Rodman & Renshaw Capital Group Inc – Filings and Transcripts – BamSEC

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Key Exhibits

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SEC EDGAR

Financials Filter

ended 09/30/97 Q3

ended 06/30/97 Q2

ended 03/31/97 Q1

ended 12/31/96 FY 1996

Late annual filing notification for FY 1996

Prospectuses and Registrations Filter

Securities registration termination

Going private transaction – amended

Going private transaction – amended

Going private transaction

Registration of securities for employees

Ownership Filter

Friedman Mark L

Abaco Grupo Financiero SA De C V

Abaco Grupo Financiero SA De CV

Geller Marshall S

News Filter

Change of Control

Change of Control

Change in Certifying Accountant

Proxies Filter

Preliminary info

Preliminary proxy by non-management

Additional info about upcoming vote

Definitive proxy

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Statement regarding change in majority of directors – amended