OPEN
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 Stifel’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.
The views expressed in institutional debt research reports may differ from the views expressed in retail debt research reports. Institutional debt research reports may not be independent of Stifel’s proprietary interests, Stifel may trade the securities covered in institutional debt research reports for its own account and on a discretionary basis on behalf of certain clients, and such trading interests may be contrary to the recommendation or recommendations made in institutional debt research reports.
If you have any questions relating to Stifel’s institutional debt research, please contact your salesperson or the Compliance Department at Compliance-TaxableFixedIncome@stifel.com.
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. Stifel Financial 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 Stifel herein may apply to parent company Stifel Financial Corp. or any of its wholly owned subsidiaries, including Stifel, Nicolaus & Company, Incorporated, Member NYSE, FINRA, and SIPC.