Bofa Securities, Inc. 

NY

  SEC # 1675365

        

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56  SEC Filings   from  4/26/19  to  4/19/24  (5 Days Ago)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘ATS-N/UA’ — Updating Amendment — Form ATS-N — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  Bofa Securities, Inc.

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Forms , Documents & Exhibits  in  55 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
4/19/24			ATS-N/UA		Trading:		Alternative Trading Systems (NMS Stock) – Updating Amendments — Form ATS-N	18
2/29/24			X-17A-5		Update:		Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers — Form X-17A-5	4
2/14/24			13F-NT		Ownership:		Quarterly Holdings Notices by Money Managers — Form 13F — Assets Under Management	19
12/20/23			4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4	4
12/20/23			3		Ownership:		Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3	3
5/3/22	OLD		ATS-N-C		Trading:		Notice of Cessation — Form ATS-N  OLD	1
1/7/20	OLD		ATS-N/CA		Trading:		Alternative Trading Systems (NMS Stock) – Correcting Amendments — Form ATS-N  OLD	2
5/10/19	OLD		ATS-N		Trading:		Initial Info — Form ATS-N  OLD	1
					Form-Specific Documents:
2/8/24			COVER PAGE		Alternative Trading System – Cover Pages — Form ATS-N			3
					General Exhibits:
5/23/23			EX-24		Powers of Attorney			4
					Additional Exhibits:
12/20/23			EX-99		Miscellaneous Exhibits, such as Press Releases			7
					Alternative Trading System Exhibits:
4/19/24			ATS-N EX-1 SCHD A BD		Direct Owners and Executive Officers — Form BD – Sch. A			21
4/19/24			ATS-N EX-2 SCHD B BD		Indirect Owners — Form BD – Sch. B			21
4/19/24			ATS-N EX-3 REDLINE		Redline Changes — Form BD – Sch. A & B			22
					Broker-Dealer Reports:
2/29/24			FULL		Annual Financial Reports (Full)			4

History as a Money Manager:  Assets Under Management  ·  Related Money Managers

No Forms  nor  Documents  Filed re:  Issuer / Subject Company

        

        

Filings History

Year		# of Filings
2024		5
2023		15
2022		11
2021		5
2020		11
2019		9