Form Bd Uniform Application For Broker-Dealer Registration (Page 19 of 28) in pdf

REGULATORY ACTION DISCLOSURE REPORTING PAGE (BD)

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP BD) is an

INITIAL OR

AMENDED response used to report details for affirmative

responses to Items 11C, 11D, 11E, 11F or 11G of Form BD;

Check ; ; ; ; ; item(s) being responded to:

11C.

Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:

(1)

found the applicant or a control affiliate to have made a false statement or omission?

(2)

found the applicant or a control affiliate to have been involved in a violation of its regulations or statutes?

(3)

found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?

(4)

entered an order against the applicant or a control affiliate in connection with investment-related activity?

(5)

imposed a civil money penalty on the applicant or a control affiliate, or ordered the applicant or a control affiliate to cease and desist from any activity?

11D.

Has any other federal regulatory agency, any state regulatory agency, or foreign financial regulatory authority:

(1)

ever found the applicant or a control affiliate to have made a false statement or omission or been dishonest, unfair, or unethical?

(2)

ever found the applicant or a control affiliate to have been involved in a violation of investment-related regulations or statutes?

(3)

ever found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?

(4)

in the past ten years, entered an order against the applicant or a control affiliate in connection with an investment-related activity?

(5)

ever denied, suspended, or revoked the applicant’s or a control affiliate’s registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?

11E.

Has any self-regulatory organization or commodities exchange ever:

(1)

found the applicant or a control affiliate to have made a false statement or omission?

(2)

found the applicant or a control affiliate to have been involved in a violation of its rules (other than a violation designated as a “ minor rule violation’’ under a plan approved by the U.S. Securities and Exchange Commission)?

(3)

found the applicant or a control affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?

(4)

disciplined the applicant or a control affiliate by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?

11F.

Has the applicant’s or a control affiliate’s authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?

11G.

Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a “yes” answer to any part of 11C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 11C, 11D, 11E, 11F or 11G. Use only one DRP to report details related to the same event. If an event gives rise to actions

by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this

DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant’s appropriate DRP (BD). Details of the event

must be submitted on the control affiliate’s appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers

to all the items on the applicant’s appropriate DRP (BD). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART

lRT I

A. The person(s) or entity(ies) for whom this DRP is being filed is (are):

The Applicant

Applicant and one or more control affiliate(s)

One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name,

Middle name).

If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate “non-registered’’ by checking the appropriate

checkbox.

NAME OF APPLICANT

APPLICANT CRD NUMBER