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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”), Stifel, Nicolaus & Company, Incorporated ("Stifel") 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 Stifel immediately in the event that such representation ceases to be true and correct.