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NYSE MKT Special Entity Interim Corporate Governance Affirmation Issuer: Symbol: Notice of Noncompliance: Yes 1 No NOTE: This form is to be used by an issuer that has only debt or preferred securities

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How to fill out nyse mkt special entity

How to Fill Out NYSE MKT Special Entity:

01

Start by obtaining the necessary forms and paperwork. Visit the NYSE MKT website or contact their customer service for the specific forms required to fill out for a special entity. Make sure to get accurate information regarding the required documentation.

02

Carefully read and understand the instructions provided with the forms. Familiarize yourself with the requirements and any specific guidelines mentioned. It is important to have a clear understanding of what is expected from you to accurately fill out the forms.

03

Begin filling out the forms step by step, providing accurate and up-to-date information. Ensure that all the necessary fields are completed, and double-check for any errors or omissions.

04

Pay close attention to any special requirements or additional documentation that may be needed for certain sections. This could include providing financial statements, proof of eligibility, or other specified information. Make sure to gather all the necessary supporting documents accordingly.

05

Review the filled-out forms before submission. Take the time to carefully go through each section to ensure that there are no mistakes or missing information. It is also advisable to have someone else review the forms for an additional check.

06

Submit the completed forms to the NYSE MKT as per their instructions. This may involve mailing the forms to a specific address or electronically submitting them through their online platform. Make sure to follow the designated submission method accurately.

Who Needs NYSE MKT Special Entity:

01

Institutional Investors: Various institutional investors such as mutual funds, pension funds, and insurance companies may require NYSE MKT special entity status to participate in the exchange's offerings.

02

Trusts: Trusts, particularly those acting as trustees or fiduciaries on behalf of beneficiaries, may need special entity recognition from NYSE MKT to engage in trading activities.

03

Corporate Entities: Certain corporate entities, such as holding companies or investment firms, may be eligible for NYSE MKT special entity status to facilitate their involvement in the exchange.

04

Non-Profit Organizations: Non-profit organizations that wish to engage in stock trading or investment activities through NYSE MKT may need special entity recognition.

05

Other Specific Entities: NYSE MKT may extend special entity status to certain entities that meet their eligibility criteria. These can include foreign entities, government agencies, or other unique organizational structures.

Remember, it is advisable to consult with NYSE MKT directly or seek professional advice to ensure accurate and up-to-date information regarding the specific requirements for filling out the forms and determining eligibility for special entity status.

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