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Tax Information Checklist

Documents You May Receive

Refer to Tax Mailing Updates to see the latest updates of which tax slips have been mailed.

U.S. Tax Information Checklist

This checklist will help you understand and organize the tax slips and supporting documents you may receive related to your investments at RBC Dominion Securities for filing a return with the Internal Revenue Service. For information on filing a return with the IRS, refer to their website www.irs.gov (opens external website in new window).If you do not file a return with the IRS, these forms are for information purposes only. RBC Dominion Securities will file a copy of all U.S. tax slips with the IRS.

Printable version(opens new window) of U.S. Tax Information Checklist.

Click on underlined words on the table below to see an example of the named tax slip.

Name Mail Date Information Reported
1099 package End of January(with possible amendments in March or April)

If you are a U.S. person (as defined by the IRS), you will receive a 1099 package that reports payments made to you during the year. The package may contain:

  • Summary of 1099 Investment
    Income
    (opens new window) summarizes investment income related to accounts held at RBC Dominion Securities. A "(?)" indicates that all information concerning the tax year is not yet final and amendments may be made during March and April. If you see a "(?)", we recommend that you wait for any possible amendments before filing your tax return. If you receive no amendments, the 1099 slips received in January are sufficient to file your tax return.
  • 1099-DIV Record of Dividends(opens new window) for any dividend income received during the year.
  • 1099-INT Record of Interest(opens new window) for any interest received during the year.
  • 1099-B Summary of Broker and Barter Exchange Transactions(opens new window) for any proceeds from sales or redemptions of securities, futures transactions, commodities and barter exchange received during the year.
1042-S Foreign Person's U.S. Source Income Subject to Withholding End of March 1042-S Foreign Person's U.S. Source Income Subject to Withholding(opens new window) reports total dividends and interest earned during the year to the beneficial owners of U.S. Corporations, Trusts, and Partnerships. If you are a Non-U.S. citizen, Canadian resident and a beneficiary of a trust, partnership, estate, etc., you may receive a 1042-S form.

The information contained herein has been obtained from sources believed to be reliable at the time obtained but neither RBC Dominion Securities Inc. nor its employees, agents, or information suppliers can guarantee its accuracy or completeness. This information is furnished on the basis and understanding that neither RBC Dominion Securities Inc. nor its employees, agents, or information suppliers is to be under any responsibility or liability whatsoever in respect thereof. This information is not intended as nor does it constitute tax or legal advice. Clients should consult their own accountant or other professional advisor for more detailed tax related information. RBC Dominion Securities Inc.* and Royal Bank of Canada are separate corporate entities which are affiliated. *Member-Canadian Investor Protection Fund. ®Registered trademark of Royal Bank of Canada. Used under licence. RBC Dominion Securities is a registered trademark of Royal Bank of Canada. Used under licence. ©Copyright 2017. All rights reserved.