31.   Most traditional equity underwriters allocate scarce shares of hot IPOs to large institutional clients like mutual funds.

32.   Nozawa worked in domestic sales, peddling stocks to institutional clients, and headed the Osaka branch when tapped to be president last weekend.

33.   Offering a guaranteed rate of return to big institutional clients was once a common sales tactic for brokerages but was outlawed as unfair to small investors.

34.   Parallax publishes research on pricing, relative value and trading strategies for the convertible securities markets for large institutional clients.

35.   Putnam has an existing business relationship with PanAgora in which PanAgora helps manage some index funds for institutional clients, the companies said.

36.   Putnam does have an existing business relationship with PanAgora in which PanAgora helps manage some index funds for institutional clients, the companies said.

37.   Rittenhouse, based in Radnor, Pennsylvania, focuses its investments in U.S. equities markets for wealthy people and institutional clients, Schwertfeger said.

38.   Stein never told Merrill or its institutional clients about the arrangement he helped set up between Austin and Dover, the SEC said.

39.   Sung agreed to work for no salary, at least temporarily, and pitch his own proprietary option strategy to institutional clients.

40.   The company mainly manages money for institutions and wealthy individuals, offers corporate finance, as well a brokerage services to institutional clients, UBS said.