Public Disclosure
Choose any link below to view public disclosure information for Paulson Investment Company, LLC.
By clicking on a link below, you will be leaving the Paulson Investment Company, LLC website. Paulson Investment Company, LLC did not prepare and does not guarantee, approve, or endorse the information you are about to view. Paulson Investment Company, LLC is not responsible for the accuracy or timeliness of information on other websites.
By clicking on a link below, you are acknowledging that you have read and understood the preceding statement.
Rule 605 Disclosure
By letter dated June 22, 2001, the Securities and Exchange Commission (the “SEC”) notified Richard Romano, Chair of the Small Firms Advisory Board, of the SEC’s decision to grant an exemption from Rule 605 (then known as Rule 11 Ac1-5) for small market centers that do not focus their business on the most actively traded securities. This exemption exempts any market center that reported fewer than 200 transactions per trading day on average over the preceding six month period in securities that are covered by the Rule (that is, national market system securities that do not qualify for the inactively traded security exemption), but only if more than 90% of such transactions were in securities that are not included in the Nasdaq-100 Index or the S&P 500 Composite Stock Price Index. Paulson Investment Company, LLC, effects sufficiently few transactions to fit within this exemption. Accordingly, the firm is not required to report pursuant to Rule 605.