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October 24, 2012 Securities and Exchange Commission Attn.: Ms. Nancy M. Morris, Secretary 100 F Street, N .E. Washington, DC[removed]
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Document Date: 2012-10-26 09:33:38

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File Size: 236,89 KB

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City

Petersburg / /

Company

Excess Margin Securities / Raymond James Financial Inc. / D. Conclusion Raymond James Financial Inc. / /

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Event

Bankruptcy / Product Recall / Product Issues / /

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IndustryTerm

reserve bank account / unaffiliated bank / bank / affiliate banks / bank deposits / market maker / /

Organization

Securities and Exchange Commission / /

Person

Paul L. Matecki / Nancy M. Morris / /

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Position

broker-dealer / counsel / raymondjames.com Writer / Senior Vice President / registered broker-dealer / General Counsel / Secretary / /

Product

Rule Governing Orders Restricting / /

ProvinceOrState

Florida / /

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