U.S. Residents

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A ‘U.S. Person’ is defined by Regulation S (promulgated under the Securities Act of 1933) in Section 902(k)(1) defines a U.S. person as one who is permanently resident inside the United States of America.

The SEC’s interpretation of U.S. federal securities laws limits Non-U.S. Broker-Dealers such as Swiss America Securities, Ltd. (SureTrader.com) to working with those permanently resident outside the USA. Non-U.S. broker-dealers cannot approach and/ or solicit U.S. resident persons because an Internet Website is interpreted by the SEC as being the same as a telephone call to a client.

Non-U.S. Broker-Dealers such as Swiss America Securities, Ltd. (SureTrader.com) maintaining an Internet Website can thus only accept a U.S. person if he or she has not been solicited either directly or indirectly through accessing their websites under the ‘unsolicited’ exemption Rule 15a-6.

U.S. customers wanting to work with Non-U.S. Broker-Dealers such as Swiss America Securities, Ltd. (SureTrader.com) can thus only approach Non-U.S. Broker-Dealers under Rule 15a-6 if they have not been to their websites and should be prepared to certify this fact in writing to ensure compliance with applicable law. They should also be prepared to certify in writing that they have not been solicited by Swiss America Securities, Ltd. (SureTrader.com) in any manner either directly or indirectly.

References

General Rules and Regulations promulgated under the Securities Act of 1933: Rule 902 — Definitions

http://www.law.cornell.edu/cfr/text/17/230.902

SEC – Interpretation: Re: Use of Internet Websites To Offer Securities, Solicit Securities Transactions, or Advertise Investment Services Offshore.

https://www.sec.gov/rules/interp/33-7516.htm

17 CFR 240.15A-6 – EXEMPTION OF CERTAIN FOREIGN BROKERS OR DEALERS.

http://www.law.cornell.edu/cfr/text/17/240.15a-6

Swiss America Securities, Ltd does not solicit U.S. residents directly or indirectly as clients.

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