{"id":1344,"date":"2023-02-14T21:53:16","date_gmt":"2023-02-14T21:53:16","guid":{"rendered":"https:\/\/www.rbcclearingandcustody.com\/en-us\/?page_id=1344"},"modified":"2025-10-08T13:35:52","modified_gmt":"2025-10-08T17:35:52","slug":"sec-order-handling-disclosures","status":"publish","type":"page","link":"https:\/\/www.rbcclearingandcustody.com\/en-us\/legal\/sec-order-handling-disclosures\/","title":{"rendered":"SEC Order Handling Disclosure"},"content":{"rendered":"\n<div class=\"wp-block-rbcwm-hero-block rbc-hero-wm  rbc-hero-overlap rbc-hero-overlap-mobile rbc-hero-tg74jl8hk hide-mobile-energy-lines\"><style>\n\t\t.rbc-hero-tg74jl8hk.is-style-rbc-hero-gradient::before {\n\t\t\tbackground: linear-gradient(90deg, #023169 20%, rgba(94, 120, 131, 0) 60%);\n\t\t}\n\n\t\t.rbc-hero-tg74jl8hk.is-style-rbc-hero-gradient.rbc-hero-has-image-bleed::before {\n\t\t\tbackground: linear-gradient(90deg, #023169 20%, rgba(94, 120, 131, 0) 60%);\n\t\t}\n\n\t\t.rbc-hero-tg74jl8hk.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom::before {\n\t\t\tbackground: linear-gradient(180deg, #023169 20%, rgba(94, 120, 131, 0) 60%);\n\t\t}\n\n\t\t.rbc-hero-tg74jl8hk .rbc-hero-energy-lines.rbc-hero-energy-lines-left {\n\t\t\ttransform: scaleX(-1);\n\t\t}\n\n\t\t@media (max-width: 991px) {\n\t\t\t.rbc-hero-tg74jl8hk.is-style-rbc-hero-gradient::before,\n\t\t\t.rbc-hero-tg74jl8hk.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom::before,\n\t\t\t.rbc-hero-tg74jl8hk.is-style-rbc-hero-gradient.rbc-hero-has-image-bleed::before {\n\t\t\t\tbackground: none;\n\t\t\t}\n\n\t\t\t.rbc-hero-tg74jl8hk.rbc-hero-has-image-full.hide-mobile-energy-lines .rbc-hero-energy-lines {\n\t\t\t\tdisplay: none;\n\t\t\t}\n\n\t\t\t.wp-block-rbcwm-hero-block.rbc-hero-tg74jl8hk.is-style-rbc-hero-gradient .rbc-hero-img-wrap::after {\n\t\t\t\tbackground: linear-gradient( 0deg, #023169 0%, rgba(94, 120, 131, 0) 25% );\n\t\t\t}\n\t\t\t\n\t\t\t.wp-block-rbcwm-hero-block.rbc-hero-tg74jl8hk.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom .rbc-hero-img-wrap::before,\n            .wp-block-rbcwm-hero-block.rbc-hero-tg74jl8hk.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom .container .rbc-hero-img-wrap::before {\n\t\t\t\tbackground: linear-gradient( 180deg, #023169 0%, rgba( 94, 120, 131, 0 ) 25% );\n\t\t\t}\n\t\t\t\n\t\t\t.wp-block-rbcwm-hero-block.rbc-hero-tg74jl8hk.is-style-rbc-hero-gradient .rbc-hero-card {\n\t\t\t\tbackground: #023169;\n\t\t\t}\n\t\t}\n\t<\/style><div class=\"container\"><div class=\"row no-gutters\"><div class=\"col-lg-12 rbc-hero-card-content\"><div class=\"rbc-card rbc-hero-card rbc-hero has-content\"><div class=\"rbc-card-wrap\"><div class=\"rbc-card-body\"><div class=\"rbc-hero-body-content\"><h1 class=\"rbc-hero-title\"><span>SEC Order Handling Disclosures<\/span><\/h1><\/div><\/div><\/div><\/div><\/div><div class=\"rbc-hero-img-wrap col-lg-5 order-2 order-lg-1\"><\/div><\/div><\/div><\/div>\n\n\n\n<section class=\"wp-block-rbcwm-rbc-block rbc-block rbc-block-grey has-block-grey-background-color has-background\"><div class=\"container\"><div class=\"row \"><div class=\"col-lg-12\">\n<div class=\"wp-block-rbcwm-columns container\"><div class=\"row no-gutters blockId-06d839e2-2552-4d1b-ac9e-fca6ef7a047d\">\n<div class=\"wp-block-rbcwm-column col-md-8 col-lg-8\">\n<p>SEC regulations require that broker-dealer firms disclose to clients information with respect to the broker-dealer&#8217;s order handling practices. These regulations require that RBC Capital Markets identify the different market centers to which the Firm routes client orders and disclose any material relationship that the Firm may have with that market center, including the receipt of any payment received for sending client orders to that market center.<\/p>\n\n\n\n<p><a href=\"https:\/\/www.rbcclearingandcustody.com\/en-us\/wp-content\/uploads\/cc\/routing-policies-order-flow-cc.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">Order Routing Policies and Payment for Order Flow Disclosure<\/a><\/p>\n\n\n\n<p>RBC Capital Markets has engaged the services of a vendor to compile and disclose the required information. By following the link below, you will be leaving the RBC Clearing &amp; Custody website.<\/p>\n\n\n\n<p><a href=\"http:\/\/external.s3.com\/rule606\/rbcwm\/wealthmgmtpcg\/\" target=\"_blank\" rel=\"noreferrer noopener\" class=\"link-external\">Order Handling Information<\/a><\/p>\n\n\n\n<p>For information and disclosure for our RBC Capital Markets division, please see <a href=\"https:\/\/www.rbccm.com\/assets\/rbccm\/docs\/legal\/RBC-Capital-Markets-Regulatory-Disclosures-Equities-and-Listed-Options.pdf\">RBCCM LLC Regulatory Disclosures: Equities and Listed Options<\/a>.<\/p>\n\n\n\n<p class=\"is-style-caption\"><strong>Investment and insurance products are not insured by the FDIC or any other federal government agency, are not deposits or other obligations of, or guaranteed by, a bank or any bank affiliate, and are subject to investment risks, including possible loss of the principal amount invested.<\/strong><a href=\"http:\/\/external.s3.com\/rule606\/rbcwm\/wealthmgmtpcg\/\" target=\"_blank\" rel=\"noreferrer noopener\"><\/a><\/p>\n<\/div>\n<\/div><\/div>\n<\/div><\/div><\/div><\/section>\n","protected":false},"excerpt":{"rendered":"","protected":false},"author":1,"featured_media":0,"parent":74,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_acf_changed":false,"editor_notices":[],"footnotes":""},"rbcwm_content_owner":[],"class_list":["post-1344","page","type-page","status-publish","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v27.5 (Yoast SEO v27.6) - https:\/\/yoast.com\/product\/yoast-seo-premium-wordpress\/ -->\n<title>SEC Order Handling Disclosure - RBC Clearing &amp; Custody<\/title>\n<meta name=\"description\" content=\"We provide responsive clearing and execution services to successful financial services businesses like yours. 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