ADR conversions

Instruction of ADR conversions

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Is a broker-dealer registered with the U.S. Securities and Exchange Commission (SEC) (CRD: 283078/SEC: 8-69739), and a member in good standing of Financial Industry Regulatory Authority (FINRA) and The Securities Investor Protection Corporation (SIPC), authorized to conduct business in compliance with SEC and FINRA.

Is a broker-dealer registered with the U.S. Securities and Exchange Commission (SEC) (CRD: 298769/SEC: 8-70215), a member in good standing of Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC), as well as a member of Depository Trust Company (DTC), a member of National Securities Clearing Corporation (NSCC) and the Options Clearing Corporation (OCC), authorized to conduct business in compliance with SEC and FINRA.

Is an investment advisor registered with the U.S. Securities and Exchange Commission (SEC) (CRD: 310790/SEC: 801-119635), regulated by the SEC.

Is a licensed entity registered with the National Futures Association (NFA) (NFA ID: 0523957), and is regulated by the National Futures Association (NFA) and the Commodity Futures Trading Commission (CFTC).

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