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(c) 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 ContinuityKeyCorp's Corporate Continuity and Recovery (CCR) unit ensures that the corporation is prepared for and is capable of successfully recovering from any service interruption.

Important information (PDF) about procedures for opening accounts at Key

SEC REQUIRED ORDER EXECUTION AND ORDER ROUTING INFORMATION DISCLOSURE
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 www.sec.gov.


2008 – Current:

SEC Rule 605 & 606

SEC Rule 606 for Listed Options


2007 and Prior Years:

SEC Rule 605

SEC Rule 606

Please read our complete KeyBanc Capital Markets disclosure statement.

Risk Factors of Extended Hours Trading Sessions

Disclosures & Procedures for Auction Rate Securities