Common use of Final Orders of Certain State and Federal Regulators Clause in Contracts

Final Orders of Certain State and Federal Regulators. Are you subject to a Final Order (as defined below) of state regulators of securities, insurance, banking, savings associations or credit unions; federal banking agencies; the Commodity Futures Trading Commission; or the National Credit Union Administration that: ¨ bars you from: ¨ associating with an entity regulated by any of the aforementioned regulators; ¨ engaging in the business of securities, insurance or banking; or ¨ engaging in savings association or credit union activities; or ¨ constitutes a Final Order based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct entered within the past ten (10) years? ¨ Yes. If yes, please explain: ¨ No.

Final Orders of Certain State and Federal Regulators. Are you subject to a Final Order (as defined below) of state regulators of securities, insurance, banking, savings associations or credit unions; federal banking agencies; the Commodity Futures Trading Commission; or the National Credit Union Administration that: ¨ · bars you from: ¨ · associating with an entity regulated by any of the aforementioned regulators; ¨ · engaging in the business of securities, insurance or banking; or ¨ · engaging in savings association or credit union activities; or ¨ · constitutes a Final Order based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct entered within the past ten (10) years? ¨ Yes. If yes, please explain: ____________________________________________________ ¨ No.

Final Orders of Certain State and Federal Regulators. Are you subject to a Final Order (as defined below) of state regulators of securities, insurance, banking, savings associations or credit unions; federal banking agencies; the Commodity Futures Trading Commission; or the National Credit Union Administration that: ¨ · bars you from: ¨ · associating with an entity regulated by any of the aforementioned regulators; ¨ · engaging in the business of securities, insurance or banking; or ¨ · engaging in savings association or credit union activities; or ¨ · constitutes a Final Order based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct entered within the past ten (10) years? ¨ Yes. If yes, please explain: __________________________________________________________________ ¨ No.

Final Orders of Certain State and Federal Regulators. Are you subject to a Final Order (as defined below) of state regulators of securities, insurance, banking, savings associations or credit unions; federal banking agencies; the Commodity Futures Trading Commission; or the National Credit Union Administration that: ¨ ☐ bars you from: ¨ ☐ associating with an entity regulated by any of the aforementioned regulators; ¨ ☐ engaging in the business of securities, insurance or banking; or ¨ ☐ engaging in savings association or credit union activities; or ¨ ☐ constitutes a Final Order based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct entered within the past ten (10) years? ¨ ☐Yes. If yes, please explain: ¨ ☐No.

Final Orders of Certain State and Federal Regulators. Are you subject to a Final Order (as defined below) of state regulators of securities, insurance, banking, savings associations or credit unions; federal banking agencies; the Commodity Futures Trading Commission; or the National Credit Union Administration that: ¨ · bars you from: ¨ · associating with an entity regulated by any of the aforementioned regulators; ¨ · engaging in the business of securities, insurance or banking; or ¨ · engaging in savings association or credit union activities; or ¨ · constitutes a Final Order based on a violation of any law or regulation that prohibits fraudulent, manipulative, or deceptive conduct entered within the past ten (10) years? ¨ □ Yes. If yes, please explain: ¨ □ No.