IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT

To help the government fight the funding of terrorism and money laundering activities, federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account.

 

What this means for you: When you open an account, we will ask for your name, address, tax identification number, date of birth (as applicable) and other information that will allow us to identify you. If you are an individual, we may also ask to see your driver's license or other identifying documents. A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement or a trust agreement or other requested documents.
U.S. Department of Treasury, Securities and Exchange Commission, NASD, and New York Stock Exchange rules already require you to provide most of this information.  These rules also may require you to provide additional information, employment information, investment experience and objectives and risk tolerance. 
If you do not provide the information requested or your identity cannot be verified by us, then we may not be able to open an account or carry out transactions for you.  If you have already opened an account, we may have to close it.

 

 

Information Concerning RBC Capital Markets Corporation, a US Broker Dealer

 

 

SIPC

 

RBC Capital Markets Corporation, a US Broker dealer affiliate of RBC Dominion Securities Inc. (and the Royal Bank of Canada), is a Member of the Securities Investor Protection Corporation ( SIPC) 

 

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Order Routing Information

 

Order routing information for customers of RBC Capital Markets Corporation is available at http://www.tagaudit.com/rule6.asp?user=rbcm

 

 

Business Recovery Plan

 

View Information concerning the Business Recovery Plan  of RBC Capital Markets Corporation, and contact information in the event of an emergency.

 

Auction Rate Procedures

 

RBC Capital Markets Corporation material auction practices and procedures can be view by clicking here

 

 

 

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