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.. Exhibit A-3

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.