2020066722501 RBC Capital Markets, LLC. CRD 31194 AWC lp (2023-1689207606710).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066722501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC, Respondent Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020068581801 RBC CMA, LLC. CRD 121263 AWC lp (2023-1689207606794).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068581801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC CMA, LLC, Respondent Member Firm CRD No. 121263 Pursuant to FINRA Rule 9216, Respondent RBC CMA, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

The FINRA Examination Team: The Ins and Outs of FINRA’s Annual Program

FINRA's Examination team carries out a core function of FINRA's business by examining every member firm at least every four years and as often as annually, depending on the risk profile of each individual firm. On this episode, leaders from FINRA's Exam program join us for a deep dive into how the program works and what firms can expect during routine firm exams.
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