Form R-5 - Resolution, Broker-Dealer Questionnaire And Affidavit: Prior Sales (Page 3 of 4) in pdf

Form R-5 - Resolution, Broker-Dealer Questionnaire And Affidavit: Prior Sales Page 3

Form R-5

11/06

RESOLUTION

RESOLVED, that the President and the Secretary of this corporation

________________________________________________ be and they are

hereby authorized and directed in the name of and on behalf of this corporation

to take any and all action which they may deem necessary or advisable in order

to register this corporation as a broker-dealer or as an investment adviser, or to

and in connection with such registration to execute, acknowledge, verify, deliver,

file and publish all documents and exhibits which may be required under said

Act, including but not limited to application, reports, irrevocable consents to

service of process, powers of attorney, and surety bonds, in forms prescribed by

the Commissioner or such other forms as to them may seem proper, and to take

any and all further actions which they may deem necessary or advisable in order

to maintain such registration in effect for as long as they may deem to be in the

best interest of this corporation.

CERTIFICATE

_____________________________________,

Secretary

_____________________________________, do certify that the foregoing is a

true and exact copy of a resolution of the board of directors of said corporation,

which resolution was duly made, passed and adopted at a legal meeting of said

board of directors, held at _____________________________________, on the

_____________ day of __________________________, ___________, and that

year

the passage of said resolution was in all respects regular and in accordance with

the by-laws of said corporation and remains in full force and effect.

IN WITNESS WHEREOF, I have hereunto set my hand and affixed the

corporate seal this _________ day of ______________________, ________.

year

_____________________________

Secretary

Form R-5 - Resolution, Broker-Dealer Questionnaire And Affidavit: Prior Sales Page 3