{"id":28731,"date":"2026-08-24T08:22:43","date_gmt":"2026-08-24T12:22:43","guid":{"rendered":"https:\/\/www.rbcwealthmanagement.com\/en-us\/?page_id=28731"},"modified":"2026-08-24T08:22:45","modified_gmt":"2026-08-24T12:22:45","slug":"sec-order-execution-disclosures","status":"publish","type":"page","link":"https:\/\/www.rbcwealthmanagement.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-d2d00loyi hide-mobile-energy-lines\"><style>\n\t\t.rbc-hero-d2d00loyi.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-d2d00loyi.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-d2d00loyi.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-d2d00loyi .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-d2d00loyi.is-style-rbc-hero-gradient::before,\n\t\t\t.rbc-hero-d2d00loyi.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom::before,\n\t\t\t.rbc-hero-d2d00loyi.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-d2d00loyi.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-d2d00loyi.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-d2d00loyi.is-style-rbc-hero-gradient.rbc-hero-has-image-bottom .rbc-hero-img-wrap::before,\n            .wp-block-rbcwm-hero-block.rbc-hero-d2d00loyi.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-d2d00loyi.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 Wealth Management 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 Wealth Management website.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/public.s3.com\/rule605\/dain\/\" class=\"link-external\">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<\/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>Investment and insurance products offered through RBC Wealth Management 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><\/p>\n\n\n\n<p class=\"is-style-default has-dark-grey-color has-text-color wp-block-paragraph\"><strong>RBC Wealth Management, a division of RBC Capital Markets, LLC, registered investment adviser and Member&nbsp;<\/strong><a href=\"https:\/\/www.nyse.com\/index\" target=\"_blank\" rel=\"noreferrer noopener\"><strong>NYSE<\/strong><\/a><strong>\/<\/strong><a href=\"https:\/\/www.finra.org\/\" target=\"_blank\" rel=\"noreferrer noopener\"><strong>FINRA<\/strong><\/a><strong>\/<\/strong><a href=\"https:\/\/www.sipc.org\/\" target=\"_blank\" rel=\"noreferrer noopener\"><strong>SIPC<\/strong><\/a><strong>.<\/strong><\/p>\n<\/div>\n<\/div>\n<\/div><\/div><\/div><\/section>\n","protected":false},"excerpt":{"rendered":"","protected":false},"author":15,"featured_media":0,"parent":59,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_acf_changed":false,"editor_notices":[],"rbc_url_alias":"","footnotes":""},"rbcwm_content_owner":[],"class_list":["post-28731","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) - 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