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Credit Suisse (USA) Inc. 
 NY
  SEC # 29646

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1,011  SEC Filings
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  from  5/15/96  to  6/16/23  (9 Months Ago)

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Most-Recent Filing:    ‘EFFECT’ — SEC Notice of Effectiveness — Filed as:  Filer / Offerer — Filed by:  UBS Group AG 
 
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notifications of all
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Filings
involving  Credit Suisse (USA) Inc. 

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Forms
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, Documents
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& Exhibits
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 in  971 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
6/16/23EFFECTSEC:  SEC Notices of Effectiveness4
6/15/23424B2Registration:  Prospectuses – Primary Offerings and Shelf Securities460
6/14/23CORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ] — All Correspondence with the SEC
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3
6/14/23F-3Registration:  Registration Statements by Certain Foreign Issuers – Securities for Transactions — Form F-310
6/9/23POS AMRegistration:  Post-Effective Amendments of Registration Statements2
3/19/15 OLDPOSASRRegistration:  Post-Effective Amendments of Automatic Shelf Registration Statements — Form S-3/F-3ASR  OLD 2
6/28/12 OLDDRegistration:  Notices of Exempt Offerings of Securities — Form D  OLD 6
3/23/12 OLDF-3ASRRegistration:  Automatic Shelf Registration Statements by Well-Known Foreign Issuers — Form F-3  OLD 2
7/19/07 OLDREGDEXRegistration:  Notices of Exempt Offerings of Securities — Form D  OLD 5
3/29/07 OLD8-KUpdate:  Current Reports — Form 8-K  OLD  — Press Releases
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& Conference Calls
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165

8-K Items: 
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8/12/05 OLD
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01  OLD  — ‘EX-10’
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1
8/1/05 OLD
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  Disclosures: 
Regulation FD Disclosure — Item 7.01  OLD  — ‘EX-99’
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5
3/29/07 OLD
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  Events: 
Other Events — Item 8.01  OLD 17
2/28/07 OLD
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  Financials: 
Financial Statements and Exhibits — Item 9.01  OLD 66

3/12/07 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 62
2/14/07 OLD424B8Registration:  Prospectuses (Late Filings)  OLD 5
11/16/06 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 84
11/14/06 OLD10-QUpdate:  Quarterly Reports — Form 10-Q  OLD 35
3/20/06 OLD10-KUpdate:  Annual Reports — Form 10-K  OLD 8
2/21/06 OLDS-3ASRRegistration:  Automatic Shelf Registration Statement by a Well-Known Issuer — Form S-3  OLD 1
6/15/04 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 22
4/5/04 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 30
11/21/03 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 7
10/3/03 OLDCERTAMXTrading:  Certifications by the American Stock Exchange Approving Listings — Form CERT  OLD 2
3/29/02 OLD10-K405Update:  Annual Reports — Reg. S-K – Item 405 — Form 10-K  OLD 4
1/3/02 OLD25Trading:  Notice by an Issuer of the Removal from Listing and Registration on a Securities Exchange of Matured, Redeemed or Retired Securities — Form 25  OLD 1
1/2/02 OLD15-15DUpdate:  Notices of Suspensions of Duty to File Reports — Form 15  OLD 2
12/19/01 OLD4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD 8
12/14/01 OLD15-12GRegistration:  Certifications of Terminations of Registration of Classes of Securities — Form 15  OLD 3
11/29/01 OLDSC TO-IOwnership:  Tender-Offer Statements by Issuers — Schedule TO  OLD 4
7/24/01 OLDSC 14D9Ownership:  Tender-Offer Solicitation/Recommendation Statements — Schedule 14D-9  OLD 4
11/6/00 OLD15-12BRegistration:  Certification of a Termination of Registration of a Class of Securities — Form 15  OLD 1
10/10/00 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 5
8/30/00 OLDSC14D9COwnership:  Tender-Offer Communication by an Issuer re: a Third-Party Offer — Schedule 14D-9C  OLD 1
6/29/00 OLD11-KUpdate:  Annual Report by an Employee Stock Purchase, Savings or Similar Plan — Form 11-K  OLD 1
3/24/00 OLDDEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  OLD 4
5/27/99 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 3
5/26/99 OLD424B4Registration:  Prospectus – Info Previously Omitted & New Facts or Events  OLD 1
5/4/99 OLDDEF 14CProxy:  Definitive Proxy Info Statement — Schedule 14C  OLD 1
5/4/99 OLDDEFS14AProxy:  Definitive Proxy Statement – Special Meeting — Schedule 14A  OLD 1
4/26/99 OLDPRER14CProxy:  Preliminary Revised Proxy Info Statement — Schedule 14C  OLD 1
4/15/99 OLDPRE 14CProxy:  Preliminary Proxy Info Statement — Schedule 14C  OLD 1
3/9/99 OLD424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD 6
3/12/98 OLDPRE 14AProxy:  Preliminary Proxy Statement — Schedule 14A  OLD 1
9/9/97 OLD424B1Registration:  Prospectuses – Info Previously Omitted  OLD 2
11/29/96 OLD8-A12GRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 2

General Exhibits: 
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6/14/23EX-24Powers of Attorney18
6/12/23EX-23Consents of Experts and Counsel74
6/12/23EX-4Instruments, Including Indentures, Defining the Rights of Security Holders209
6/12/23EX-5Opinions of Counsel re: Legality43
6/6/23EX-FILING FEESFiling Fees1
6/6/23EX-25Statements of Eligibility to Act as a Trustee — Forms T-1 & T-263
6/8/17 OLDEX-3Articles of Incorporation/Organization and Bylaws  OLD 22
3/19/15 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 35
12/22/05 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 7
11/8/05 OLDEX-10Material Contracts  OLD 75
3/30/01 OLDEX-21Subsidiaries Lists  OLD 4
5/25/99 OLDEX-8Opinions of Counsel re: Tax Matters  OLD 5
6/30/98 OLDEX-6Opinions of Counsel re: Discounts on Capital Shares  OLD 2

Additional Exhibits: 
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11/17/06 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases
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& Conference Calls
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148

Financials: 
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6/16/20 OLDEX-15Letters re: Unaudited Interim Financial Info  OLD 25
5/18/20 OLDEX-16Letter re: a Change in Accountant  OLD 1
6/8/17 OLDEX-12Statements re: Computations of Ratios  OLD 56
11/14/06 OLDEX-31Certifications — §302 – SOA’02  OLD 28
11/14/06 OLDEX-32Certifications — §906 – SOA’02  OLD 14
10/2/01 OLDEX-11Statements re: Computations of Earnings Per Share  OLD 45
11/14/00 OLDEX-27Financial Data Schedules {Pre-XBRL}  OLD 19
6/30/98 OLDEX-7Correspondence from an Accountant re: Non-Reliance on a Previously Issued Audit Report or Completed Interim Review  OLD 1

Graphics: 
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6/12/23GRAPHICPhotos, Images and Graphs305


Forms
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, Documents
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& Exhibits
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 in  111 Filings
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 Filed re:  Issuer / Subject Company


        

        
Latest Filing  Type    Category    Description        Documents
     
12/12/11 OLD25-NSETrading:  Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 25  OLD 1
3/25/09 OLDF-NRegistration:  Appointments of U.S. Agents for Service of Process by Foreign Banks and Insurance Companies — Form F-N  OLD 12
8/14/07 OLDSC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD 7
3/12/07 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 62
11/29/01 OLDSC TO-IOwnership:  Tender-Offer Statements by Issuers — Schedule TO  OLD 4
8/21/01 OLDSC TO-TOwnership:  Tender-Offer Statements by Third Parties — Schedule TO  OLD 9
7/24/01 OLDSC 14D9Ownership:  Tender-Offer Solicitation/Recommendation Statements — Schedule 14D-9  OLD 4
7/11/01 OLDSC TO-COwnership:  Tender-Offer Communications by Issuers and Third Parties — Schedule TO  OLD 5
9/8/00 OLDSC 13DOwnership:  Statement of Acquisition of Beneficial Ownership by an “Active” Investor — Schedule 13D  OLD 1
8/31/00 OLDSC14D9COwnership:  Tender-Offer Communications by Issuers re: Third-Party Offers — Schedule 14D-9C  OLD 2

Letters: 
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5/22/20 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC4
5/22/20 OLDTEXT-EXTRACTComment or Other Letter from the SEC – PDF’s Text  [ a.k.a. LETTER ]  OLD 1

General Exhibits: 
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12/12/00 OLDEX-24Powers of Attorney  OLD 5

Additional Exhibits: 
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12/12/11 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 57

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3/8/07 OLDGRAPHICPhotos, Images and Graphs  OLD 92


        

Filings History

Year    # of Filings
In descending order
2023 8
2020 5
2017 4
2015 4
2014 1
2013 1
2012 3
2011 2
2010 2
2009 9
2007 94
2006 337
2005 75
2004 22
2003 37
2002 57
2001 97
2000 74
1999 70
1998 54
1997 32
1996 23

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