# SEC Investment Advisers Act of 1940 order IA-5198
> Respondent: **RBC Capital Markets, LLC** · 2019-03-11 · File 3-19101
## Proceeding
- **Release Number:** IA-5198
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-19101
- **Publish Date:** 2019-03-11
## Respondents
- RBC Capital Markets, LLC
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2019/ia-5198.pdf](https://www.sec.gov/files/litigation/admin/2019/ia-5198.pdf)

---
*Source: [SEC Administrative Proceedings](https://www.sec.gov/litigation/admin) · AI Analytics · CC0 1.0*