Uniform Application For Securities Industry Registration Or Transfer Page 8
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8I agree that until the Temporary Registration has been replaced by a registration, any jurisdiction and/or SRO in which I have applied for registration may
withdraw the Temporary Registration;
If a jurisdiction or SRO withdraws my Temporary Registration, my application will then be held pending in that jurisdiction and/or SRO until its review is
complete and the registration is granted or denied, or the application is withdrawn;
I understand and agree that, in the event my Temporary Registration is withdrawn by a jurisdiction and/or SRO, I must immediately cease any securities
activities requiring a registration in that jurisdiction and/or SRO until it grants my registration;
I understand that by executing this Acknowledgment I am agreeing not to challenge the withdrawal of a Temporary Registration; however, I do not waive
any right I may have in any jurisdiction and/or SRO with respect to any decision by that jurisdiction and/or SRO to deny my application for registration.
Date
Signature of Applicant
(MM/DD/YYYY)
02/24/2015
PETER TWINING
Signature ______________________________
15D. AMENDMENT INDIVIDUAL/APPLICANT'S ACKNOWLEDGMENT AND CONSENT
Date
Signature of Applicant
(MM/DD/YYYY)
02/24/2015
PETER TWINING
Signature ______________________________
15E. FIRM/APPROPRIATE SIGNATORY AMENDMENT REPRESENTATIONS
Date
Signature of Appropriate Signatory
(MM/DD/YYYY)
02/24/2015
PETER TWINING
Signature ______________________________
BANKRUPTCY/SIPC/COMPROMISE WITH CREDITORS DRP
No Information Filed
BOND DRP
No Information Filed
CIVIL JUDICIAL DRP
No Information Filed
CRIMINAL DRP
No Information Filed
CUSTOMER COMPLAINT/ARBITRATION/CIVIL LITIGATION DRP
No Information Filed
INVESTIGATION DRP
No Information Filed
JUDGMENT LIEN DRP
No Information Filed
REGULATORY ACTION DRP
No Information Filed
TERMINATION DRP
No Information Filed
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