Qualified Investors are firms or persons that meet definitions under relevant SEC Rules and Requlations and are allowed under the SEC Implementing Rules and Regulations for the OTC Market 2006 (“OTC IRR”) to deal directly with SEC-licensed securities dealers. The PDEx FI Market grants “direct access” to its Fixed Income Qualified Investor Participants (QIPs), that is, QIPs can view and execute trades on the firm Bid – Ask Prices quoted by Dealer Members, but QIPs cannot directly quote their own bid – ask prices for other Members as this is an activity limited to SEC-licensed Dealer Members.
Qualified Investor Participants as of 30 September 2018
|1||BDO – TRUST & INVESTMENTS GROUP||BDOT|
|2||BPI ASSET MANAGEMENT AND TRUST GROUP||BPIT|
|3||METROPOLITAN BANK & TRUST COMPANY – TRUST BANKING GROUP||MBMT|