Form Bd Uniform Application For Broker-Dealer Registration Page 21
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28REGULATORY ACTION DISCLOSURE REPORTING PAGE (BD)
(continuation)
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved: (check appropriate item)
Acceptance, Waiver & Consent (AWC)
Decision & Order of Offer of Settlement
Settled
Consent
Dismissed
Stipulation and Consent
Decision
Order
Vacated
11. Resolution Date (MM/DD/YYYY):
Exact
Explanation
If not exact, provide explanation:
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items):
Monetary/Fine
Revocation/Expulsion/Denial
Disgorgement/Restitution
Amount: $
Censure
Cease and Desist/Injunction
Bar
Suspension
B. Other Sanctions Ordered:
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C. Sanction detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities
Principal, Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time
given to requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty,
restitution, disgorgement or monetary compensation, provide total amount, portion levied against applicant or control affiliate, date paid
and if any portion of penalty was waived:
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13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The
information must fit within the space provided.)
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