Relationship Between SunStreet Securities and RBC Capital Markets:

SunStreet Securities has entered into a clearing arrangement with RBC Capital Markets to perform certain services. RBC Capital Markets is carrying the Client(s)’ account as a clearing broker pursuant to a clearing agreement. Under this arrangement, RBC Capital Markets provides SunStreet Securities with certain clearing and execution services, including, but are not limited to, the preparation of customer trade confirmations and customer statements, the execution and settlement of securities transactions, the performance of designated cashiering functions, and the preparation of certain books and records related to reported securities transactions. Under the arrangement, SunStreet Securities retains sole responsibility for, among other things, monitoring and supervising compliance with the rules and/or regulations for the opening, approving and maintenance of customer accounts as well as suitability requirements, if any, for all transactions therein.

 

RBC Capital Markets participates in payment for order flow practices. This means that RBC Capital Markets receives payments from and makes payments to certain nonaffiliated broker/dealers for routing customer orders from SunStreet Securities for execution. This is an accepted industry practice; be assured that RBC Capital Markets is committed to achieving the best execution for the Client(s) at all times. Additional information can be provided upon written request. SunStreet Securities does not participate in payment for order flow practices.

 

Investment security – RBC Capital Markets, LLC is a member of the Securities Investor Protection Corporation (SIPC), which protects clients’ accounts up to $500,000 each (limited to $250,000 cash).

RBC Capital Markets, LLC also has a policy from Lloyd’s of London that covers additional asset protection up to $99.5 million per SIPC qualified account (of which $900,000 may be in cash), subject to a total maximum aggregate of $400 million for RBC Capital Markets, LLC.


Customer’s assets are protected by the Securities Investor Protection Corporation (SIPC). SIPC protection currently covers up to $500,000 per account (of which $250,000 may be cash). RBC Capital Markets, LLC has purchased an additional policy which provides up to an additional $99.5 million per SIPC qualified account (of which $900,000 may be cash) subject to a total maximum aggregate of $400 million for RBC Capital Markets, LLC. Neither SIPC protection, nor protection in excess of that provided by SIPC, covers a decline in the value of customer’s assets due to market loss. Additional information available upon request or at http://www.sipc.org/ or call 202-371-8300.