Regal Securities has prepared this report pursuant to U.S. Securities and Exchange Commission Rule 606, formerly Rule 11A(c)1-6, requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of non-directed orders, which are any orders that the customer has not specifically instructed to be routed to a particular venue for execution.
This information can be viewed at:
RBC
2nd Quarter 2024 (PDF) 2nd Quarter 2024 (XML)
1st Quarter 2024 (PDF) 1st Quarter 2024 (XML)
4th Quarter 2023 (PDF) 4th Quarter 2023 (XML)
3rd Quarter 2023 (PDF) 3rd Quarter 2023 (XML)
2nd Quarter 2023 (PDF) 2nd Quarter 2023 (XML)
1st Quarter 2023 (PDF) 1st Quarter 2023 (XML)
4th Quarter 2022 (PDF) 4th Quarter 2022 (XML)
3rd Quarter 2022 (PDF) 3rd Quarter 2022 (XML)
2nd Quarter 2022 (PDF) 2nd Quarter 2022 (XML)
1st Quarter 2022 (PDF) 1st Quarter 2022 (XML)
4th Quarter 2021 (PDF) 4th Quarter 2021 (XML)
3rd Quarter 2021 (PDF) 3rd Quarter 2021 (XML)
2nd Quarter 2021 (PDF) 2nd Quarter 2021 (XML)
1st Quarter 2021 (PDF) 1st Quarter 2021 (XML)
4th Quarter 2020 (PDF) 4th Quarter 2020 (XML)
3rd Quarter 2020 (PDF) 3rd Quarter 2020 (XML)
2nd Quarter 2020 (PDF) 2nd Quarter 2020 (XML)
HTS
2nd Quarter 2024 (PDF) 2nd Quarter 2024 (XML)
1st Quarter 2024 (PDF) 1st Quarter 2024 (XML)
4th Quarter 2023 (PDF) 4th Quarter 2023 (XML)
3rd Quarter 2023 (PDF) 3rd Quarter 2023 (XML)
2nd Quarter 2023 (PDF) 2nd Quarter 2023 (XML)
1st Quarter 2023 (PDF) 1st Quarter 2023 (XML)
4th Quarter 2022 (PDF) 4th Quarter 2022 (XML)
3rd Quarter 2022 (PDF) 3rd Quarter 2022 (XML)
2nd Quarter 2022 (PDF) 2nd Quarter 2022 (XML)
1st Quarter 2022 (PDF) 1st Quarter 2022 (XML)
4th Quarter 2021 (PDF) 4th Quarter 2021 (XML)
3rd Quarter 2021 (PDF) 3rd Quarter 2021 (XML)
2nd Quarter 2021 (PDF) 2nd Quarter 2021 (XML)
1st Quarter 2021 (PDF) 1st Quarter 2021 (XML)
4th Quarter 2020 (PDF) 4th Quarter 2020 (XML)
3rd Quarter 2020 (PDF) 3rd Quarter 2020 (XML)
2nd Quarter 2020 (PDF) 2nd Quarter 2020 (XML)