Common use of NASD AFFILIATION Clause in Contracts

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one)? If yes, please describe:** The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair Practice. Name of NASD Member Firm By: Date: , 2001

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one)? ): YES NO If yesYes, please describe:** : *If Subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair Practice. Name of NASD Member Firm By: :_______________________________________ Authorized Officer Date: , 2001:_____________________________________

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one)? ): If yesYes, please describe:** : If Investor is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair Practice. _________________________________ Name of NASD Member Firm By: ______________________________ Authorized Officer Date: , 2001____________________________

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one)? ): Yes _________ No __________ If yesYes, please describe:** : *If Subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair Practice. _________________________________ Name of NASD Member Firm By: Authorized Officer Date: , 2001: