3ULYDF\ $FW 6WDWHPHQW
7KH 3ULYDF\ $FW RI 3/ UHTXLUHV WKDW \RX EH JLYHQ FHUWDLQ LQIRUPDWLRQ LQ FRQQHFWLRQ ZLWK
\RXU VXEPLVVLRQ RI WKH DWWDFKHG IRUP UHODWHG WR D SDWHQW DSSOLFDWLRQ RU SDWHQW $FFRUGLQJO\ SXUVXDQW WR
WKH UHTXLUHPHQWV RI WKH $FW SOHDVH EH DGYLVHG WKDW WKH JHQHUDO DXWKRULW\ IRU WKH FROOHFWLRQ RI WKLV
LQIRUPDWLRQ LV 86& E IXUQLVKLQJ RI WKH LQIRUPDWLRQ VROLFLWHG LV YROXQWDU\ DQG WKH
SULQFLSDO SXUSRVH IRU ZKLFK WKH LQIRUPDWLRQ LV XVHG E\ WKH 86 3DWHQW DQG 7UDGHPDUN 2IILFH LV WR SURFHVV
DQGRU H[DPLQH \RXU VXEPLVVLRQ UHODWHG WR D SDWHQW DSSOLFDWLRQ RU SDWHQW ,I \RX GR QRW IXUQLVK WKH
UHTXHVWHG LQIRUPDWLRQ WKH 86 3DWHQW DQG 7UDGHPDUN 2IILFH PD\ QRW EH DEOH WR SURFHVV DQGRU H[DPLQH
\RXU VXEPLVVLRQ ZKLFK PD\ UHVXOW LQ WHUPLQDWLRQ RI SURFHHGLQJV RU DEDQGRQPHQW RI WKH DSSOLFDWLRQ RU
H[SLUDWLRQ RI WKH SDWHQW
7KH LQIRUPDWLRQ SURYLGHG E\ \RX LQ WKLV IRUP ZLOO EH VXEMHFW WR WKH IROORZLQJ URXWLQH XVHV
7KH LQIRUPDWLRQ RQ WKLV IRUP ZLOO EH WUHDWHG FRQILGHQWLDOO\ WR WKH H[WHQW DOORZHG XQGHU WKH )UHHGRP
RI ,QIRUPDWLRQ $FW 86& DQG WKH 3ULYDF\ $FW 86& D 5HFRUGV IURP WKLV V\VWHP
RI UHFRUGV PD\ EH GLVFORVHG WR WKH 'HSDUWPHQW RI -XVWLFH WR GHWHUPLQH ZKHWKHU GLVFORVXUH RI
WKHVH UHFRUGV LV UHTXLUHG E\ WKH )UHHGRP RI ,QIRUPDWLRQ $FW
$ UHFRUG IURP WKLV V\VWHP RI UHFRUGV PD\ EH GLVFORVHG DV D URXWLQH XVH LQ WKH FRXUVH RI
SUHVHQWLQJ HYLGHQFH WR D FRXUW PDJLVWUDWH RU DGPLQLVWUDWLYH WULEXQDO LQFOXGLQJ GLVFORVXUHV WR
RSSRVLQJ FRXQVHO LQ WKH FRXUVH RI VHWWOHPHQW QHJRWLDWLRQV
$ UHFRUG LQ WKLV V\VWHP RI UHFRUGV PD\ EH GLVFORVHG DV D URXWLQH XVH WR D 0HPEHU RI &RQJUHVV
VXEPLWWLQJ D UHTXHVW LQYROYLQJ DQ LQGLYLGXDO WR ZKRP WKH UHFRUG SHUWDLQV ZKHQ WKH LQGLYLGXDO KDV
UHTXHVWHG DVVLVWDQFH IURP WKH 0HPEHU ZLWK UHVSHFW WR WKH VXEMHFW PDWWHU RI WKH UHFRUG
$ UHFRUG LQ WKLV V\VWHP RI UHFRUGV PD\ EH GLVFORVHG DV D URXWLQH XVH WR D FRQWUDFWRU RI WKH
$JHQF\ KDYLQJ QHHG IRU WKH LQIRUPDWLRQ LQ RUGHU WR SHUIRUP D FRQWUDFW 5HFLSLHQWV RI LQIRUPDWLRQ
VKDOO EH UHTXLUHG WR FRPSO\ ZLWK WKH UHTXLUHPHQWV RI WKH 3ULYDF\ $FW RI DV DPHQGHG
SXUVXDQW WR 86& DP
$ UHFRUG UHODWHG WR DQ ,QWHUQDWLRQDO $SSOLFDWLRQ ILOHG XQGHU WKH 3DWHQW &RRSHUDWLRQ 7UHDW\ LQ WKLV
V\VWHP RI UHFRUGV PD\ EH GLVFORVHG DV D URXWLQH XVH WR WKH ,QWHUQDWLRQDO %XUHDX RI WKH :RUOG
,QWHOOHFWXDO 3URSHUW\ 2UJDQL]DWLRQ SXUVXDQW WR WKH 3DWHQW &RRSHUDWLRQ 7UHDW\
$ UHFRUG LQ WKLV V\VWHP RI UHFRUGV PD\ EH GLVFORVHG DV D URXWLQH XVH WR DQRWKHU IHGHUDO DJHQF\
IRU SXUSRVHV RI 1DWLRQDO 6HFXULW\ UHYLHZ 86& DQG IRU UHYLHZ SXUVXDQW WR WKH $WRPLF
(QHUJ\ $FW 86& F
$ UHFRUG IURP WKLV V\VWHP RI UHFRUGV PD\ EH GLVFORVHG DV D URXWLQH XVH WR WKH $GPLQLVWUDWRU
*HQHUDO 6HUYLFHV RU KLVKHU GHVLJQHH GXULQJ DQ LQVSHFWLRQ RI UHFRUGV FRQGXFWHG E\ *6$ DV SDUW
RI WKDW DJHQF\¶V UHVSRQVLELOLW\ WR UHFRPPHQG LPSURYHPHQWV LQ UHFRUGV PDQDJHPHQW SUDFWLFHV
DQG SURJUDPV XQGHU DXWKRULW\ RI 86& DQG 6XFK GLVFORVXUH VKDOO EH PDGH LQ
DFFRUGDQFH ZLWK WKH *6$ UHJXODWLRQV JRYHUQLQJ LQVSHFWLRQ RI UHFRUGV IRU WKLV SXUSRVH DQG DQ\
RWKHU UHOHYDQW LH *6$ RU &RPPHUFH GLUHFWLYH 6XFK GLVFORVXUH VKDOO QRW EH XVHG WR PDNH
GHWHUPLQDWLRQV DERXW LQGLYLGXDOV
$ UHFRUG IURP WKLV V\VWHP RI UHFRUGV PD\ EH GLVFORVHG DV D URXWLQH XVH WR WKH SXEOLF DIWHU HLWKHU
SXEOLFDWLRQ RI WKH DSSOLFDWLRQ SXUVXDQW WR 86& E RU LVVXDQFH RI D SDWHQW SXUVXDQW WR
86& )XUWKHU D UHFRUG PD\ EH GLVFORVHG VXEMHFW WR WKH OLPLWDWLRQV RI &)5 DV D
URXWLQH XVH WR WKH SXEOLF LI WKH UHFRUG ZDV ILOHG LQ DQ DSSOLFDWLRQ ZKLFK EHFDPH DEDQGRQHG RU LQ
ZKLFK WKH SURFHHGLQJV ZHUH WHUPLQDWHG DQG ZKLFK DSSOLFDWLRQ LV UHIHUHQFHG E\ HLWKHU D SXEOLVKHG
DSSOLFDWLRQ DQ DSSOLFDWLRQ RSHQ WR SXEOLF LQVSHFWLRQ RU DQ LVVXHG SDWHQW
$ UHFRUG IURP WKLV V\VWHP RI UHFRUGV PD\ EH GLVFORVHG DV D URXWLQH XVH WR D )HGHUDO 6WDWH RU
ORFDO ODZ HQIRUFHPHQW DJHQF\ LI WKH 86372 EHFRPHV DZDUH RI D YLRODWLRQ RU SRWHQWLDO YLRODWLRQ RI
ODZ RU UHJXODWLRQ