Regulatory Disclosures

Cowen inc.

• Business Continuity
• Terms of Use
• US Privacy Notice
• Privacy Notice for California Residents
• Non-U.S. Privacy Notice
• Online Privacy & Cookie Policy
• Social Media Terms & Conditions

Cowen and Company, LLC

Member FINRA, NYSE and SIPC.

• Global Terms and Conditions
• Trading Disclosure
• Electronic Communications Disclosure
• Cowen and Company Confirmation Backer
• SEC Rule 605
• SEC Required Reporting on Routing of Customer Orders (SEC Rule 606)
• ADR Direct & Reverse ADR Terms and Conditions
• ETF Rules of Engagement
• 408(b)2 ERISA Disclosure
• Podcast Disclosure
• COWN – Held NMS Stocks and Options Order Routing Public Report Q1
• COWN – Held NMS Stocks and Options Order Routing Public Report Q2
• COWN – Held NMS Stocks and Options Order Routing Public Report Q3

ATM Execution LLC

Member FINRA, NYSE and SIPC.

• SEC Rule 606
• Cowen Electronic Disclosure
• COWN – Held NMS Stocks and Options Order Routing Public Report Q1
• COWN – Held NMS Stocks and Options Order Routing Public Report Q2
• COWN – Held NMS Stocks and Options Order Routing Public Report Q3

Cowen Execution Services Limited

Authorized and regulated by the FCA.

• UK Bribery Act
• Limited Terms of Business
• Order Execution Policy
• MIFID II Best Execution: RTS28 Report for 2019
• Download RTS28 Tables for 2019
• MIFID II Best Execution:  RTS28 Report for 2018
• Download RTS28 Tables for 2018
• Non-US Privacy Notice

COWEN INTERNATIONAL LIMITED

Authorized and regulated by the FCA.

• PRIME: Order Execution Policy
• Prime:  MIFID II Best Execution: RTS28 Report for 2019
• Download RTS28 Tables for 2019
• Prime:  MIFID II Best Execution: RTS28 Report for 2018
• Download RTS28 Tables for 2018
• Non-U.S. Privacy Notice

Cowen Prime Services LLC

Member FINRA and SIPC.

Kyber Data Science

• Kyber Data Science – Disclosures and Disclaimers
• Kyber Health Data – Third Party Terms

WESTMINSTER RESEARCH ASSOCIATES LLC

Member FINRA AND SIPC.