Is your business registered with the Securities and Exchange Commission or a reporting issuer of securities or a Commodity Exchange registered entity?
To qualify for this exemption, the business must meet ONE of the following criteria:
- The business is not a securities reporting issuer, broker or dealer in
securities, or securities exchange or clearing agency AND this business is registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934; - The business is EITHER (1) an issuer of a class of securities
which are registered under Section 12 of the Securities Exchange Act of 1934, OR (2) the business is required to file supplementary and periodic information under Section 15(d) of the Securities Exchange Act of 1934; OR - The business is a “registered entity” as defined in Section 1a of the
Commodity Exchange Act or is a “futures commission merchant,” an
“introducing broker,” a “swap dealer,” a “major swap participant,” a
“commodity pool operator,” a “commodity trading advisor,” or a “retail foreign exchange dealer” as each of these terms are defined under Section 1a of the Commodity Exchange Act.