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Upstream is a MERJ market. MERJ is a proud affiliate of the World Federation of Exchanges. Upstream does not permit U.S. persons to trade securities, options or warrants.

Regulatory Summary

MERJ Exchange is licensed and regulated by the Financial Services Authority of Seychelles

Licensed securities exchange operator (License No. SE001)
Licensed clearing agency (License No. CA001)
Licensed securities facility (License No. SF001)

Upstream is a MERJ Exchange Market

Disclaimers:

U.S. persons may not deposit, buy, or sell securities on Upstream. U.S. persons may not write, buy, or sell options on Upstream. U.S. persons may not buy or sell warrants on Upstream.

Upstream maintains certain insurances and bankruptcy protections for cash and securities held by Upstream Members. Details of the Upstream investor protections may be found at https://upstream.exchange/media/bankruptcy_protection.pdf Details of the Upstream investor terms and conditions for options and warrants trading may be found at https://upstream.exchange/media/options_ts_and_cs.pdf

Upstream is a MERJ Exchange market. MERJ Exchange is a licensed Securities Exchange, an affiliate of the World Federation of Exchanges and full member of ANNA. MERJ supports global issuers of traditional and digital securities through the entire asset life cycle from issuance to trading, clearing, settlement and registry. It operates a fair and transparent marketplace in line with international best practice and principles of operations of financial markets. Upstream does not endorse or recommend any public or private securities bought or sold on its app. Upstream does not offer investment advice or recommendations of any kind. All services offered by Upstream are intended for self-directed clients who make their own investment decisions without aid or assistance from Upstream. Customers must comply with applicable law of their own jurisdiction. By accessing the site or app, you agreed to be bound by its terms of use and privacy policy. Company, security, options and warrants listings on Upstream are only suitable for investors who are familiar with and willing to accept the high risk associated with speculative investments, often in early and development stage companies. U.S. persons may not deposit, buy, or sell securities on Upstream. U.S. persons may not write, buy, or sell options on Upstream. U.S. persons may not buy or sell warrants on Upstream. There can be no assurance the valuation of any particular company’s securities, options or warrants is accurate or in agreement with the market or industry comparative valuations. Investors must be able to afford market volatility and afford the loss of their investment. Companies listed on Upstream are subject to significant ongoing corporate obligations including, but not limited to disclosure, filings and notification requirements, as well compliance with applicable quantitative and qualitative listing standards.

THIS SITE SHALL NOT CONSTITUTE AN OFFER TO SELL SECURITIES, OPTIONS OR WARRANTS OR THE SOLICITATION OF AN OFFER TO BUY SECURITIES, OPTIONS OR WARRANTS IN ANY JURISDICTION WHERE SUCH OFFER OR SOLICITATION IS NOT PERMITTED.

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