customer.exemptFromBeneficialOwnershipReasonType
| Value | Description |
|---|---|
UsStockExchangeTradedEntity | Entities traded on a U.S stock exchange (NYSE, American or NASDAQ) |
CharityOrNonProfitEntity | A charity or non-profit entity (requires a Control Person) |
PublicAccountingFirmRegisteredUnderSection102 | A Public Accounting firm registered under section 102 of the Sarbanes-Oxley Act |
UsStateRegulatedBank | A Bank regulated by a U.S. state agency |
UsRegulatedInsuranceCompany | An Insurance company regulated by a state of the United States |
UsRegulatedFinancialInstitution | A U.S regulated financial institution |
UsFederalGovernmentAgency | An agency of the U.S. Federal government |
UsStateGovernmentAgency | An agency of a U.S. State government |
UsLocalGovernmentAgency | A U.S. local government agency |
NonUsGovernmentAgency | A non-U.S. government agency engaged in government activities |
BankHoldingCompany | A bank holding company |
SavingsAndLoanHoldingCompany | A savings and loan holding company |
FinancialMarketUtility | A financial market utility designated by the Financial Stability Oversight Council |
NonUsEntityOpeningAPrivateBankingAccount | A non-U.S. entity opening a private banking account subject to 31 CFR |
ForeignFinancialInstitution | A foreign Financial Institution established in a jurisdiction where the regulator of such institution maintains Beneficial Ownership information |
ClassOfSecuritiesIssuer | An issuer of a class of securities |
SecCurrentRegisteredFirm | An SEC registered investment company, investment advisor, broker dealer or other registered firm with a current SEC registration number |
CommodityFuturesTradingCommissionRegisteredEntity | A Commodity Futures Trading Commission registered entity |
ExcludedPooledInvestmentVehicle | A pooled investment vehicle that is operated or advised by a financial institution that is exempt from Beneficial Ownership |
NonExludedPooledInvestmentVehicle | Non-excluded pooled investment vehicles—those not operated by or advised by a financial institution such as a non-US managed mutual fund, hedged fund or private equity fund (requires Control Person) |
UsStockExchangeMajorityEquityEntity | An Entity, organized under the laws of the United States, with at least 51% of whose commons stock or analogous equity interest held by an entity traded on a U.S. Stock Exchange |
UnincorporatedAssociation | Unincorporated Associations (such as scout troops or youth sports leagues) (Unincorporated Associations are excluded and are not required to provide beneficial ownership and signature from a Natural Authorized Person |
Updated about 1 year ago