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Investor FAQ

General
What stock exchange is Prudential Financial, Inc. listed on and what is the ticker symbol?
How do I obtain or change information on my shareholder record?
How can I buy additional shares of Prudential Financial, Inc. Common Stock?
How can I electronically move my shares of Prudential Financial, Inc. Common Stock to my broker/dealer account?
How can I obtain a stock certificate?
How can I receive financial information about the Company?
Where can I obtain more answers to frequently asked shareholder questions?
Dividends
Now that you are paying a quarterly dividend, will you offer a dividend reinvestment program?
Are the dividends that I receive as a shareholder taxable?
If I decide not to participate in the Sales Facility, can I leave the shares in book-entry?
Corporate Governance
Does the Company have a written code of conduct? Does the policy apply worldwide to all employees? How is the code disseminated, and how is compliance monitored?
Does the Company have procedures to identify and/or prevent possible illegal acts such as money laundering, bribery of foreign public officials and the use of Company assets to aid alleged terrorist groups?
General
 

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What stock exchange is Prudential Financial, Inc. listed on and what is the ticker symbol?
 Prudential Financial, Inc. Common Stock is listed on the New York Stock Exchange (NYSE) under ticker symbol PRU. The CUSIP number is 744320 10 2.

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How do I obtain or change information on my shareholder record?
 Please contact Computershare, Prudential's transfer agent, for assistance with your stock account. Inside the U.S. and Canada they can be reached at 1-800-305-9404. Outside the U.S. and Canada they can be reached at 1-732-512-3782. The TDD# for the hearing impaired is 1-800-619-2837.

or you may write to them at:
Computershare
P.O. Box 43033
Providence, RI 02940-3033

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How can I buy additional shares of Prudential Financial, Inc. Common Stock?
 You can buy shares of Prudential Financial, Inc. Common Stock at any time through a registered brokerage firm.

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How can I electronically move my shares of Prudential Financial, Inc. Common Stock to my broker/dealer account?
 In order to complete a successful electronic transfer, your broker will need the following information that can be found on your transaction statement:

  • The name on your Computershare account,
  • Your Computershare account number,
  • The tax identification number that is on your account at Computershare,
  • The number of shares that you want to transfer, and
  • The CUSIP number for the Common Stock of Prudential Financial, Inc.

Make sure your broker is using the DRS Profile system, and not another electronic delivery mechanism.

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How can I obtain a stock certificate?
 You may contact Computershare at 1-800-305-9404 (U.S. and Canada) to obtain a stock certificate. However, you may wish to continue to hold your shares in book-entry form if you wish to participate in the Sales Facility or if you plan to transfer your stock to your broker.

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How can I receive financial information about the Company?
 To obtain the latest financial information about Prudential Financial, Inc., including the most recent Annual Report on Form 10-K and Quarterly Reports on Form 10-Q filed with the Securities and Exchange Commission, visit our investor relations web site at www.investor.prudential.com or call 1-877-998-ROCK. These reports are available free of charge.

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Where can I obtain more answers to frequently asked shareholder questions?
 You may find more questions and information on Computershare's website at www.computershare.com.

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Dividends
 

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Now that you are paying a quarterly dividend, will you offer a dividend reinvestment program?
 Although the Company does not currently offer a dividend reinvestment program, Prudential periodically reviews the decision of whether to offer such a program, with all relevant factors being thoroughly considered.

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Are the dividends that I receive as a shareholder taxable?
 Dividends paid to individual shareholders are generally considered taxable income. For additional information, we suggest that you contact your tax advisor.

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If I decide not to participate in the Sales Facility, can I leave the shares in book-entry?
 Yes, Computershare will continue to hold your stock in book-entry form at no cost to you.

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Corporate Governance
 Prudential has a long-standing tradition of best-in-class corporate governance. Prudential strives not only to meet all corporate governance requirements but also to be a leader in corporate responsibility, accountability and transparency.

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Does the Company have a written code of conduct? Does the policy apply worldwide to all employees? How is the code disseminated, and how is compliance monitored?
 Prudential's ethics policy, "Making the Right Choices," sets forth the Company's code of conduct for associates worldwide. It is distributed to new associates and is re-issued electronically to all associates annually. It is available on the Company's public web site in addition to the internal intranet. Compliance is monitored through a training program required for all new employees, the conduct of an annual associate ethics survey and maintenance of an Ethics Hotline program.

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Does the Company have procedures to identify and/or prevent possible illegal acts such as money laundering, bribery of foreign public officials and the use of Company assets to aid alleged terrorist groups?
 It is the policy of Prudential to conduct its business in accordance with all applicable laws and regulations prohibiting financial transactions that involve unlawful activities, including the Foreign Corrupt Practices Act of 1977, the USA Patriot Act, and those laws and regulations promulgated by the Office of Foreign Assets Control. Prudential's Corporate Investigations Division, including its Anti-Money Laundering Unit, oversees programs for the prevention and detection of such illegal activity throughout the enterprise.

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