NFSTX, LLC (“NFSTX”) is a registered broker-dealer and member of FINRA and SIPC.  Certain securities-related services of Nasdaq Fund Secondaries, LLC and its affiliates, are provided by NFSTX.

NFSTX acts as intermediary in connection with private-non capital raising transactions.

CONTACT US:

Main Office

4 Times Square - 27th floor 
New York, NY 10036
T: 212-381-6440

Contacts
Managing Director: Rory Mabin (Rory.Mabin@nasdaq.com)
CCO: Lisa Johnson (Lisa.Johnson@nasdaq.com)
FinOP: Linda Crane (Linda.Crane@nasdaq.com)

Disclosures

Important Information You Need to Know About Onboarding

U.S.A. PATRIOT ACT

In order to help the government fight the funding of terrorism and money laundering activities, U.S. federal law requires all financial institutions to obtain, verify, and record information that identifies each person or entity that opens an account. In addition to asking you for your name and address and other identifying information, NFSTX, LLC (“the Firm”) may also request other identifying information and documentation.

BUSINESS CONTINUITY STATEMENT

The Firm has created a Business Continuity Plan (BCP) that provides for the Firm to continue its services to Members and its customers within a reasonable amount of time, given the scope and severity of a significant business disruption (SBD).

The BCP anticipates responding to both internal and external SBDs.  An internal SBD, such as the loss of our telephone system, affects only the Firm.   The Firm will respond to internal SBDs by re-routing calls to secondary numbers, and/or relocating its primary office to a secondary location, and/or, recovering data from a back-up storage media and/or a back-up site.  The Firm expects to recover from an internal SBD within one hour.

An external SBD, such as a power outage or flood, affects multiple businesses and can be local, regional, national, or global.   The Firm’s response to an external SBD relies more heavily on other organizations, such as the Issuers.  The Firm expects to recover from an external SBD within six hours.

In the event a SBD prevents Members or its customers from contacting the Firm by using the Firm’s primary phone number, fax number, or email address, customers may contact the Firm by using the following secondary contact information:

secondary phone:

+1 212 381 6440

secondary email:

USCompliance@nasdaq.com

If a SBD disrupts both the primary and secondary methods of contacting the Firm will, to the best of its ability, provide alternative contact information on its website.  

The Firm does not receive, acquire, hold or maintain funds or securities for its customers or the customers of its Members.  All notification requirements pertaining to the accessing of such funds and securities are the responsibility of the Member with which the investor maintains a securities account.

While no contingency plan can eliminate all risk of service interruption or temporarily impeded account access, the Firm continually assesses and updates its BCP to mitigate all reasonable risk.

This disclosure is subject to modification.

PRIVACY NOTICE

Please visit https://www.nasdaq.com/privacy-statement for the Nasdaq, Inc. and Affiliated Companies Privacy Policy.

FINRA’S PUBLIC DISCLOSURE PROGRAM

The Board of Governors of the Financial Industry Regulatory Authority (FINRA) has adopted a “Public Disclosure Program” that provides investors with disciplinary information on FINRA member firms and their associated persons in response to written inquiries, electronic inquiries via FINRA’s website (www.finra.org), FINRA’s BrokerCheck website (http://brokercheck.finra.org/Search/Search.aspx), or telephone inquiries via FINRA’s BrokerCheck toll-free number (800) 289-9999.

The primary purpose of this Public Disclosure Program is to help investors make informed choices about FINRA member firms and their associated persons when determining whether to conduct business with the firm.  To obtain a free brochure describing the FINRA Public Disclosure Program you can call the toll-free number listed above or visit FINRA’s website.

SECURITIES INVESTOR PROTECTION CORPORATION

NFSTX, LLC is a member of the Securities Investor Protection Corporation (SIPC).  SIPC is a non-profit, membership corporation, funded by its member securities broker-dealers.  SIPC was created to protect investor assets that are in the hands of bankrupt and otherwise financially troubled brokerage firms.  For more information about SIPC, including the SIPC brochure by contacting SIPC by phone, email or standard mail as follows:

Securities Investor Protection Corporation

805 15th Street, N.W., Suite 800

Washington, D.C. 20005-2215

Telephone: (202) 371-8300

Fax: (202) 371-6728

Email: asksipc@sipc.org

In addition, you may also visit the SIPC website at www.sipc.org.

PLEASE READ THESE IMPORTANT LEGAL NOTICES AND DISCLOSURES

NASDAQ FUND SECONDARIES AND NFSTX, LLC DO NOT PROVIDE LEGAL, TAX, INVESTMENT OR FINANCIAL ADVICE. THE INFORMATION CONTAINED HEREIN IS PROVIDED FOR INFORMATIONAL AND EDUCATIONAL PURPOSES ONLY.

NONE OF THE INFORMATION DISPLAYED ON OR DOWNLOADABLE FROM, NOR ANY OF THE APPLICATIONS AND SERVICES AVAILABLE VIA THE NFS PLATFORM REPRESENTS AN OFFER TO BUY OR SELL, OR THE SOLICITATION OF AN OFFER TO BUY OR SELL, ANY SECURITY, NOR DOES IT CONSTITUTE AN OFFER TO PROVIDE INVESTMENT ADVICE OR SERVICE. INVESTING IN PRIVATE SECURITIES IS SPECULATIVE AND INVOLVES A HIGH DEGREE OF RISK. YOU MUST BE PREPARED TO WITHSTAND A TOTAL LOSS OF YOUR INVESTMENT. YOU ARE STRONGLY ENCOURAGED TO COMPLETE YOUR OWN INDEPENDENT DUE DILIGENCE BEFORE INVESTING IN PRIVATE SECURITIES, INCLUDING OBTAINING ADDITIONAL INFORMATION, OPINIONS, FINANCIAL PROJECTIONS, AND LEGAL OR OTHER INVESTMENT ADVICE.

NASDAQ FUND SECONDARIES, LLC IS NOT: (A) A REGISTERED EXCHANGE UNDER THE SECURITIES EXCHANGE ACT OF 1934; (B) A REGISTERED INVESTMENT ADVISOR UNDER THE INVESTMENT ADVISORS ACT OF 1940; OR (C) A FINANCIAL OR TAX PLANNER, AND DOES NOT OFFER LEGAL, FINANCIAL, INVESTMENT OR TAX ADVICE TO ANY USER OF THE NASDAQ PRIVATE MARKET WEBSITE.

SECURITIES-RELATED SERVICES ARE OFFERED THROUGH NFSTX, LLC, A REGISTERED BROKER-DEALER, MEMBER FINRA/SIPC AND A WHOLLY-OWNED SUBSIDIARY OF NASDAQ FUND SECONDARIES, LLC.

NASDAQ FUND SECONDARIES, LLC IS OPERATIONALLY INDEPENDENT AND DISTINCT FROM THE NASDAQ STOCK MARKET, LLC.  TRANSACTIONS IN SECURITIES CONDUCTED THROUGH NFSTX, LLC ARE NOT LISTED OR TRADED ON THE NASDAQ STOCK MARKET LLC, NOR ARE THE SECURITIES SUBJECT TO THE SAME LISTING OR QUALIFICATION STANDARDS APPLICABLE TO SECURITIES LISTED OR TRADED ON THE NASDAQ STOCK MARKET LLC, NOR DO TRANSACTIONS IN SECURITIES CONDUCTED THROUGH NFSTX, LLC AFFECT AN ISSUER’S ELIGIBILITY TO LIST ITS SECURITIES FOR TRADING ON THE NASDAQ STOCK MARKET, LLC.

FUNDS PROCESSED BY NFSTX, LLC AS PAYING AGENT IN CONNECTION WITH A TRANSACTION MAY BE DEPOSITED IN AN INTEREST-BEARING ACCOUNT ESTABLISHED FOR THE EXCLUSIVE BENEFIT OF NFSTX’S CUSTOMERS.  INTEREST EARNED ON SUCH FUNDS WILL BE RETAINED BY NFSTX,LLC.  

BY VISITING OR USING THE NFS PLATFORM OR THE INFORMATION, TOOLS, FEATURES OR FUNCTIONALITY PROVIDED ON IT, YOU ARE CONSENTING TO THE NFS TERMS OF USE AND PRIVACY POLICY POSTED THEREIN.  ALL TECHNOLOGY AND SECURITIES-RELATED SERVICES ARE SUBJECT TO STANDARD TERMS AND CONDITIONS APPLICABLE TO EACH SERVICE.