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Surety Bond For Investment Advisers Form - Department Of Financial Institutions - Kentucky Page 2

SECTION TWO

DURATION

This obligation shall remain in effect for one year following the date of its execution unless the

bond is terminated as provided in Section Three or as otherwise provided by law.

SECTION THREE

TERMINATION

Surety may terminate its obligation under this bond by giving thirty days written notice to

Obligee and to Principal, but such notice shall not effect this agreement with respect to any

obligation that may have arisen prior to the receipt of such notice by Obligee.

SECTION FOUR

EXTENT OF LIABILITY

The maximum amount of the liability of Surety by virtue of this obligation shall be

$__________.

SECTION FIVE

RECOVERY OF ATTORNEYS' FEES

If any proceedings are brought to enforce the obligations agreed to in this bond, Obligee

shall be allowed reasonable attorneys' fees as a court may award.

Principal and Surety have executed this bond at _________________________(place of

execution) on this ________ day of ____________________, ________.

Executed By:

________________________________

Principal

Surety

_________________________________

________________________________

Print Name and Title

Version 11-2004

Surety Bond For Investment Advisers Form - Department Of Financial Institutions - Kentucky Page 2