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| Frequently Asked Questions |
Why is Credit Suisse providing independent third-party research to its clients?
How long will the independent third-party research be available?
Who selects the independent research providers?
What if I no longer want to receive the oral notice of availability of independent research from Credit Suisse in connection with a solicited order?
How many independent third-party research reports can I receive for free?
Can I provide access to the independent third-party research to anyone else?
For which companies is independent third-party research available?
Will independent third-party research be available after Credit Suisse terminates its coverage of a company?
Why is Credit Suisse providing independent third-party research to its clients?
Credit Suisse is providing this research under the terms of the Research Settlement. The Research Settlement is an agreement between the leading investment banks, including Credit Suisse, and the U.S. Securities and Exchange Commission and other regulators that was entered into in 2003 to settle investigations relating to Equity Research conflicts of interest.
How long will the independent third-party research be available?
Through July 26, 2009.
Who selects the independent research providers?
Credit Suisse has retained an Independent Research Consultant, who is acceptable to the SEC, to select the independent research providers. The Consultant may change these selections at any time and from time to time. As a result, the research and the ratings information on this website may not be comparable from one date or period to another.
What if I no longer want to receive the oral notice of availability of independent research from Credit Suisse in connection with a solicited order?
Institutional clients in the United States with between $1 million and $10 million in invested assets may waive the oral notice by completing and sending back a form that can be obtained from your Credit Suisse Sales Representative. Under the terms of the Research Settlement, (i) institutional clients in the United States with less than $1 million in invested assets and retail clients in the United States must receive the oral notice regardless of whether they want it and (ii) institutional clients with $10 million or more in invested assets will not receive the oral notice.
How many independent third-party research reports can I receive for free?
Since this research is available for you to use at your discretion, you may receive as many reports as you would like for free. However, the research is solely for your use and may not be distributed or provided to anyone else.
Can I provide access to the independent third-party research to anyone else?
No, the independent research is intended for the exclusive use of Credit Suisse's clients with a primary address in the United States.
For which companies is independent third-party research available?
Credit Suisse has agreed to make independent research available to its clients in the United States, to the extent such research is available from its independent research providers, on companies covered in Credit Suisse Securities USA LLC equity research that are listed or quoted in the United States, provided that in the case of non-U.S. companies for which a U.S. market is not the principal equity trading market, the average daily dollar volume of U.S. trading in such companies' common stock (and equivalents) during a quarter exceeds $2.5 million and the outstanding total public float of such companies' common stock (and equivalents) exceeds $150 million as of the last day of that quarter.
Will independent third-party research be available after Credit Suisse terminates its coverage of a company?
Credit Suisse will make independent research available for 18 months after it terminates coverage if such research is available from its designated independent research providers.
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