SEC Divison of Enforcement Announces ARS Settlement in Principle with RBC Capital Markets Corp.
Washington, D.C., Oct. 8, 2008 (LAWFUEL) – The Securities and Exchange Commission’s Division of Enforcement today announced a preliminary settlement in principle with RBC Capital Markets Corp. (RBC) that would provide individual investors, small businesses, small nonprofits, charities and religious organizations the opportunity to sell back to RBC all of the auction rate securities (ARS) […]