Futures Commission Merchant Disclosures

CFTC Financial Disclosures

U.S. Disclosure Statements

  • CFTC Regulation 1.55(k) Disclosure Document
  • IRS Section 871(m) Customer Notification
  • The funds you deposit with a futures commission merchant may be invested by the futures commission merchant in certain types of financial instruments that have been approved by the Commission for the purpose of such investments. Permitted investments are listed in Commission Regulation 1.25 and include: U.S. government securities; municipal securities; money market mutual funds; and certain corporate notes and bonds. The futures commission merchant may retain the interest and other earnings realized from its investment of customer funds. You should be familiar with the types of financial instruments that a futures commission merchant may invest customer funds in. This information may be obtained from the NFA.
  • Additional financial information on all FCM's are available from the CFTC.

EMIR and MiFID Disclosure Statements

RBC Capital Markets is the global brand name for the capital markets business of Royal Bank of Canada and its affiliates. This webpage refers directly to RBC Capital Markets business in the United States conducted by RBC Capital Markets, LLC; the Broker-Dealer and FCM (member FINRA, NFA, NYSE and SIPC).