Regulatory Compliance

Deal Roadshow is an SEC-compliant electronic roadshow solution.

Since January of 2013, Deal Roadshow has worked with the Staff of the Division of Trading and Markets of the Securities and Exchange Commission (“SEC”) to ensure that our products and services adhere to Rule 433 of the Securities Offering Reform of 2005 with respect to the transmission of electronic road shows in connection with public and private offerings of securities.

In May of 2013, the SEC informed Deal Roadshow that a “no-action” letter would not be necessary in light of the clarifications provided by the 2005 Securities Offering Reform as well as the similarities of our products and services with other market participants for which no-action letters have already been issued. The SEC’s conclusion that the Deal Roadshow products and services are covered by the 2005 Securities Offering Reform and other no-action letters affirmatively resolves the issue of whether or not our electronic roadshow solution and related products and services complies with the provisions of Rule 433.

Relevant links:

• 2005 SEC Securities Offering Reform https://www.sec.gov/rules/final/33-8591.pdf
• Letter 1 http://www.sec.gov/divisions/marketreg/mr-noaction/2011/roadshowbroadcast050611-15a.pdf
• Letter 2 http://www.sec.gov/divisions/marketreg/mr-noaction/2013/netroadshow012913-15c2-12.pdf