Retirement Agreements in the Capital Markets Industry

81 Contracts & Agreements

Browse by Company

ALLIANCEBERNSTEIN HOLDING L.P. (8 contracts)
Ameriprise Financial (5)
Apollo Global Management LLC (1)
CAPITAL SOUTHWEST CORP (6)
Cboe Global Markets (4)
CME Group Inc. (1)
GlassBridge Enterprises, Inc. (1)
Moody's Corp (9)
Morgan Stanley (9)
Nasdaq, Inc. (6)
Raymond James Financial Inc. (3)
S&P Global, Inc. (17)
State Street Corp. (5)
T. Rowe Price Group (1)
The Bank of New York Mellon Corp. (2)
Waddell & Reed Financial, Inc. (3)

Recent Contracts

Amendments to the Cboe Exchange, Inc. (f/k/a Chicago Board Options Exchange, Incorporated) Supplemental Retirement Plan (Cboe Global Markets, Filed With SEC on February 17, 2023)
Amendments to the Cboe Exchange, Inc. (f/k/a Chicago Board Options Exchange, Incorporated) Executive Retirement Plan (Cboe Global Markets, Filed With SEC on February 17, 2023)
Retirement Agreement with Anthony Civale (Apollo Global Management LLC, Filed With SEC on May 10, 2022)
First Amendment to the Moodys Corporation Retirement Account (effective January 1, 2021) (Moody's Corp, Filed With SEC on February 22, 2022)
Retirement Agreement and General Release of Claims by and between Nasdaq, Inc. and Michael Ptasznik, dated October 21, 2020 (Nasdaq, Inc., Filed With SEC on February 23, 2021)
Moodys Corporation Retirement Account (Moody's Corp, Filed With SEC on February 22, 2021)
State Street's Executive Supplemental Retirement Plan, as amended and restated, and First, Second and Third Amendments thereto (State Street Corp., Filed With SEC on February 19, 2021)
Seventh Amendment to Standard & Poors Employee Retirement Plan Supplement, effective generally as of January 1, 2021 (S&P Global, Inc., Filed With SEC on February 9, 2021)
Sixth Amendment to Registrants Employee Retirement Plan Supplement, effective generally as of January 1, 2020 (S&P Global, Inc., Filed With SEC on February 9, 2021)
Moodys Corporation Retirement Account, amended and restated as of January 1, 2018 (Moody's Corp, Filed With SEC on February 24, 2020)
Sixth Amendment to Standard & Poors Employee Retirement Plan Supplement, effective generally as of January 1, 2020 (S&P Global, Inc., Filed With SEC on February 10, 2020)
Fifth Amendment to Registrants Employee Retirement Plan Supplement, effective generally as of January 1, 2020 (S&P Global, Inc., Filed With SEC on February 10, 2020)
Retirement Agreement and General Release of Claims, between Nasdaq and Thomas A. Wittman, effective July 10, 2019 (Nasdaq, Inc., Filed With SEC on November 6, 2019)
Amendment to the Retirement Plan for Employees of AllianceBernstein L.P., dated as of April 1, 2018 (ALLIANCEBERNSTEIN HOLDING L.P., Filed With SEC on February 13, 2019)
Form of RSU Non-Bonus Award Notice and Agreement - 2018 Retirement - Restrictive Covenants (Raymond James Financial Inc., Filed With SEC on December 6, 2018)
Form of RSU Non-Bonus Award Notice and Agreement - 2018 Retirement - Restrictive Covenants - Canadian Employees (Raymond James Financial Inc., Filed With SEC on December 6, 2018)
Form of RSU Non-Bonus Award Notice and Agreement - 2018 Retirement - Restrictive Covenants - Mr. Paul C. Reilly (Raymond James Financial Inc., Filed With SEC on December 6, 2018)
Ameriprise Financial Supplemental Retirement Plan, as amended and restated effective October 3, 2017 (Ameriprise Financial, Filed With SEC on February 23, 2018)
Amendment to the Retirement Plan for Employees of AllianceBernstein L.P., dated as of May 16, 2017 and effective as of January 1, 2008 (ALLIANCEBERNSTEIN HOLDING L.P., Filed With SEC on February 13, 2018)
RETIREMENT AGREEMENT (Cboe Global Markets, Filed With SEC on May 11, 2017)
RETIREMENT AGREEMENT (Cboe Global Markets, Filed With SEC on May 11, 2017)
GENERAL RELEASE AND RETIREMENT AGREEMENT (Nasdaq, Inc., Filed With SEC on March 1, 2017)
GENERAL RELEASE AND RETIREMENT AGREEMENT (Nasdaq, Inc., Filed With SEC on May 5, 2016)
AMENDMENT AND RESTATEMENT OF THE RETIREMENT PLAN FOR EMPLOYEES OF ALLIANCEBERNSTEIN L.P. (ALLIANCEBERNSTEIN HOLDING L.P., Filed With SEC on February 11, 2016)
Amendment Four to Retirement Plan For Employees of Capital Southwest Corporation and its Affiliates (CAPITAL SOUTHWEST CORP, Filed With SEC on August 6, 2015)
FIRST AMENDMENT TO THEMOODYS CORPORATION RETIREMENT ACCOUNT (Moody's Corp, Filed With SEC on July 30, 2015)
AMENDMENT TO THE BANK OF NEW YORK COMPANY, INC. SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN (The Bank of New York Mellon Corp., Filed With SEC on February 27, 2015)
STATE STREET CORPORATION Executive Supplemental Retirement Plan (Amended and Restated January1, 2015) Table of Contents (State Street Corp., Filed With SEC on February 20, 2015)
Amendment Five to Standard & Poors Employee Retirement Plan Supplement (S&P Global, Inc., Filed With SEC on February 13, 2015)
AMENDMENT TO SUPPLEMENTAL EXECUTIVE RETIREMENT AND EXCESS PLAN (Morgan Stanley, Filed With SEC on November 4, 2014)
THE MOODYS CORPORATION RETIREMENT ACCOUNT Amended andRestated as of December 18, 2013 INTRODUCTION (Moody's Corp, Filed With SEC on February 27, 2014)
STATE STREET CORPORATION Executive Supplemental Retirement Plan (Amended and Restated January1, 2008) Table of Contents (State Street Corp., Filed With SEC on February 21, 2014)
Amendment Four to Standard & Poors Employee Retirement Plan Supplement (S&P Global, Inc., Filed With SEC on February 7, 2014)
Amendment Four to The McGraw-Hill Companies, Inc. Employee Retirement Plan Supplement (S&P Global, Inc., Filed With SEC on February 7, 2014)
Amendment one to Retirement Plan for employees of Capital Southwest Corporation and its affiliates as amended and restated effective April 1, 2011 (CAPITAL SOUTHWEST CORP, Filed With SEC on May 31, 2013)
OCTOBER 8, 2009 MORGAN STANLEY UK LIMITED MORGAN STANLEY ALTERNATIVE RETIREMENT PLAN RULES CONTENTS (Morgan Stanley, Filed With SEC on May 7, 2013)
FIFTH AMENDMENT TO THE MOODYS CORPORATION RETIREMENT ACCOUNT (Moody's Corp, Filed With SEC on February 26, 2013)
FOURTH AMENDMENT TO THE MOODYS CORPORATION RETIREMENT ACCOUNT (Moody's Corp, Filed With SEC on February 27, 2012)
Amendment Three to The Standard & Poors Employee Retirement Plan Supplement (S&P Global, Inc., Filed With SEC on February 7, 2012)
Amendment Three to The McGraw-Hill Companies, Inc. Employee Retirement Plan Supplement (S&P Global, Inc., Filed With SEC on February 7, 2012)