{"id":5855,"date":"2026-08-24T08:21:40","date_gmt":"2026-08-24T12:21:40","guid":{"rendered":"https:\/\/www.rbcclearingandcustody.com\/en-us\/?page_id=5855"},"modified":"2026-08-24T08:21:41","modified_gmt":"2026-08-24T12:21:41","slug":"sec-order-execution-disclosures","status":"publish","type":"page","link":"https:\/\/www.rbcclearingandcustody.com\/en-us\/legal\/sec-order-execution-disclosures\/","title":{"rendered":"SEC Order Execution Disclosures"},"content":{"rendered":"\n<div class=\"wp-block-rbcwm-hero-block rbc-hero-wm  rbc-hero-overlap rbc-hero-overlap-mobile rbc-hero-krf2dj2wq hide-mobile-energy-lines\"><style>\n\t\t.rbc-hero-krf2dj2wq.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-krf2dj2wq.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-krf2dj2wq.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-krf2dj2wq .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-krf2dj2wq.is-style-rbc-hero-gradient::before,\n\t\t\t.rbc-hero-krf2dj2wq.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom::before,\n\t\t\t.rbc-hero-krf2dj2wq.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-krf2dj2wq.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-krf2dj2wq.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-krf2dj2wq.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom .rbc-hero-img-wrap::before,\n            .wp-block-rbcwm-hero-block.rbc-hero-krf2dj2wq.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-krf2dj2wq.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 Execution Disclosures<\/span><\/h1><\/div><\/div><\/div><\/div><\/div><div class=\"rbc-hero-img-wrap undefined\"><\/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=\"row justify-content-between wrap blockId-c9fbe552-13ab-4088-bc61-56d108718abd\">\n<div class=\"wp-block-rbcwm-column col-lg-8\">\n<p class=\"wp-block-paragraph\" id=\"h-\">SEC Rule 605 requires firms to publish certain execution quality statistics on a monthly basis related to each firm\u2019s handling of customer orders in NMS securities. 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 class=\"wp-block-paragraph\"><a href=\"https:\/\/public.s3.com\/rule605\/dain\/\" class=\"link-external\" target=\"_blank\" rel=\"noreferrer noopener\">Order Execution Information<\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\">For information and disclosure for our RBC Capital Markets division, please see&nbsp;<a href=\"https:\/\/www.rbccm.com\/assets\/rbccm\/docs\/legal\/RBC-Capital-Markets-Regulatory-Disclosures-Equities-and-Listed-Options.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">RBCCM LLC Regulatory Disclosures: Equities and Listed Options<\/a>.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n<\/div>\n<\/div>\n<\/div><\/div><\/div><\/section>\n\n\n\n<section class=\"wp-block-rbcwm-rbc-block rbc-block rbc-block-grey rbc-footer-footnotes rbc-block-small has-block-grey-background-color has-background\"><div class=\"container\"><div class=\"row \"><div class=\"col-lg-12\">\n<div class=\"row wrap blockId-15f0b13c-8892-405c-99e1-3e0e98983ef8\">\n<div class=\"wp-block-rbcwm-column col-lg-12\">\n<p class=\"is-style-default has-dark-grey-color has-text-color wp-block-paragraph\"><strong><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><\/strong><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n<\/div>\n<\/div>\n<\/div><\/div><\/div><\/section>\n","protected":false},"excerpt":{"rendered":"","protected":false},"author":15,"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-5855","page","type-page","status-publish","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v27.5 (Yoast SEO v27.9) - https:\/\/yoast.com\/product\/yoast-seo-premium-wordpress\/ -->\n<title>SEC Order Execution Disclosures - 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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