RJF 10-Q Quarterly Report March 31, 2020

RAYMOND JAMES FINANCIAL INC

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TABLE OF CONTENTS

Part I. Financial Information Item 1. Financial Statements Note 1 Organization and Basis Of Presentation Note 2 Update Of Significant Accounting Policies Note 3 Fair Value Note 4 Available-for-sale Securities Note 5 Derivative Assets and Derivative Liabilities Note 6 Collateralized Agreements and Financings Note 7 Bank Loans, Net Note 8 Variable Interest Entities Note 9 - Goodwill and Identifiable Intangible Assets, Net Note 10 Leases Note 11 Bank Deposits Note 12 Other Borrowings Note 13 Senior Notes Payable Note 14 Income Taxes Note 15 Commitments, Contingencies and Guarantees Note 16 Accumulated Other Comprehensive Income/(loss)Note 17 Revenues Note 18 Interest Income and Interest Expense Note 19 Share-based Compensation Note 20 Regulatory Capital Requirements Note 21 Earnings Per Share Note 22 Segment Information Item 2. Management S Discussion and Analysis Of Financial Condition and Results Of Operations Item 3. Quantitative and Qualitative Disclosures About Market Risk Item 4. Controls and Procedures Part II. Other Information Item 1. Legal Proceedings Item 1A. Risk Factors Item 2. Unregistered Sales Of Equity Securities and Use Of Proceeds Item 3. Defaults Upon Senior Securities Item 4. Mine Safety Disclosures Item 5. Other Information Item 6. Exhibits

Exhibits

3.1 Restated Articles of Incorporation of Raymond James Financial, Inc. as filed with the Secretary of State of Florida on November 25, 2008, incorporated by reference to Exhibit 3(i).1 to the Companys Annual Report on Form 10-K, filed with the Securities and Exchange Commission on November 28, 2008. 3.2 Amended and Restated By-Laws of Raymond James Financial, Inc., reflecting amendments adopted by the Board of Directors on November 30, 2017, incorporated by reference to Exhibit 3.1 to the Companys Current Report on Form 8-K, filed with the Securities and Exchange Commission on December 5, 2017. 4.1 Seventh Supplemental Indenture, dated as of March 31, 2020, for the 4.650% Senior Notes due 2030, between Raymond James Financial, Inc. and The Bank of New York Mellon Trust Company, N.A., as trustee, incorporated by reference to Exhibit 4.2 to the Companys Current Report on Form 8-K, filed with the Securities and Exchange Commission on March 31, 2020. 10.1 Raymond James Financial, Inc. Amended and Restated 2012 Stock Incentive Plan (as amended through February 20, 2020), incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K, filed with the Securities and Exchange Commission on February 24, 2020. 31.1 Certification of Paul C. Reilly pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 31.2 Certification of Paul M. Shoukry pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 32 Certification of Paul C. Reilly and Paul M. Shoukry pursuant to Rule 13a-14(b) and 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

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SPDR Gold Shares	GLD
CME Group Inc.	CME
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Nasdaq, Inc.	NDAQ
iShares Gold Trust	IAU
MarketAxess Holdings Inc.	MKTX

RJF 10-Q Quarter ended March 31, 2020

Exhibits