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RBC Dominion Securities Corporation

RBC Dominion Securities Corporation (CRD #6579, New York, New York) received a censure and fine of $10,000. The firm was also required to update its written supervisory procedures when dealing with trade reporting. According to the complaint, when the firm reported transactions in OTC equity securities, NNM securities and Nasdaq SmallCap Securities, the reported them late to ACT. Additionally, the firm did not include the correct modifier (.SLD). The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000052)

Did RBC Dominion Securities Corporation manage your investments?



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