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


Pursuant to two rules enacted by the SEC, KeyBanc Capital Markets Inc. is providing information regarding both the quality of its executions and the varying venues to which orders are routed. We have 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 KeyBanc Capital Markets Inc. should not be based solely on these statistics, but on an evaluation of the full range of services that we provide. For further information please visit the Securities and Exchange website at

2008 – Current:

SEC Rule 605 & 606

SEC Rule 606 for Listed Options


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 ( 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.

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