Form 4-5bia - Corporate Indemnity Bond Of Investment Adviser - 1998
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2Page 1 of 2
(Rev. 11/16/1998)
STATE OF UTAH
DEPARTMENT OF COMMERCE
DIVISION OF SECURITIES
FORM 4-5BIA
Corporate Indemnity Bond of Investment Adviser
STATE OF
)
ss.
)
COUNTY OF
)
KNOW ALL MEN BY THESE PRESENTS, THAT
(Investment Adviser)
of the County of
, State of
as
, and
, of the County of
,
Designated Official
State of
, a surety corporation duly qualified to do business in
the State of Utah, as surety, is held and firmly bound unto the State of Utah and/or any person, firm
or corporation interested, in the sum of
lawful money of the United States
TEN THOUSAND DOLLARS
of America for the payment whereof well and truly to be made, we do bind ourselves, our and each
of our heirs, assigns, executors and administrators, jointly and severally, firmly by these presents.
The condition of this obligation is such, that whereas, the Utah Division of Securities of the
State of Utah, under the provisions of the Utah Uniform Securities Act, has licensed the said
Designated Official herein named as a Investment Adviser in the State of Utah.
, the said Investment Adviser is authorized by said Act to appoint Investment
AND WHEREAS
Adviser Representatives to represent and assist said Investment Adviser in the advice of said
securities.
, if the above bounden Designated Official herein named, shall truly report
NOW, THEREFORE
to the Utah Division of Securities the names and addresses of all Investment Adviser Representatives
so appointed and employed in the advice of said securities, and said Designated Official herein named
as such Investment Adviser shall well and truly comply with the provisions of the Utah Uniform
Securities Act, and then this obligation to be void, otherwise to remain in full force and effect.
PROVIDED, HOWEVER, AND UPON THE FOLLOWING EXPRESS CONDITIONS:
That every person having a cause of action under Section 61-1-22
UTAH UNIFORM
, may initiate suit in any court of competent jurisdiction against the Designated
SECURITIES ACT
Official and/or the surety upon this bond. No suit may be maintained to enforce any liability on the
bond unless brought within the time frame as established in Section61-1-22(7)(a) of the Utah Uniform
Securities Act.
, that nothing herein shall be construed to make the total maximum
PROVIDED, ALWAYS
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