SEC Disciplinary Orders. You are not subject to an order of the SEC entered pursuant to section 15(b) or 15B(c) of the Securities Exchange Act of 1934 (the “Exchange Act”) or section 203(e) or 203(f) of the Investment Advisers Act of 1940 (the “Advisers Act”) that, at the time of the sale of the securities: • suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; • places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or • bars you from being associated with any entity or from participating in the offering of any xxxxx stock.
SEC Disciplinary Orders. Are you subject to any order of the SEC that currently: ● suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; ● places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or ● bars you from being associated with any entity or from participating in the offering of any xxxxx stock?1 ☐ Yes. If yes, please explain: __________________________________________________________ __________________________________________________________________________________ __________________________________________________________________________________ __________________________________________________________________________________ ☐ No.
SEC Disciplinary Orders. Are you or the Company currently the subject of any SEC disciplinary orders relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934, or Section 203(e) or (f) of the Investment Advisers Act that
(a) Suspends or revokes your or the Company’s registration as a broker, dealer, municipal securities dealer or investment adviser YES NO
(1) Places limitations on your or the Company’s activities, functions or operations YES NO
(2) Bars you or the Company from being associated with any entity or from participating in the offering of any pxxxx stock YES NO
SEC Disciplinary Orders. Is the undersigned subject to an SEC order entered pursuant to Section 15(b) or 15B(c) of the Securities Exchange Act of 1934 or Section 203(e) or (f) of the Investment Advisers Act of 1940 that: ● suspends or revokes the undersigned’s registration as a broker, dealer, municipal securities dealer or investment adviser; ● places limitations on the activities, functions or operations of the undersigned; or ● bars the undersigned from being associated with any entity or from participating in the offering of any xxxxx stock? Yes No
SEC Disciplinary Orders. Are you subject to any order of the Securities and Exchange Commission (“SEC”) that currently: ☐ suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; ☐ places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or ☐ bars you from being associated with any entity or from participating in the offering of any xxxxx stock?1 ☐ Yes. If yes, please explain: ____________________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ ☐ No.
1 A disqualification based on a suspension or limitation of activities expires when the suspension or limitation expires.
SEC Disciplinary Orders. Are you subject to any order of the Securities and Exchange Commission (“SEC”) that currently: ¨ suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; ¨ places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or ¨ bars you from being associated with any entity or from participating in the offering of any pxxxx stock?[1] ¨ Yes. If yes, please explain: ¨ No.
1 A disqualification based on a suspension or limitation of activities expires when the suspension or limitation expires.
SEC Disciplinary Orders. Are you subject to any order of the SEC that currently: · suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; · places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or · bars you from being associated with any entity or from participating in the offering of any xxxxx stock?1 □ Yes. If yes, please explain: □ No.
SEC Disciplinary Orders. You are not subject to an order of the SEC entered pursuant to section 15(b) or 15B(c) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) or section 203(e) or 203(f) of the Investment Advisers Act of 1940, as amended (the “Advisers Act”) that, at the time of the sale of the securities: • suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser; • places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or • bars you from being associated with any entity or from participating in the offering of any xxxxx stock.
SEC Disciplinary Orders. Are you or the Company currently the subject of any SEC disciplinary orders relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934, or Section 203(e) or (f) of the Investment Advisers Act that
SEC Disciplinary Orders. You are not currently subject to an order of the SEC relating to brokers, dealers, municipal securities dealers, investment companies, and investment advisers and their associated persons under Section 15(b) or 15B(c) of the Securities Exchange Act of 1934 (the “Exchange Act”) or Section 203(e) or 203(f) of the Investment Advisers Act of 1940 (the “Investment Advisers Act”) that (a) suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser, (b) places limitations on the activities, functions or operations or (c) bars you from being associated with any entity or from participating in the offering of any xxxxx stock.
