RBC Capital Markets, LLC – Filings and Transcripts – BamSEC

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Key Exhibits

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SEC EDGAR

Financials Filter

ended 09/30/00 Q3

ended 06/30/00 Q2

Annual report with delinquent filer disclosure – amended

ended 03/31/00 Q1

Annual report with delinquent filer disclosure

Prospectuses and Registrations Filter

Application for municipal advisor registration for natural person – amended

Application for municipal advisor registration for natural person – amended

Application for municipal advisor registration for natural person – amended

Application for municipal advisor registration for natural person – amended

Application for municipal advisor registration for natural person – amended

Ownership Filter

Notice of holdings reported by another manager

Notice of holdings reported by another manager

Notice of holdings reported by another manager

Notice of holdings reported by another manager

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Other Events, Financial Statements and Exhibits

Other Events, Financial Statements and Exhibits

Other Events, Financial Statements and Exhibits

Other Events, Financial Statements and Exhibits

Proxies Filter

Annual report of proxy voting record

Additional info about upcoming vote

Proxy related to merger

Preliminary revised proxy

Additional info about upcoming vote

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