0001227021-12-000003.txt : 20120224
0001227021-12-000003.hdr.sgml : 20120224
20120224123754
ACCESSION NUMBER: 0001227021-12-000003
CONFORMED SUBMISSION TYPE: TA-1/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20120215
DATE AS OF CHANGE: 20120224
EFFECTIVENESS DATE: 20120225
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BROWN BROTHERS HARRIMAN & CO
CENTRAL INDEX KEY: 0001227021
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: TA-1/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 084-06072
FILM NUMBER: 12636718
BUSINESS ADDRESS:
STREET 1: 140 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10005
BUSINESS PHONE: 212-483-1818
TA-1/A
1
primary_doc.xml
X0303
TA-1/A
LIVE
3.2.0
0001227021
084-06072
SEC
Brown Brothers Harriman & Co.
269159
50 Milk Street
Boston
MA
MASSACHUSETTS
02109
true
40 Water Street
Boston
MA
MASSACHUSETTS
02109
617.742.1818
true
525 Washington Street
Newport Tower
Jersey City
NJ
NEW JERSEY
07310
For non-qualifying securities
Styne House, Upper Hatch Street
Dublin
L2
IRELAND
For non-qualifying securities
2-8 Avenue Charles De Gaulle, B.P. 403
L-2014, Luxembourg
N4
LUXEMBOURG
For non-qualifying securities
1 Austin Road West
Kowloon
K3
HONG KONG
false
false
false
Partnership
Thomas E. Berk
2005-01-01
Partner
NA
true
Brian A. Berris
1991-01-01
Partner
NA
true
Taylor S. Bodman
1999-01-01
Partner
NA
true
John J. Borland
1998-01-01
Partner
NA
false
Timothy J. Connelly
2001-01-01
Partner
NA
true
Geoffrey M. Cook
2009-01-01
Partner
NA
true
Carl S. Cutler
2008-01-01
Partner
NA
true
Douglas A. Donohue, Jr.
1990-01-01
Partner
A
true
Dario Galindo
2003-01-01
Partner
NA
true
Kathryn C. George
1998-01-01
Partner
NA
true
Kristen Giarrusso
2011-01-01
Partner
NA
true
Timothy E. Hartch
2010-01-01
Partner
NA
true
Kyosuke Hashimoto
1992-01-01
Partner
NA
true
Landon Hilliard III
1979-01-01
Partner
NA
true
Jeffrey R. Holland
2006-01-01
Partner
NA
true
Charles O. Izard
2004-01-01
Partner
NA
true
Jared S. Keyes
2011-01-01
Partner
NA
true
Radford W. Klotz
1995-01-01
Partner
A
true
Susan C. Livingston
1998-01-01
Partner
NA
true
T. Michael Long
1984-01-01
Partner
NA
true
Hampton S. Lynch, Jr.
1984-01-01
Partner
A
true
Michael W. McConnell
1984-01-01
Partner
NA
true
Jeffrey B. Meskin
2011-01-01
Partner
NA
true
John P. Molner
2001-01-01
Partner
NA
true
Donald B. Murphy
1983-01-01
Partner
NA
true
Yukinori Nagahisa
2004-01-01
Partner
NA
true
John A. Nielsen
1987-01-01
Partner
NA
true
Sean Pairceir
2010-01-01
Partner
NA
true
Christopher C. Remondi
2012-01-01
Partner
NA
true
A. Heaton Robertson III
1994-01-01
Partner
NA
true
William E. Rosensweig
2012-01-01
Partner
NA
true
Jeffrey A. Schoenfeld
1996-01-01
Partner
A
true
Kevin W. Stone
2009-01-01
Partner
NA
true
W. Carter Sullivan III
2000-01-01
Partner
NA
true
Andrew J.F. Tucker
1998-01-01
Partner
NA
true
Lawrence C. Tucker
1979-01-01
Partner
NA
true
William B. Tyree
2001-01-01
Partner
NA
true
Maroa C. Velez
2008-01-01
Partner
NA
true
Douglas C. Walker
1998-01-01
Partner
A
true
William J. Whelan, Jr.
2000-01-01
Partner
NA
true
Richard H. Witmer, Jr.
1998-01-01
Partner
A
true
false
false
false
false
false
false
false
false
false
false
false
false
false
false
false
false
false
true
The applicant
NYSE Hearing Board Decision 06-200
2006-11-13
New York Stock Exchange LLC, New York, NY
The enforcement staff's allegations included failure to establish and maintain adequate policies and procedures relating to the identification of, and association with, individuals subject to statutory disqualification, and the prompt reporting to the NYSE of the existence of certain events required to be reported by NYSE rules.
Without admitting or denying guilt, BBH consented to a censure and fine in connection with the allegations. In addition, BBH implemented enhanced policies and procedures with respect to its hiring process and employee reporting requirements.
false
false
false
false
false
false
Amy L. Morris
Senior Vice President
617.772.1490
2012-02-15