RCS Capital Corp – Filings and Transcripts – BamSEC

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SEC EDGAR

Financials Filter

ended 09/30/15 Q3

Late quarterly filing notification for Q3 2015

ended 06/30/15 Q2

Late quarterly filing notification for Q2 2015

ended 03/31/15 Q1

Prospectuses and Registrations Filter

Securities registration termination

Registration withdrawal request

Removal from listing

Exempt offering of securities

Exempt offering of securities

Ownership Filter

Luxor Capital Group, LP

Lcg Holdings LLC, Luxor Capital Group, LP, Luxor Capital Partners Offshore Ltd, Luxor Capital Partners, LP, Thebes Partners Offshore, Ltd.

Point72 Asset Management, L.P.

Pinsker Michael

MPAP Holdings, LLC

News Filter

(I) Order Approving the Cetera Debtors’ Solicitation And

Monthly Operating Report

Monthly Operating Report

Provides Update on Ongoing Initiatives to Transform to Cetera-Only Independent Retail Business

Material Definitive Agreement, New Financial Obligation or Off-Balance Sheet Arrangement, Financial Statements or Exhibits

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Preliminary info

Definitive proxy

Preliminary proxy

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Notice of effectiveness

Notice of effectiveness

Confidential treatment order

Notice of effectiveness

Letter from the SEC