Common use of SEC Disciplinary Orders Clause in Contracts

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. 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. 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. 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 X 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. 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