Capital Markets (1,916)
- AFFILIATED MANAGERS GROUP, INC. (39)
- ALLIANCEBERNSTEIN HOLDING L.P. (33)
- Ameriprise Financial (7)
- Apollo Global Management LLC (37)
- APOLLO INVESTMENT CORP (3)
- ARES CAPITAL CORP (18)
- Ares Management Corp (17)
- Artisan Partners Asset Management Inc. (15)
- Ashford Inc. (24)
- AssetMark Financial Holdings, Inc. (9)
- Associated Capital Group, Inc. (1)
- Bain Capital Specialty Finance, Inc. (9)
- Barings BDC, Inc. (9)
- BGC Partners, Inc. (13)
- BlackRock (14)
- BlackRock Capital Investment Corp (4)
- BlackRock TCP Capital Corp. (8)
- BLACKSTAR ENTERPRISE GROUP, INC. (33)
- Blackstone Group L.P. (55)
- Blucora, Inc. (33)
- BrightSphere Investment Group Inc. (18)
- CAPITAL SOUTHWEST CORP (14)
- Capitala Finance Corp. (4)
- Carlyle Group L.P. (21)
- Cboe Global Markets (32)
- Charles Schwab Corporation (40)
- CM Finance Inc (2)
- CME Group Inc. (4)
- Cohen & Co Inc. (31)
- COHEN & STEERS INC (1)
- CONCIERGE TECHNOLOGIES INC (1)
- ContextLogic Inc. (17)
- COWEN INC. (9)
- Crescent Capital BDC, Inc. (17)
- DIAMOND HILL INVESTMENT GROUP INC (5)
- Donnelley Financial Solutions, Inc. (13)
- E*Trade (15)
- Eaton Vance Corp (9)
- ENTERPRISE DIVERSIFIED, INC. (4)
- Evercore (5)
- FactSet Research Systems Inc (8)
- Federated Investors (17)
- Firsthand Technology Value Fund, Inc. (1)
- Focus Financial Partners Inc. (15)
- Franklin Resources (23)
- Freedom Holding Corp. (19)
- FS Development Corp. (29)
- GAIN Capital Holdings, Inc. (12)
- GAMCO INVESTORS, INC. ET AL (1)
- Garrison Capital Inc. (3)
- GLADSTONE INVESTMENT CORPORATION (11)
- GlassBridge Enterprises, Inc. (32)
- Goldman Sachs (52)
- Goldman Sachs BDC, Inc. (2)
- GOLUB CAPITAL BDC, Inc. (14)
- Great Elm Capital Corp. (2)
- Great Elm Capital Group, Inc. (11)
- Greenhill & Co., Inc. (3)
- Greenpro Capital Corp. (20)
- GSV Capital Corp. (10)
- Hamilton Lane INC (14)
- Harvest Capital Credit Corp (7)
- HENNESSY ADVISORS INC (2)
- Hercules Capital, Inc. (24)
- Heritage Global Inc. (12)
- Horizon Technology Finance Corp (18)
- HOULIHAN LOKEY, INC. (6)
- Interactive Brokers (1)
- Intercontinental Exchange (15)
- INTL FCStone Inc. (17)
- Invesco Ltd. (15)
- Investment Technology Group, Inc. (6)
- Janus Henderson Group plc (20)
- KCAP Financial, Inc. (13)
- KKR & Co. Inc. (35)
- Kyto Technology & Life Science, Inc. (3)
- Lazard Ltd (10)
- Legg Mason Inc (9)
- LPL Financial Holdings Inc. (8)
- Main Street Capital CORP (10)
- Manning & Napier, Inc. (24)
- MarketAxess Holdings Inc (30)
- MEDLEY MANAGEMENT INC. (4)
- Moelis & Co (5)
- MONROE CAPITAL Corp (8)
- Moody's Corp (22)
- Morgan Stanley (12)
- Morningstar, Inc. (10)
- Motors Liquidation Co (1)
- MSCI Inc (140)
- MVC CAPITAL, INC. (7)
- Nasdaq, Inc. (28)
- NATIONAL HOLDINGS CORP (14)
- New Mountain Finance Corp (9)
- Newtek Business Services Corp. (17)
- Northern Trust Corp. (25)
- Oaktree Strategic Income Corp (16)
- Och-Ziff Capital Management Group LLC (32)
- OPPENHEIMER HOLDINGS INC (1)
- Owl Rock Capital Corp (19)
- Oxford Square Capital Corp. (1)
- PennantPark Floating Rate Capital Ltd. (1)
- Piper Jaffray Companies (14)
- PJT Partners Inc. (3)
- PROSPECT CAPITAL CORP (13)
- Pzena Investment Management, Inc. (8)
- RAND CAPITAL CORP (9)
- Raymond James Financial Inc. (8)
- S&P Global, Inc. (20)
- SAFEGUARD SCIENTIFICS INC (10)
- SARATOGA INVESTMENT CORP. (6)
- SEI Investments Corp (1)
- Silvercrest Asset Management Group Inc. (7)
- Solar Capital Ltd. (8)
- Solar Senior Capital Ltd. (3)
- State Street Corp. (31)
- Stellus Capital Investment Corp (7)
- Stifel Financial Corp (11)
- T. Rowe Price Group (8)
- TCG BDC, INC. (7)
- TD AMERITRADE HOLDING CORP (19)
- The Bank of New York Mellon Corp. (12)
- Tradeweb Markets Inc. (32)
- TriplePoint Venture Growth BDC Corp. (8)
- U S GLOBAL INVESTORS INC (2)
- Victory Capital Holdings, Inc. (9)
- Virtu Financial, Inc. (22)
- Virtus Investment Partners, Inc. (4)
- Waddell & Reed Financial, Inc. (20)
- WhiteHorse Finance, Inc. (9)
- WisdomTree Investments, Inc. (6)
- Business Finance (758)
- Business Formation (48)
- Business Operations (121)
- Human Resources (457)
- Intellectual Property (112)
- Mergers & Acquisitions (42)
- Real Estate (21)
- Uncategorized (357)
- Form of UK Restricted Stock Unit Award Agreement for grants to executive officers under the Janus Henderson Group Third Amended and Restated 2010 Deferred Incentive Plan on or... (Janus Henderson Group plc, Filed With SEC on February 24, 2021)
- Form of Performance Share Unit Award Agreement for grants to executive officers under the Janus Henderson Group Third Amended and Restated 2010 Deferred Incentive Plan on or after... (Janus Henderson Group plc, Filed With SEC on February 24, 2021)
- Form of US Fund Award Agreement for grants to executive officers under the Janus Henderson Group Third Amended and Restated 2010 Deferred Incentive Plan on or after January 1, 2021 (Janus Henderson Group plc, Filed With SEC on February 24, 2021)
- Form of UK Fund Award Agreement for grants to executive officers under the Janus Henderson Group Third Amended and Restated 2010 Deferred Incentive Plan on or after January 1, 2021 (Janus Henderson Group plc, Filed With SEC on February 24, 2021)
- Description of Securities (Solar Capital Ltd., Filed With SEC on February 24, 2021)
- Description of Securities (New Mountain Finance Corp, Filed With SEC on February 24, 2021)
- Description of Securities (Solar Senior Capital Ltd., Filed With SEC on February 24, 2021)
- Description of Securities (Crescent Capital BDC, Inc., Filed With SEC on February 24, 2021)
- Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 (Charles Schwab Corporation, Filed With SEC on February 24, 2021)
- The Charles Schwab Corporation Deferred Compensation Plan II, as amended and restated as of December 8, 2020 (supersedes Exhibit 10.385) (Charles Schwab Corporation, Filed With SEC on February 24, 2021)
