC. PLAN TRUST
2008-05-29 00:00:00 9999999997-08-026845 BSC EMPLOYEE FUND II LP
2008-02-08 00:00:00 9999999997-08-006166 JPMORGAN CHASE & Co
2007-09-25 00:00:00 9999999997-07-042549 AIG Employee Hedge Fund LP
2007-08-22 00:00:00 9999999997-07-039070 TUDOR EMPLOYEE INVESTMENT FUND LLC

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