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RBC Capital Markets, LLC 
 NY
  SEC # 50916

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550  SEC Filings
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  from  2/15/94  to  3/18/24  (Last Week)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘MA-I/A’ — Amendment to Info re: a Natural Person Who Engages in Municipal Advisory Activity — Form MA-I — Filed as:  Filer / Offerer 
 
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notifications of all
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Filings
involving  RBC Capital Markets, LLC 

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Forms
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, Documents
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& Exhibits
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 in  543 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
3/18/24 New Document this Past Month!MA-IRegistration:  Info re: Natural Persons Who Engage in Municipal Advisory Activity — Form MA-I  New Document this Past Month! 276
3/1/24 New Document this Past Month!MARegistration:  Applications for Registrations by Municipal Advisors — Form MA  New Document this Past Month! 25
2/14/24SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G15
2/13/2413F-NTOwnership:  Quarterly Holdings Notices by Money Managers — Form 13F — Assets Under Management
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58
2/5/24MA-ARegistration:  Annual Updates of Registrations by Municipal Advisors — Form MA7
6/3/19 OLD4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD 6
11/12/10 OLD13F-HROwnership:  Quarterly Holdings and Combination Reports by Money Managers — Form 13F  OLD  — Assets Under Management
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50
7/9/09 OLDAPP ORDRSEC:  Application for an SEC Exemption Order – ‘40-APP’ SEC Order  OLD 1
6/25/09 OLD40-APPRegistration:  Applications for Exemption Orders and Other Relief by Investment Companies  OLD 2
6/10/09 OLDNO ACTSEC:  SEC No-Action Letter re: a Shareholder Proposal  OLD 1
6/10/09 OLDAPP NTCSEC:  Application for an SEC Exemption Order – ‘40-APP’ SEC Notice  OLD 1
1/10/01 OLD15-15DUpdate:  Notices of Suspensions of Duty to File Reports — Form 15  OLD 3
12/12/00 OLDDEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD 9
12/8/00 OLDDEFM14AProxy:  Definitive Proxy Statement – Merger or Acquisition — Schedule 14A  OLD 1
11/28/00 OLD8-KUpdate:  Current Reports — Form 8-K  OLD  — Press Releases
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& Conference Calls
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26
11/22/00 OLDPRER14AProxy:  Preliminary Revised Proxy Soliciting Material — Schedule 14A  OLD 1
11/13/00 OLD10-QUpdate:  Quarterly Reports — Form 10-Q  OLD 23
10/18/00 OLDPREM14AProxy:  Preliminary Proxy Statement – Merger or Acquisition — Schedule 14A  OLD 1
6/30/00 OLD10-K405Update:  Annual Reports — Reg. S-K – Item 405 — Form 10-K  OLD 11
5/26/00 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 6
3/24/00 OLDDEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  OLD 7
6/26/98 OLD10-KUpdate:  Annual Reports — Form 10-K  OLD 3
6/12/98 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 4
3/12/98 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD 2
5/1/97 OLD8-A12BRegistration:  Registration Statement for a Class of Securities — Form 8-A  OLD 1
2/10/97 OLD424B2Registration:  Prospectus – Primary Offering or Shelf Securities  OLD 1
1/24/97 OLDS-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations  OLD 2

General Exhibits: 
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11/13/00 OLDEX-4Instruments, Including Indentures, Defining the Rights of Security Holders  OLD 33
6/30/00 OLDEX-23Consents of Experts and Counsel  OLD 23
5/26/00 OLDEX-5Opinions of Counsel re: Legality  OLD 6
5/26/00 OLDEX-24Powers of Attorney  OLD 16
3/17/00 OLDEX-10Material Contracts  OLD 22
3/17/00 OLDEX-21Subsidiaries Lists  OLD 4
5/17/99 OLDEX-3Articles of Incorporation/Organization and Bylaws  OLD 2
5/28/98 OLDEX-25Statement of Eligibility to Act as a Trustee  OLD 1
5/28/98 OLDEX-1Underwriting Agreement or Conflict Minerals Report  (or mislabeled “1st Exhibit”)  OLD 1
4/15/98 OLDEX-2Plan of Acquisition, Reorganization, Arrangement, Liquidation or Succession  OLD 1
3/28/96 OLDEX-22Published Reports re: Matters Submitted to Votes of Security Holders  OLD 2
11/1/95 OLDEX-28Info from Reports Furnished to State Insurance Regulators  OLD 4

Additional Exhibits: 
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2/16/21 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases
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& Conference Calls
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42

Financials: 
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11/13/00 OLDEX-11Statements re: Computations of Earnings Per Share  OLD 24
11/13/00 OLDEX-27Financial Data Schedules {Pre-XBRL}  OLD 27
5/28/98 OLDEX-12Statement re: the Computation of Ratios  OLD 1

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


2 Related Managers who also Reported Holdings for this Manager

As Of
In descending order
  
 
Quarter
(Ended)
  Holdings
Form 13F
  Assets
(Millions)
  Reporting Manager
Manager with whom Investment Discretion is Shared
2/14/2412/31/23  5,471 of 29,380  $105,783,228  
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Royal Bank of Canada
2/12/2412/31/23  95 of 3,386  $22,325  
 SD
 
Dorsey & Whitney Trust Co. LLC


Forms
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, Documents
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& Exhibits
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 in  7 Filings
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 Filed re:  Issuer / Subject Company


        

        
Latest Filing  Type    Category    Description        Documents
     
2/1/01 OLDSC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD 7


        

Filings History

Year    # of Filings
In descending order
2024 10
2023 37
2022 29
2021 31
2020 28
2019 22
2018 47
2017 33
2016 48
2015 19
2014 64
2013 4
2012 4
2011 4
2010 5
2009 10
2008 6
2007 4
2006 5
2005 5
2004 4
2003 4
2002 4
2001 7
2000 30
1999 13
1998 18
1997 17
1996 16
1995 11
1994 11

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