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Webregistered representatives. RBC also violated Section 15B(c)(1) of the Exchange Act and caused violations of Section 15(a)(1) of the Exchange Act. Respondent 1. RBC Capital Markets, LLC, incorporated in Minnesota and headquartered in New York, New York, is registered with the Commission as a broker-dealer, municipal securities dealer, WebRBC Capital Markets, LLC; RBC Capital Markets, LLC - New York, NY. 1211 Avenue of the Americas New York, NY 10036. Write A Review. Updated: 04/17/2014 . Your Profile? … opac hs fulda
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WebContinue for approximately ½ mile; 1211 Avenue of the Americas will be on your left-hand side, between 47th and 48th Streets. For the key players in the New York-based business and financial arena, the 500 legal professionals in our New York office deliver industry savvy, a long-term commitment to New York, and the relationships and resources of a global firm. WebRBC Capital Markets, LLC violated: (i) Section 17(a) under the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 17a-3(a)(6)(i) thereunder (“Rule 17a-3”), along with (ii) NYSE American Rule 956NY, for failing to create, maintain, and preserve accurate records of manual customer orders routed to the NYSE American Options floor (the opacification ethmoid air cells