RBC Capital Markets Fined by Montana Regulators - Professional Financial Advisor

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RBC Capital Markets Fined by Montana Regulators

Saturday, Nov 09 2013

Regulatory & Compliance

Written by PFA News

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RBC Capital Markets has been fined more than $42,000 by Montana state regulators for failing to register certain administrative staffers who were handling sales functions. So reports the Independent Record.

The broker-dealers has settled the violations with Montana and various other states.

Read the full article from the Independent Record.

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