Form U-1 - Uniform Application To Register Securities Page 2
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5(b) List the states, if any, in which the securities are eligible for sale to the public.
(c) List the states, if any, which have refused, by order or otherwise, to authorize sale of the
securities to the public, or have revoked or suspended the right to sell the securities or in which an
application has been withdrawn.
8. Submitted herewith as part of this application are the following documents (documents on file may
be incorporated by reference):
(a) One copy of the Registration Statement and two copies of the Prospectus in the latest form on file
under the Securities Act of 1933.
(b) Underwriting Agreement, Agreement among Underwriters, and Selected Dealers Agreement.
(c) Indenture.
(d) Issuer’ s charter or articles of incorporation as amended to date.
(e) Issuer’ s by-laws as amended to date.
(f) Signed copy of opinion of counsel filed with Registration Statement pursuant to the Securities
Act of 1933.
(g) Specimen (type of security) _______________________________________________________
(h) Consent to service of process accompanied by appropriate corporate resolution.
(i) If an earning computation or similar requirement is required to be met in this state, attach a
separate sheet as an exhibit showing compliance.
(j) One copy of all advertising matter to be used in connection with the offering.
(k) Others (list each):
9. The applicant hereby applies for registration or acceptance for filing of the above described
securities under the law cited above and in consideration thereof agrees so long as the registration
remains in effect that it will:
(a) Advise the above named state authority of any change prior to registration in this state in any of
the information contained herein or in any of the documents submitted with or as part of this
application.
(b) File with the above named state authority within two business days after filing with the Securities
and Exchange Commission (i) any amendments other than delaying amendments to the federal
registration statement, designating the changed, revised, or added material or information by
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