2015046716901 Cetera Advisor Networks LLC CRD 13572 et al AWC rrm (2021-1610756403538).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046716901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cetera Advisor Networks LLC, Respondent Member Firm CRD No. 13572 Cetera Advisors LLC, Respondent Member Firm CRD No. 10299 Cetera Financial Specialists LLC, Respondent Member Firm CRD No. 10358 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents Cetera Advisor Networks LLC, Cetera Advisors LLC

2016047696701 RBC Capital Markets, LLC CRD 31194 AWC rrm (2021-1610756403689).pdf

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.

Regulatory Notice 20-42

Summary

In response to the coronavirus (COVID-19) pandemic, member firms have made rapid and unprecedented changes to their business operations in order to prioritize the health and safety of firm personnel and investors, while maintaining the public’s access to capital markets. These changes include widespread use of remote offices and alternative work arrangements and new and expanded methods of engaging with personnel and investors. Member firms have also used new methods of engaging with FINRA and other regulators and complying with regulatory requirements.

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