Form U-1 - Uniform Application To Register Securities Page 3
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5underlining the same; and (ii) the final prospectus, or any further amendments or supplements
thereto.
(c) Notify the above named state authority within two business days (i) upon the receipt of any stop
order, denial, order to show cause, suspension or revocation order, injunction or restraining order, or
similar order entered or issued by any state or other regulatory authority or by any court, concerning
the securities covered by this application or other securities of the issuer currently being offered to
the public; and (ii) upon the receipt of any notice of effectiveness of said registration by the
Securities and Exchange Commission.
(d) Notify the above named state authority at least two business days prior to the effectiveness of
said registration with the Securities and Exchange Commission of (i) any request by the issuer or
applicant to any other state or regulatory authority for permission to withdraw any application to any
other state or regulatory authority for permission to withdraw any application to register the
securities described herein; and (ii) a list of all states in which applications have been filed where the
issuer or applicant has received notice from the state authority that the application does not comply
with state requirements and cannot or does not intend to comply with such requirements.
(e) Furnish promptly all such additional information and documents in respect to the issuer or the
securities covered by this application as may be requested by the above named state authority prior
to registration or acceptance for filing.
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