Regulatory Disclosures

Cowen Inc.

• Business Continuity
• Terms of Use
• Privacy Notice and Policies
• 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 Rule 606 – Cowen and Company, LLC
• SEC Rule 606 – Cowen Prime Services
• 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
• Form CRS
• Futures Disclaimer
• MSRB Rule G-10 Disclosure – Rule G-10 requires MSRB-regulated entities to provide the following annual notifications:
  • Cowen and Company, LLC is registered with the SEC and MSRB
  • The MSRB’s website address is www.msrb.org
  • Additional information for municipal customers, “Information for Municipal Securities Investors and/or Information for Municipal Advisory Clients” is available on the MSRB’s website and/or upon request

• FOREX
  • CPS Intermediary Disclosure
  • What Investors Need to Know (NFA)
  • Risk Disclosure Statement for Security Futures Contracts
  • Options Disclosure Document

ATM Execution LLC

Member FINRA, NYSE and SIPC.

• Trading Disclosure
• SEC Rule 605
• SEC Rule 606
• Cowen Electronic Disclosure

Cowen Execution Services Limited

Authorized and regulated by the FCA.

• UK Bribery Act
• 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
• Corporate Finance Regulatory Disclosures
• Conflicts of Interest
• Country Specific Disclosures and Provisions
• Information About Securities and Associated Risks

COWEN INTERNATIONAL LIMITED

Authorized and regulated by the FCA.

• UK Bribery Act
• 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 2020
• Download RTS28 Tables for 2020
• Non-U.S. Privacy Notice
• Terms Of Business
• Conflicts of Interest
• Information Statement in accordance with Article 15 of the Securities Financing Transactions Regulation
• Country Specific Disclosures and Provisions
• Information About Securities and Associated Risks

Kyber Data Science

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

WESTMINSTER RESEARCH ASSOCIATES LLC

Member FINRA AND SIPC.