Form 4-5bbd - Corporate Indemnity Bond Of Broker-Dealer - 1998
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2Page 1 of 2
(Rev.11/16/1998)
STATE OF UTAH
DEPARTMENT OF COMMERCE
DIVISION OF SECURITIES
FORM 4-5BBD
Corporate Indemnity Bond of Broker-Dealer
State of Utah
)
)
ss.
County of
)
, That
KNOW ALL MEN BY THESE PRESENTS
(Broker-Dealer)
of the County of
, State of
,
as
and
, of the County of
,
PRINCIPAL,
State of
, as 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
ONE HUNDRED THOUSAND DOLLARS
United States 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 principal
herein named as a Broker-Dealer in the State of Utah.
, the said Broker-Dealer is authorized by said Act to appoint Agents to
AND WHEREAS
represent and assist said Broker-Dealer in the sale of said securities.
, if the above bounden Principal herein named, shall truly report to the Utah
NOW, THEREFORE
Division of Securities the names and addresses of all agents so appointed and employed in the sale
of said securities, and said Principal herein named as such Broker-Dealer 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 principal and/or
SECURITIES ACT
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 Section 61-1-22(7)(a) of the Utah Uniform Securities
Act.
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