Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Award Claim

In the Matter of RBC Capital Markets, LLC

Sept. 30, 2024

2024-125

In the Matter of RBC Capital Markets, LLC
Administrative Proceeding File No.: 3-22003
Date Filed: August 14, 2024
Date of Qualifying Judgment/Order: August 14, 2024

Last Reviewed or Updated: Sept. 30, 2024

Rules & Regulations

Enforcement & Litigation

Compliance

In the Matter of RBC Capital Markets, LLC

More in this Section

In the Matter of RBC Capital Markets, LLC