Common use of SEC Disciplinary Orders Clause in Contracts

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 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 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 pxxxx stock?1 ☐ ¨ Yes. If yes, please explain: __________________________________________________________ __________________________________________________________________________________ __________________________________________________________________________________ __________________________________________________________________________________ ☐ ¨ No.

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; ● 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 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 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. ¨ Nx.

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 subject to any order of the SEC 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.