1.3
RBC Correspondent Services
2022
4
2023-01-30T15:59:08Z
2022
10
100.00
96.52
0.58
1.99
0.92
Virtu Americas, LLC
36.08
35.04
45.68
63.74
79.86
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
CITADEL SECURITIES LLC
35.04
35.52
31.70
22.34
13.50
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
G1 Execution Services, LLC
20.69
21.10
15.85
10.09
3.60
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
UBS Securities, LLC
8.19
8.34
6.77
3.83
3.04
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
100.00
92.72
2.47
3.75
1.05
Virtu Americas, LLC
47.35
45.95
69.60
63.34
61.35
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
CITADEL SECURITIES LLC
27.07
27.74
17.42
19.46
17.65
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
G1 Execution Services, LLC
22.50
23.21
10.22
14.74
15.96
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
G1X Execution Services, LLC: RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
UBS Securities, LLC
3.08
3.09
2.76
2.45
5.04
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
100.00
28.69
8.47
34.96
27.88
CITADEL SECURITIES LLC
47.01
62.32
60.75
64.98
4.53
10500.65
14.9505
12557.20
25.3384
20166.75
43.9899
985.50
25.4191
For exchange-listed equity and index options, RBC is assessed fees and receives credits from the option market centers that may exceed the amount we are charged. RBC may receive the benefit of these credits and such payments constitute payment for order flow.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders
For penny stock options orders without price improvement remuneration is paid at a rate of no more than $0.25 per contract.
For non-penny stock options orders without price improvement remuneration is paid at a rate of no more than $0.70 per contract.
Wolverine Execution Services, LLC
42.14
37.68
39.11
34.40
57.36
10080.50
31.4397
23792.00
34.2001
18840.50
35.0085
4385.00
29.2763
For exchange-listed equity and index options, RBC is assessed fees and receives credits from the option market centers that may exceed the amount we are charged. RBC may receive the benefit of these credits and such payments constitute payment for order flow.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders
For penny stock options orders remuneration is paid at a rate of no more than $0.25 per contract.
For non-penny stock options orders remuneration is paid at a rate of no more than $0.75 per contract.
Dash/IMC Financial Markets
10.01
0.00
0.00
0.26
35.59
0.00
0.0000
0.00
0.0000
0.00
0.0000
507.27
0.5914
For exchange-listed equity and index options, RBC is assessed fees and receives credits from the option market centers that may exceed the amount we are charged. RBC may receive the benefit of these credits and such payments constitute payment for order flow.
RBC Wealth is a brokerage client of Dash Financial Technologies; while Dash Financial does maintain a relationship with IMC, that relationship is not pertinent to the execution agreement between RBC Wealth and Dash.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders
For options orders without price improvement remuneration is paid at a rate of no more than $0.90 per contract.
Matrix Executions, LLC / Simplex Trading, LLC
0.84
0.00
0.14
0.35
2.52
0.00
0.0000
0.00
0.0000
69.45
19.3454
4581.30
19.6774
For exchange-listed equity and index options, RBC is assessed fees and receives credits from the option market centers that may exceed the amount we are charged. RBC may receive the benefit of these credits and such payments constitute payment for order flow.
Matrix has an arrangement with an affiliated liquidity provider, Simplex Trading, LLC. The arrangement is designed to facilitate liquidity and price improvement opportunities for customers. Pursuant to these arrangements, Matrix routes listed option orders to exchanges and preferences the liquidity providers - including Simplex Trading, LLC.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders
For penny stock options orders remuneration is paid at a rate of no more than $0.15 per contract.
For non-penny stock options orders remuneration is paid at a rate of no more than $0.30 per contract.
2022
11
100.00
96.42
0.50
1.84
1.24
Virtu Americas, LLC
36.16
34.98
44.48
66.19
80.16
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
CITADEL SECURITIES LLC
35.29
35.93
27.21
18.75
12.97
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
G1 Execution Services, LLC
19.99
20.38
15.00
11.67
3.65
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
UBS Securities, LLC
8.56
8.70
13.31
3.39
3.21
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
100.00
91.96
2.78
4.25
1.01
Virtu Americas, LLC
49.37
47.91
72.07
65.11
54.31
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
CITADEL SECURITIES LLC
26.80
27.69
13.60
17.16
23.47
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
G1 Execution Services, LLC
21.58
22.20
10.02
16.26
19.45
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
G1X Execution Services, LLC: RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
UBS Securities, LLC
2.24
2.21
4.32
1.47
2.76
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
100.00
32.31
8.01
34.80
24.89
CITADEL SECURITIES LLC
46.81
58.80
58.55
64.27
3.05
9757.00
13.2862
9728.00
21.7936
23537.05
47.3630
892.10
28.8986
For exchange-listed equity and index options, RBC is assessed fees and receives credits from the option market centers that may exceed the amount we are charged. RBC may receive the benefit of these credits and such payments constitute payment for order flow.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders
For penny stock options orders without price improvement remuneration is paid at a rate of no more than $0.25 per contract.
For non-penny stock options orders without price improvement remuneration is paid at a rate of no more than $0.70 per contract.
Wolverine Execution Services, LLC
46.10
41.20
41.45
35.38
68.96
11698.00
31.9303
19757.25
33.6592
25858.50
33.1146
17632.50
48.7517
For exchange-listed equity and index options, RBC is assessed fees and receives credits from the option market centers that may exceed the amount we are charged. RBC may receive the benefit of these credits and such payments constitute payment for order flow.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders
For penny stock options orders remuneration is paid at a rate of no more than $0.25 per contract.
For non-penny stock options orders remuneration is paid at a rate of no more than $0.75 per contract.
Dash/IMC Financial Markets
7.09
0.00
0.00
0.35
27.99
0.00
0.0000
0.00
0.0000
0.00
0.0000
3545.59
7.1557
For exchange-listed equity and index options, RBC is assessed fees and receives credits from the option market centers that may exceed the amount we are charged. RBC may receive the benefit of these credits and such payments constitute payment for order flow.
RBC Wealth is a brokerage client of Dash Financial Technologies; while Dash Financial does maintain a relationship with IMC, that relationship is not pertinent to the execution agreement between RBC Wealth and Dash.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders
For options orders without price improvement remuneration is paid at a rate of no more than $0.90 per contract.
2022
12
100.00
96.82
0.52
1.77
0.89
Virtu Americas, LLC
35.67
34.66
47.48
65.73
79.26
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
CITADEL SECURITIES LLC
35.03
35.57
25.47
18.44
15.61
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
G1 Execution Services, LLC
20.74
21.10
15.97
11.86
2.44
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
UBS Securities, LLC
8.55
8.67
11.08
3.97
2.69
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
100.00
92.04
2.98
4.16
0.82
Virtu Americas, LLC
48.89
47.41
68.95
66.04
55.01
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
CITADEL SECURITIES LLC
26.22
27.12
14.99
15.23
22.44
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
G1 Execution Services, LLC
22.45
23.18
9.99
16.08
18.22
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
G1X Execution Services, LLC: RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
UBS Securities, LLC
2.43
2.28
6.07
2.66
4.33
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
RBC Capital Markets LLC, does not receive compensation, rebates nor pay transaction fees for the routing of its equity order flow. RBC Capital Markets LLC does not receive incentives for equaling or exceeding an agreed upon volume threshold; RBC Capital Markets LLC is not penalized for failing to meet an agreed upon minimum order flow threshold; nor does RBC Capital Markets LLC have agreements regarding minimum amount of order flow. RBC Capital Markets LLC contracts with third party vendor, S3 Matching Technologies, LP to provide execution metrics that RBC Capital Markets LLC uses to evaluate execution quality among various markets and firms. RBC Capital Markets LLC has arranged for its market centers to remit payment for a portion of this service based on the previous year’s volumes routed to each destination.
100.00
31.21
8.32
33.27
27.20
Wolverine Execution Services, LLC
45.55
44.76
43.91
36.09
58.54
10687.75
30.8823
19504.25
33.1829
18700.25
36.8899
8664.75
37.6385
For exchange-listed equity and index options, RBC is assessed fees and receives credits from the option market centers that may exceed the amount we are charged. RBC may receive the benefit of these credits and such payments constitute payment for order flow.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders
For penny stock options orders remuneration is paid at a rate of no more than $0.25 per contract.
For non-penny stock options orders remuneration is paid at a rate of no more than $0.75 per contract.
CITADEL SECURITIES LLC
43.66
55.24
54.30
63.36
3.01
7713.20
14.6616
7071.55
19.2980
17884.95
44.0061
533.95
29.9467
For exchange-listed equity and index options, RBC is assessed fees and receives credits from the option market centers that may exceed the amount we are charged. RBC may receive the benefit of these credits and such payments constitute payment for order flow.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders
For penny stock options orders without price improvement remuneration is paid at a rate of no more than $0.25 per contract.
For non-penny stock options orders without price improvement remuneration is paid at a rate of no more than $0.70 per contract.
Dash/IMC Financial Markets
10.79
0.00
1.79
0.55
38.45
0.00
0.0000
-63.45
-5.0000
0.00
0.0000
1496.50
1.7830
For exchange-listed equity and index options, RBC is assessed fees and receives credits from the option market centers that may exceed the amount we are charged. RBC may receive the benefit of these credits and such payments constitute payment for order flow.
RBC Wealth is a brokerage client of Dash Financial Technologies; while Dash Financial does maintain a relationship with IMC, that relationship is not pertinent to the execution agreement between RBC Wealth and Dash.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders
For options orders without price improvement remuneration is paid at a rate of no more than $0.90 per contract.