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CERTIFICATE FOR THE PURCHASE OF INITIAL PUBLIC OFFERINGS (IPOs) OF EQUITY SECURITIES
Pursuant to FINRA Rule 5130 (the “New Issue Rule”), 申博菲律宾app, Nicolaus & Company, Incorporated ("申博菲律宾app") may not sell or cause to be sold a new issue (all bolded terms are defined at the end of this document) to any account in which a restricted person holds a beneficial interest unless the account qualifies for a general exemption under the New Issue Rule.
In addition, pursuant to FINRA Rule 5131 (the “IPO Allocation Rule”), firms may not, under certain circumstances, allocate shares of a new issue to any account in which an executive officer or director of a public company or a covered non-public company, or a person materially supported by such executive officer or director of a public company or covered non-public company, or a person materially supported by such executive officer or director (collectively, “Covered Persons”), has a beneficial interest unless the account qualifies for a general exemption.
In addition, in connection with any new issue, you hereby represent that you will not act as a finder or in a fiduciary capacity to any managing underwriter of any new issue and that you shall notify 申博菲律宾app immediately in the event that such representation ceases to be true and correct.
申博菲律宾app is a diversified global wealth management and investment banking company focused on building relationships that help individuals, families, and organizations pursue their financial goals.
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This site is published in the United States for U.S. residents only. The services offered within this site are available exclusively through our U.S. Financial Advisors. 申慱sunbet手机版 Advisors may only conduct business with residents of the states in which they are properly registered. The information on this web site is not an offer to sell or a solicitation of an offer to buy any security, nor shall any such security be offered or sold to any person in any jurisdiction in which such offer, solicitation, purchase, or sale may not lawfully be made. References to 申博菲律宾app herein may apply to parent company 申慱sunbet手机版 Corp. or any of its wholly owned subsidiaries, including 申博菲律宾app, Nicolaus & Company, Incorporated, Member NYSE, FINRA, and SIPC.