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Refco Finance Inc.
NY
SEC # 1305464
24 Related Registrants:
More than a Year ago:
Refco Group Ltd., LLC — 12/20/06 — SEC # 1305468
Refco Inc. — 12/20/06 — SEC # 1321746
Bersec International LLC — 4/6/05 — SEC # 1305510
Kroeck & Associates LLC — 4/6/05 — SEC # 1305548
Lind-Waldock Securities, LLC — 4/6/05 — SEC # 1305555
Marshall Metals, LLC — 4/6/05 — SEC # 1305552
Refco Administration, LLC — 4/6/05 — SEC # 1305474
Refco Capital Holdings, LLC — 4/6/05 — SEC # 1305490
Refco Capital LLC — 4/6/05 — SEC # 1305494
Refco Capital Management, LLC — 4/6/05 — SEC # 1305492
Refco Capital Trading LLC — 4/6/05 — SEC # 1305493
Refco F/X Associates, LLC — 4/6/05 — SEC # 1305511
Refco Financial, LLC — 4/6/05 — SEC # 1305513
Refco Fixed Assets Management, LLC — 4/6/05 — SEC # 1305514
Refco Global Capital Management LLC — 4/6/05 — SEC # 1305516
Refco Global Futures, LLC — 4/6/05 — SEC # 1305519
Refco Global Holdings, LLC — 4/6/05 — SEC # 1305515
Refco Information Services, LLC — 4/6/05 — SEC # 1305517
Refco Managed Futures, LLC — 4/6/05 — SEC # 1305520
Refco Mortgage Securities, LLC — 4/6/05 — SEC # 1305518
Refco Regulated Companies, LLC — 4/6/05 — SEC # 1305521
Summit Management, (Newco) LLC — 4/6/05 — SEC # 1305556
Westminster-Refco Management LLC — 4/6/05 — SEC # 1305626
Market Educational Institute, LLC — 2/22/05 — SEC # 1305558
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Registrant
About
Filings
Files
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Names
Topics
Web
38 SEC Filings
from 10/12/04 to 12/20/06
(
None in the Past Year
)
List All Filings
or
Filer / Offerer
Owner / Insider
Issuer / Subject Company
Filing Agent
Most-Recent Filing:
‘8-K’ — Current Report — Form 8-K — for 12/15/06
—
Filed as:
Filer / Offerer
New-Filing E-Mail:
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Refco Finance Inc.
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Details...
Forms
, Documents
&
Exhibits
in
38 Filings
Filed as:
Filer / Offerer
or
Owner / Insider
Latest Filing
Type
Category
Description
Documents
12/20/06
OLD
8-K
Update:
Current Reports
—
Form 8-K
OLD
—
Press Releases
&
Conference Calls
24
8-K Items:
9/18/06
OLD
Business & Operations:
•
Entry into a Material Definitive Agreement
—
Item 1.01
OLD
—
↓
‘EX-10’
3
12/20/06
OLD
"
•
Bankruptcy or Receivership
—
Item 1.03
OLD
2
10/11/05
OLD
Financial Info:
•
Results of Operations and Financial Condition
—
Item 2.02
OLD
3
10/21/05
OLD
"
•
Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
—
Item 2.04
OLD
—
↓
‘EX-10’
1
10/11/05
OLD
Accountants & Accounting:
•
Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
—
Item 4.02
OLD
1
10/11/05
OLD
Governance & Management:
•
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
—
Item 5.02
OLD
1
12/14/06
OLD
Disclosures:
•
Regulation FD Disclosure
—
Item 7.01
OLD
—
↓
‘EX-99’
14
9/16/05
OLD
Events:
•
Other Events
—
Item 8.01
OLD
5
12/20/06
OLD
Financials:
•
Financial Statements and Exhibits
—
Item 9.01
OLD
22
1/4/06
OLD
CORRESP
Comment:
Comment-Response and Other Letters to the SEC
[ a.k.a. COVER ]
OLD
—
All Correspondence with the SEC
7
7/19/05
OLD
10-K
Update:
Annual Reports
—
Form 10-K
OLD
2
7/15/05
OLD
10-Q
Update:
Quarterly Report
—
Form 10-Q
OLD
1
4/13/05
OLD
424B3
Registration:
Prospectus – New Facts or Events
OLD
1
4/6/05
OLD
S-4
Registration:
Registration Statements – Securities for Mergers
—
Form S-4
OLD
7
Letters:
4/6/05
OLD
COVER
Comment-Response and Cover Letters to the SEC
[ a.k.a. CORRESP ]
OLD
—
All Correspondence with the SEC
4
General Exhibits:
9/18/06
OLD
EX-10
Material Contracts
OLD
33
4/6/05
OLD
EX-23
Consents of Experts and Counsel
OLD
7
2/22/05
OLD
EX-21
Subsidiaries List
OLD
1
1/12/05
OLD
EX-4
Instruments, Including Indentures, Defining the Rights of Security Holders
OLD
4
1/12/05
OLD
EX-5
Opinion of Counsel re: Legality
OLD
1
12/10/04
OLD
EX-3
Articles of Incorporation/Organization and Bylaws
OLD
48
10/12/04
OLD
EX-25
Statement of Eligibility to Act as a Trustee
OLD
1
Additional Exhibits:
12/20/06
OLD
EX-99
Miscellaneous Exhibits, such as Press Releases
OLD
—
Press Releases
&
Conference Calls
31
Financials:
7/19/05
OLD
EX-31
Certifications —
§302 – SOA’02
OLD
6
7/19/05
OLD
EX-32
Certifications —
§906 – SOA’02
OLD
6
6/30/05
OLD
EX-12
Statements re: Computations of Ratios
OLD
2
Graphics:
9/1/05
OLD
GRAPHIC
Photos, Images and Graphs
OLD
59
No Forms
nor
Documents
Filed re:
Issuer / Subject Company
Filings History
Year
# of Filings
2006
14
2005
22
2004
2
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