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The firm is paying $800,000 to resolve allegations that it had “unfair dealings” via municipal bond transactions.
The Securities and Exchange Commission has ordered RBC Capital Markets to pay “more than $800,000 to resolve charges that it engaged in unfair dealing in municipal bond offerings.” While RBC Capital Markets neither admits nor denies the SEC allegations, it has agreed to pay the financial penalty and be censured. In a related settlement, two...
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