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

FINRA fines RBC Capital Markets $15,000 for muni violations
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 Perillo , Academy Securities , Exchange Act Rule , Financial Industry Regulatory Authority , Municipal Securities Rulemaking Board Rules , Trade 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 Perillo , Academy Securities , Prometric Test Center , York Army National Guard , National Adjudicatory Council , Financial Industry Regulatory Authority , Municipal Securities Rulemaking Board Rule , Securities Representative , Uniform Termination Notice , Securities Registration , Securities Industry Essentials , New York Army National ,