SEC Adherence

NetRoadshow began working with the U.S. Securities & Exchange Commission (SEC) in early 1996 to gain permission to provide electronic roadshows under strict guidelines. In July of 1997, NetRoadshow was the first to receive permission from the SEC, in the form of a SEC No-Action Letter, to provide electronic roadshows over the internet.

In 2004 NetRoadshow began working closely with the SEC on revising the approach to electronic roadshows. The new regulations (Rule 433) became effective in December 2005. NetRoadshow also works with the London based Financial Services Authority (FSA), as well as industry officials in Hong Kong and Japan.

We continually monitor and review SEC and international regulations which may affect our service offerings.

Links to SEC correspondence and rules that are applicable to our service are listed below:

Roadshows:
NetRoadshow, Inc., (January 29, 2013) for Municipal Securities Offerings
SEC Securities Offering Reform (July 19, 2005)
NetRoadshow, Inc., (January 30, 1998) for QIB
NetRoadshow, Inc., (September 08, 1997) the Original “No-Action” Letter

Rule 17g-5:
http://www.sec.gov/comments/s7-04-09/s70409-90.pdf

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