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FINRA fines RBC Capital Markets $15,000 for muni violations

FINRA fines RBC Capital Markets $15,000 for muni violations
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Christopher perilloAcademy securitiesExchange act ruleFinancial industry regulatory authorityMunicipal securities rulemaking board rulesTrade order management system

FINRA fines and suspends broker over testing violation

FINRA fines and suspends broker over testing violation
bondbuyer.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from bondbuyer.com Daily Mail and Mail on Sunday newspapers.

Christopher perilloAcademy securitiesPrometric test centerYork army national guardNational adjudicatory councilFinancial industry regulatory authorityMunicipal securities rulemaking board ruleSecurities representativeUniform termination noticeSecurities registrationSecurities industry essentialsNew york army national