Form Bd Uniform Application For Broker-Dealer Registration (Page 22 of 28) in pdf

CIVIL JUDICIAL 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

Item 11H of Form BD;

; ; ; ; ;

Check

item(s) being responded to:

11H(1) Has any domestic or foreign court:

(a) in the past ten years, enjoined the applicant or a control affiliate in connection with any investmenf-related activity?

(b) ever found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations?

or a control affiliate by a state or foreign financial regulatory authority?

11H(2)

Is the applicant or a control affiliate now the subject of any civil proceeding that could result in a “yes” answer to any part

of 11H?

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 Item 11H. Use only one DRP to report details related to the same event. Unrelated civil judicial actions

must be reported on separate DRPs.

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 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

BD DRP - CONTROL AFFILIATE

This Control Affiliate is

Firm

Individual

CRD NUMBER

Registered:

Yes

NAME (For individuals, Last, First, Middle)

This DRP should be removed from the BD record because the control affiliate(s) are no longer associated with the BD.

B. If the control affiliate is registered through the CRD, has the control affiliate submitted a DRP (with Form U-4) or BD DRP to the CRD

System for the event? If the answer is “Yes,’’ no other information on this DRP must be provided.

Yes

NOTE: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART ll

Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.)

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