Transparency in our order routing practices and regulatory compliance
Currently all orders of Harley Capital are offered through its clearing firm, RBC Correspondent Services (RBC CS), a division of RBC Capital Markets, LLC.
RBC Correspondent Services has provided information pursuant to a U.S. Securities and Exchange Commission (SEC) rule (606) that requires firms to make publicly available quarterly reports on the firm's order routing practices. The report provides information on the routing of "non-directed orders" which is generally defined as any order that the client has not specifically instructed to be routed to a particular venue for execution.
For these non-directed orders, RBC CS has selected the execution venue on behalf of its clients.
The report is divided into four sections:
For each section, this report identifies the venues most often selected by RBC CS, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of RBC CS's relationship with the venues.
Important Notice:
Transaction Auditing Group (TAG) has been selected to disseminate on their public website the Order Handling Disclosure Report for RBC CS. When you select this link, you will be leaving the RBC CS website.