Form U-1 Or Ct-3 - Application To Register Securities Page 2
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47. (a) List the states in which it is proposed to offer the securities for sale to the public:
(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 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withdrawn.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 a part of this application are the following documents (documents on file may be
incorporated by reference):
(a) One copy of the Registration Statement and (3) copies of Prospectus in the latest form on file under the
Securities Act of 1933.
(b) Agreement Among Underwriters, Underwriting Agreement, 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 the 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 registered 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 a 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 amendmentsto the federal registration
statement, designating the changed, revised or added material or information by underlining the same; and
(ii) the final prospectus, or any further amendments or supplements thereto.
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