OTCBB/OTCQB/Pink Sheet Stocks

We generally accept for deposit, subject to documentation requirements and compliance review, OTCBB/OTCQB/Pink Sheet stocks that meet the initial criteria:

• Do not have a "Caveat Emptor" status on otcmarkets.com
• Are not subject to unsolicited quotes only, and are not classified as "Grey Market"

Contact us today at (818) 907-1505 ( option 2 ) to see if we can accept your physical certificate. In most cases we can provide you an answer within a few minutes.

Physical Certificate Deposits - Non Affiliate Shares

Affiliates of the company include officers, directors and shareholders with large positions. There are other scenarios in which you may become an affiliate of the company. If you are unsure if you are an affiliate of the company please contact your attorney. The following includes instruction for deposits of non-affiliate share certificates.

Summary of items needed:

• Deposit Securities Request Form - This form must be completed and signed for all deposits of securities. All related attachments must be included. We must be able to track the shares back to their original issuance from the company and verify that each and every transfer was properly performed and that the shares are currently free trading. Documentation needed to support the deposit could include transfer records, attorney opinion letters, and stock purchase agreements. Please be as thorough as possible in order to avoid delays in the clearance of the certificate.
  
  
• Original Stock Power- sign and put account number only. (sample)
  
  
• Original certificate without 144 or other legend - Do not sign or fill out the back of the certificate.
  
  
• Check for $250 - Our clearing firm, Penson Financial Services, Inc., charges a physical certificate deposit fee of $75 plus all delivery charges and transfer agent fees. The total cost varies by company since each transfer agent charges according to their own schedule. The charges typically range from $120 to $250. Please include with your deposit of a physical certificate a check for $250 made out to Penson Financial Services, Inc. Certificates that do not include a check will be returned to the sender. Alternatively you can you deposit funds via wire.

Timeline for deposits:

In most cases it will take approximately 3-4 weeks in order to clear your certificate. Delays occur when incomplete documentation has been provided.

OTCBB/OTCQB/Pink Sheet Stocks

We generally accept for deposit, subject to documentation requirements and compliance review, OTCBB/OTCQB/Pink Sheet stocks that meet the initial criteria:

• Do not have a "Caveat Emptor" status on otcmarkets.com
• Are not subject to unsolicited quotes only, and are not classified as "Grey Market"

Physical Certificate Deposits - Affiliate Shares

Affiliates of the company include officers, directors and shareholders with large positions. There are other scenarios in which you may become an affiliate of the company. If you are unsure if you are an affiliate of the company please contact your attorney. The following includes instruction for deposits of affiliate share certificates.

Summary of items needed:

• Deposit Securities Request Form - This form must be completed and signed for all deposits of securities. All related attachments must be included. We must be able to track the shares back to their original issuance from the company and verify that each and every transfer was properly performed and that the shares are currently free trading. Documentation needed to support the deposit could include transfer records, attorney opinion letters, and stock purchase agreements. Please be as thorough as possible in order to avoid delays in the clearance of the certificate.
  
  
• Original Stock Power- sign and put account number only
  
  
• Original certificate - Do not sign or fill out the back of the certificate.
  
  
• Check for $500 made out to Penson Financial Services, Inc.- Our clearing firm, Penson Financial Services, Inc., charges a physical certificate deposit fee of $75 plus restricted processing fees of $125, plus all delivery charges and transfer agent fees. The total cost varies by company since each transfer agent charges according to their own schedule. The charges typically range from $250 to $550. Please include with your deposit of a physical certificate a check for $500 made out to Penson Financial Services, Inc. Certificates that do not include a check will be returned to the sender. Alternatively you can you deposit funds via wire.
  
  
• 144 Seller's Letter for Affiliates
  
  
• Addendum to 144 Seller's Representation Letter for Affiliates
  
  
• Form 144 - This will be sent to the SEC to provide notice of the sale.
• Attorney opinion letter - contact your attorney for more details. Your attorney may request a broker representation letter. Contact us for more details.

Timeline for deposits:

In most cases it will take approximately 3-6 weeks in order to clear restricted affiliate certificates. Delays occur when incomplete documentation has been provided.

OTCBB/OTCQB/Pink Sheet Stocks

We generally accept for deposit, subject to documentation requirements and compliance review, OTCBB/OTCQB/Pink Sheet stocks that meet the initial criteria:

• Do not have a "Caveat Emptor" status on otcmarkets.com
• Are not subject to unsolicited quotes only, and are not classified as "Grey Market"

DWAC Deposits - Non Affiliate Shares

Affiliates of the company include officers, directors and shareholders with large positions. There are other scenarios in which you may become an affiliate of the company. If you are unsure if you are an affiliate of the company please contact your attorney. The following includes instruction for deposits of non-affiliate share certificates.

Summary of items needed:

• Deposit Securities Request Form - This form must be completed and signed for all deposits of securities. All related attachments must be included. We must be able to track the shares back to their original issuance from the company and verify that each and every transfer was properly performed and that the shares are currently free trading. Documentation needed to support the deposit could include transfer records, attorney opinion letters, and stock purchase agreements. Please be as thorough as possible in order to avoid delays in the clearance of the certificate.
  
  
• Check for $250 - Our clearing firm, Penson Financial Services, Inc., charges a DWAC deposit fees dependent upon transfer agent fees. The total cost varies by company since each transfer agent charges according to their own schedule. The charges typically range from $30 to $150. Please include with your deposit of a physical certificate a check for $250 made out to Penson Financial Services, Inc. DWAC deposits that do not include a check will be returned to the sender. If the charges are less than your check, the difference will remain in your account. Alternatively you can you deposit funds via wire.

Timeline for deposits:

In most cases it will take approximately 2-3 days in order for your DWAC to be processed. Delays occur when incomplete documentation has been provided.