RBC CAPITAL MARKETS LLC.

09/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120317576-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent Broker-Dealer CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement

Reference 2012031757601finra.orgdata-portal.finra.org

11/08/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130392118-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC ("DAIN," the "firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2013039211801data-portal.finra.orgfinra.org

03/31/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140411974-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Repondent Broker-Dealer CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the Purpose of proposing a settlement of the alleged rule violations

Reference 2014041197401data-portal.finra.orgfinra.org

03/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039474902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FlNRA") RE: RBC Capital Markets, LLC, Respondent Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC ("RBC" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

Reference 2013039474902data-portal.finra.orgfinra.org

07/02/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063914601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRDNo. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019063914601data-portal.finra.orgfinra.org

07/28/2026: From February 2016 through September 2023, RBC failed to develop and implement an anti-money laundering (AML) compliance program reasonably designed to detect and cause the reporting of suspicious transactions, in violation of FINRA Rules 3310(a), 3310(f)(ii) and 2010. For these violations, RBC is censured and fined $275,000.

Reference 2022075967301data-portal.finra.orgfinra.org

04/04/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042542901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC ("RBC," "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2014042542901data-portal.finra.orgfinra.org

04/24/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100226193-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC (f/k/a RBC Capital Markets Corporation), Respondent Broker-Dealer CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2010022619301data-portal.finra.orgfinra.org

10/31/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067000501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Finn CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC (RBC) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2020067000501data-portal.finra.orgfinra.org

07/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130377846-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent Broker-Dealer CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC, ("RBCD" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013037784601data-portal.finra.orgfinra.org

11/13/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110280314-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent Broker-Dealer CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2011028031401data-portal.finra.orgfinra.org

07/11/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071191801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2021071191801data-portal.finra.orgfinra.org

01/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020904501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent (BD No. 31194) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC ("RBC," the "firm," or "Respondent"), formerly known as RBC Capital Corporation, submits this Letter of Acceptance, Waiver and Consent ("AWC'') for the purpose of proposing a settlement of the

Reference 2009020904501finra.orgdata-portal.finra.org

04/29/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015046503001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2015046503001data-portal.finra.orgfinra.org

11/03/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140413771-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FlNRA") RE: RBC Capital Markets, LLC, Respondent Broker-Dealer CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014041377101data-portal.finra.orgfinra.org

06/12/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066722501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC, Respondent Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2020066722501data-portal.finra.orgfinra.org

06/10/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043628201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC ("RBC," "Respondent" or "Firm") CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on

Reference 2014043628201data-portal.finra.orgfinra.org

12/15/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047696701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC, Respondent Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2016047696701data-portal.finra.orgfinra.org

06/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358260-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent Broker-Dealer CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013035826001data-portal.finra.orgfinra.org

12/15/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054432703 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC (RBC) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

Reference 2017054432703data-portal.finra.orgfinra.org

10/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150442305-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent Broker-Dealer CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015044230501data-portal.finra.orgfinra.org

04/14/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061442501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019061442501data-portal.finra.orgfinra.org

07/16/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090197257 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent Member CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC ("RBC" or the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2009019725701data-portal.finra.orgfinra.org

12/29/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017054718901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC (Respondent) Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

Reference 2017054718901data-portal.finra.orgfinra.org

08/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080136349-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent Broker-Dealer CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets Corporation (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2008013634901data-portal.finra.orgfinra.org

12/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100214963-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent Broker-Dealer CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2010021496301data-portal.finra.orgfinra.org

04/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022918701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC ("RBC", "Respondent", or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2010022918701data-portal.finra.orgfinra.org

10/17/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046652401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent RBC Capital Markets, LLC ("RBC," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015046652401finra.orgdata-portal.finra.org

05/03/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150464695-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent Broker-Dealer CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015046469501data-portal.finra.orgfinra.org

12/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049821601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets LLC, Respondent CRD No. 31194 RBC Capital Markets Arbitrage S.A., Respondent CRD No. 121263 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents RBC Capital Markets LLC (''RBC-CM") and RBC Capital Markets Arbitrage S.A. ("RBC-CMA," together with RBC-CM, "RBC" or "Respondents"),

Reference 2016049821601data-portal.finra.orgfinra.org

11/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20080153687-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent Broker-Dealer CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets Corporation (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2008015368701data-portal.finra.orgfinra.org

05/04/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043005601 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: RBC Capital Markets, LLC, Respondent Broker-Dealer CRD No. 31194 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, RBC Capital Markets, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014043005601data-portal.finra.orgfinra.org