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Additional Information
RBC Securities
RBC Rochdale®
Order Execution - RBC Securities routes NMS securities including listed stock and option orders to its clearing firm, National Financial Services LLC (NFS), pursuant to a fully disclosed clearing arrangement. NFS selects the exchanges or broker-dealers for execution on behalf of RBC Securities.
Some of the exchanges or broker-dealers may provide payments to NFS depending upon the characteristics of the order and any subsequent execution. However, other than the clearing arrangement with NFS, RBC Securities does not have any arrangement with the execution venues and RBC Securities does not receive any payment for order flow from NFS or the execution venues. NFS is responsible for disclosing any payment for order flow arrangements separately to RBC Securities customers.
Each quarter, NFS also prepares order routing reporting of RBC Securities customers’ non-directed orders subject to SEC Rule 606, including the type and the identity of the broker-dealers or exchanges receiving these orders. The quarterly reporting is available below.
A copy of the most recent quarterly reporting is also available to you upon request. Upon written request to RBC Securities or NFS, you may also obtain the identity of the broker-dealer or exchange executing your trade and the associated time of execution on any of your equity trades placed within the last six months.
Non-Deposit Investment Products: • Are Not FDIC Insured • Are Not Bank Guaranteed • May Lose Value
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