KeyBanc Capital Markets Inc. Customer Disclosures
We help our institutional clients lead in an ever-changing marketplace and in all market conditions. We are an integrated source for capital-raising, strategic advisory and industry expertise providing customized solutions from debt offerings to privatization.
KeyBanc Capital Markets Inc. Statement of Financial Condition
Pursuant to section 240.17a-5 of the Securities Exchange Act of 1934, KeyBanc Capital Markets Inc. is required to make available to customers its annual audited financial statements. View the most recent KeyBanc Capital Markets Inc. Annual Audit Report.
Business Continuity – KeyBanc Capital Markets Inc., through KeyCorp’s Enterprise Business Resiliency group, maintains comprehensive processes to effectively respond to an incident to achieve and sustain continuous business operations, with limited impact to the business, while being consistent with industry standards and meeting regulatory expectations.
Important information (PDF) about procedures for opening accounts at Key
SEC REQUIRED ORDER EXECUTION AND ORDER ROUTING INFORMATION DISCLOSURE
Pursuant to SEC Rule 605 and 606, KeyBanc Capital Markets Inc. (“KEYB”) is providing information regarding both the quality of its executions and the varying venues to which orders are routed. KEYB has made every attempt to prepare these statistics in compliance with the SEC's rules, however, these statistics have not been audited and may contain errors. Accordingly, any decision about whether to open an account or to direct orders to KBCM should not be based solely on these statistics, but on an evaluation of the full range of services that we provide.
KEYB will make available to any client the identity of the venue to which the client’s orders were routed for execution during the six months prior to a client’s request, whether the orders were directed or non-directed orders, and the time of the transactions, if any, that resulted from the orders. If you would like to request this information with respect to any order you have placed, or if you have any questions regarding KBCM routing, you may email: email@example.com.
For information please refer to links below and select the downloadable KEYB- Keybanc Capital Markets Inc.
Disclosure of SEC-Required Order Execution Information - SEC Rule 605
Disclosure of SEC-Required Order Routing Information - SEC Rule 606
For further information please visit the Securities and Exchange website at www.sec.gov.
Please read our complete KeyBanc Capital Markets disclosure statement.
Risk Factors of Extended Hours Trading Sessions
Disclosures & Procedures for Auction Rate Securities
Disclosure Related to MSRB Rule G-10
KBCM Inc. is a registered broker-dealer and municipal advisor with the U.S. Securities and Exchange Commission (SEC) and the Municipal Securities Rulemaking Board (MSRB). Municipal security investors and municipal advisory clients are directed to the MSRB website (www.msrb.org) for important investor/client protection information, including how to file a complaint with an appropriate regulatory authority. Please refer to the MSRB’s Investor Brochure and Municipal Advisory Client Brochure.