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Institutional investors that are qualified institutional buyers (“QIBs”) and are capable of evaluating investment risks independently may receive institutional debt research reports after affirmatively indicating that the QIB is exercising independent judgment in evaluating 申博菲律宾app’s debt security recommendations. QIBs should complete the Notice of Negative Consent to Qualified Institutional Buyer to Receive Institutional Debt Research form and return the form to the QIB’s salesperson.
Institutional investors that are not QIBs but meet the definition of “institutional account” as defined in FINRA Rule 4512(c) may not receive institutional debt research until completing the Affirmative Consent Certificate of Institutional Account to Receive Institutional Debt Research form and returning the form to the institutional client’s salesperson.
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