{"id":4148,"date":"2023-05-26T10:35:53","date_gmt":"2021-12-22T12:15:43","guid":{"rendered":"https:\/\/www.rbcwealthmanagement.com\/en-us\/?page_id=4148"},"modified":"2023-11-01T11:07:39","modified_gmt":"2023-11-01T15:07:39","slug":"sec-order-handling-disclosures","status":"publish","type":"page","link":"https:\/\/www.rbcwealthmanagement.com\/en-us\/legal\/sec-order-handling-disclosures","title":{"rendered":"SEC Order Handling Disclosures"},"content":{"rendered":"\n

SEC Order Handling Disclosures<\/span><\/h1><\/div><\/div><\/div><\/div><\/div><\/div><\/div><\/div>\n\n\n\n
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SEC regulations require that broker-dealer firms disclose to clients information with respect to the broker-dealer’s order handling practices. These regulations require that RBC Wealth Management 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

Order Routing Policies and Payment for Order Flow Disclosure <\/a><\/p>\n\n\n\n

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

Order Handling Information <\/a><\/p>\n\n\n\n

For information and disclosure for our RBC Capital Markets division, please see RBCCM LLC Regulatory Disclosures: Equities and Listed Options<\/a>.<\/a><\/p>\n<\/div>\n<\/div>\n<\/div><\/div><\/div><\/section>\n\n\n\n

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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

RBC Wealth Management, a division of RBC Capital Markets, LLC, registered investment adviser and Member NYSE<\/a>\/FINRA<\/a>\/SIPC<\/a>.<\/strong><\/p>\n\n\n\n

<\/p>\n<\/div>\n<\/div>\n<\/div><\/div><\/div><\/section>\n","protected":false},"excerpt":{"rendered":"","protected":false},"author":68,"featured_media":0,"parent":59,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_acf_changed":false,"editor_notices":[],"rbc_url_alias":"legal\/sec-order-handling-disclosures","footnotes":""},"rbcwm_content_owner":[],"class_list":["post-4148","page","type-page","status-publish","hentry"],"acf":[],"yoast_head":"\nSEC Order Handling Disclosures - RBC Wealth Management<\/title>\n<meta name=\"description\" content=\"SEC Order Handling Disclosures SEC regulations require that broker-dealer firms disclose to clients information with respect to the broker-dealer's order\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.rbcwealthmanagement.com\/en-us\/legal\/sec-order-handling-disclosures\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"SEC Order Handling Disclosures\" \/>\n<meta property=\"og:description\" content=\"SEC Order Handling Disclosures SEC regulations require that broker-dealer firms disclose to clients information with respect to the broker-dealer's order\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.rbcwealthmanagement.com\/en-us\/legal\/sec-order-handling-disclosures\" \/>\n<meta property=\"og:site_name\" content=\"RBC Wealth Management\" \/>\n<meta property=\"article:modified_time\" content=\"2023-11-01T15:07:39+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.rbcwealthmanagement.com\/en-us\/wp-content\/uploads\/sites\/7\/2023\/02\/share-logo-1200x630-1.png\" \/>\n\t<meta property=\"og:image:width\" content=\"1200\" \/>\n\t<meta property=\"og:image:height\" content=\"630\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/png\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"SEC Order Handling Disclosures\" \/>\n<meta name=\"twitter:label1\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data1\" content=\"1 minute\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\/\/www.rbcwealthmanagement.com\/en-us\/legal\/sec-order-handling-disclosures\",\"url\":\"https:\/\/www.rbcwealthmanagement.com\/en-us\/legal\/sec-order-handling-disclosures\",\"name\":\"SEC Order Handling Disclosures - 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