zed to engage n the pubic often.; of new issue either nesting gain mater a urderwrker) that is listed on a national securities adage. as traded on the NASDAQ National Market, ▪ it a foreign Muer vitae sonalies meet de quaint:atm amennation criteria for lifting on a national securities exchange or the NASDAQ (alone Mar

ational Market, or is a foreign issuer whose securities meet the quantitative designation criteria for listing on a national securities exchange or the NASDAQ National Market. AC-ID (Rev. 10/11) 6 Non-U.S. Mutual Funds. An investment company organized under the laws of a foreign jurisdiction provided that the investme

in the pubic offenng of new issues either as a selling group member or underwriter that is listed on a national securities exchange, is traded on the NASDAQ National Market, or is a foreign issuer whose securities meet the quantitative designation criteria for listing on a national securities exchange or the NASDAQ Na