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Registration for US Investment Professionals

IMPORTANT INFORMATION

PLEASE READ THIS DISCLAIMER CAREFULLY.

THIS SITE IS INTENDED FOR USE BY US INVESTMENT PROFESSIONALS AS DEFINED BY FINRA (CONDUCT RULES AND INTERPRETIVE MATERIALS) AND THE INVESTMENT ADVISERS ACT OF 1940, AS AMENDED. FOR THE PURPOSES OF THIS SITE, “US INVESTMENT PROFESSIONAL” IS DEFINED AS:

  • A BANK, SAVINGS AND LOAN ASSOCIATION, INSURANCE COMPANY, OR REGISTERED INVESTMENT COMPANY
  • AN INVESTMENT ADVISER REGISTERED EITHER WITH THE SECURITIES AND EXCHANGE COMMISSION OR WITH A STATE SECURITIES COMMISSION (OR ANY AGENCY OR OFFICE PERFORMING LIKE FUNCTIONS)
  • ANY OTHER ENTITY (WHETHER A NATURAL PERSON, CORPORATION, PARTNERSHIP, TRUST, OR OTHERWISE) WITH TOTAL ASSETS OF AT LEAST $50 MILLION
  • A GOVERNMENTAL ENTITY OR SUBDIVISION THEREOF
  • EMPLOYEE BENEFIT PLAN THAT MEETS THE REQUIREMENTS OF SECTION 403(B) OR SECTION 457 OF THE INTERNAL REVENUE CODE AND HAS AT LEAST 100 PARTICIPANTS, BUT DOES NOT INCLUDE ANY PARTICIPANT OF SUCH PLAN
  • QUALIFIED PLAN, AS DEFINED BY SECTION 3(A)(12)(C) OF THE ACT, THAT HAS AT LEAST 100 PARTICIPANTS, BUT DOES NOT INCLUDE ANY PARTICIPANT OF SUCH A PLAN
  • FINRA MEMBER OR REGISTERED ASSOCIATED PERSON OF SUCH MEMBER OR
  • ANY PERSON ACTING SOLELY ON BEHALF OF ANY OF THE ABOVE

IF YOU ARE NOT A US INVESTMENT PROFESSIONAL, PLEASE VISIT http://www.globalspdrs.com/

BY CLICKING ‘I AM A US INVESTMENT PROFESSIONAL’ CHECKBOX, YOU ACKNOWLEDGE THAT YOU ACCEPT AND AGREE TO BE BOUND BY THE TERMS OF THIS SITE.