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FORTY-EIGHT
CERTIFICATES.

The complete share register of the house. Class P prints the issuer's own book, Class A the advisory mandates, Class F the fiduciary paper, and Class X the market machinery — certificate numbers running CERT-01 through CERT-48.

CLASS P

Principal & Own Account

9 certs · 01 – 09 The issuer's own book — dealing as principal at the house's own risk. Capacity is on the certificate before the counterparty signs.
CERT-01Individuals investing in financial contracts on own accountOwn-account financial contract positionsPrincipal
CERT-02Investment clubsPooled own-account club investingPrincipal
CERT-03Mineral royalties or leases dealingActing as principal in royalty and lease dealingsRoyalties
CERT-04Mortgage dealers, buying and sellingMortgage paper bought and sold as principalMortgage
CERT-05Oil royalty dealingOil royalties dealt as principal to investorsRoyalties
CERT-06Securities speculators for own accountOwn-account speculative positionsPrincipal
CERT-07Tax liens dealingTax liens dealt as principal to investorsLiens
CERT-08Venture capital companiesOwn-capital venture positionsVenture
CERT-09Viatical settlement companiesViatical settlement interestsViatical
CLASS A

Advisory & Management

16 certs · 10 – 25 Client mandates — customized, fee-paid advice plus the funds and trusts where the issuer manages the money itself.
CERT-10Certified financial planners, customized, fees paid by clientCustomized CFP planning, client-paidPlanning
CERT-11Financial investment advice services, customizedClient-paid customized investment adviceAdvice
CERT-12Financial planning services, customized, fees paid by clientCustomized financial planningPlanning
CERT-13Investment advice consulting services, customizedCustomized advice consultingAdvice
CERT-14Investment advice counseling services, customizedCustomized advice counselingAdvice
CERT-15Investment advisory services, customized, fees paid by clientCustomized advisory mandatesAdvisory
CERT-16Investment managementDiscretionary investment managementMgmt
CERT-17Managing investment fundsInvestment fund managementFunds
CERT-18Managing mutual fundsMutual fund managementFunds
CERT-19Managing personal investment trustsPersonal investment trust managementTrusts
CERT-20Managing trustsTrust asset managementTrusts
CERT-21Mutual fund managingMutual fund portfolio managementFunds
CERT-22Pension fund managingPension fund managementPension
CERT-23Personal investments trusts, managingManaging personal investment trustsTrusts
CERT-24Portfolio fund managingPortfolio fund managementPortfolio
CERT-25Private equity fund managingPrivate equity fund managementPE
CLASS F

Trust & Custody

8 certs · 26 – 33 The fiduciary paper — estates, trust administration, non-real-estate escrow and fiduciary agencies, and securities custody.
CERT-26Administrators of private estatesPrivate estate administrationEstates
CERT-27Bank trust officesTrust office functionsTrust
CERT-28Escrow agencies (except real estate)Non-RE escrow agencyEscrow
CERT-29Fiduciary agencies (except real estate)Non-RE fiduciary agencyFiduciary
CERT-30Personal investments trust administrationPersonal investment trust administrationTrust
CERT-31Securities custodiansSafekeeping of securitiesCustody
CERT-32Trust administration, personal investmentInvestment trust administrationTrust
CERT-33Trust companies, nondepositoryNondepository trust company functionsTrust
CLASS X

Exchange & Transfer

15 certs · 34 – 48 The market machinery — clearing, brokering, protecting holders, quoting and transferring the paper.
CERT-34Business start-up fundraising via crowdfunding platformCrowdfunded capital raisingCrowdfund
CERT-35Clearinghouses, commodity exchange or securities exchangeExchange clearing servicesClearing
CERT-36Deposit brokersDeposit brokerageBroker
CERT-37Exchange clearinghouses, commodities or securitiesCommodity and securities clearingClearing
CERT-38Gas lease brokers' officesGas lease brokerageLease
CERT-39Oil lease brokers' officesOil lease brokerageLease
CERT-40Protective committees, security holdersHolder protective committeesProtect
CERT-41Quotation services, securitiesSecurities quotation feedsQuotes
CERT-42Quotation services, stockStock quotation servicesQuotes
CERT-43Securities holders' protective servicesProtecting security holders' interestsProtect
CERT-44Securities transfer agenciesSecurities transfer agencyTransfer
CERT-45Stock quotation servicesStock quote publicationQuotes
CERT-46Stock transfer agenciesStock transfer agencyTransfer
CERT-47Transfer agencies, securitiesSecurities transfer agency scopeTransfer
CERT-48Virtual currency trading exchange clearinghousesVirtual currency clearingClearing

YOUR MATTER
NEEDS A CLASS?

Forty-eight certificates mark the issued book, not the edge of a conversation. Describe the mandate or the deal and the reply states which class it prints on.

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