Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 29
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49REGULATORY ACTION DISCLOSURE REPORTING PAGE (ADV)
(continuation)
PART II
1.
Regulatory Action initiated by:
SEC
Other Federal
State
Foreign
SRO
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
_____________________________________________________________________________________________________
2.
Principal Sanction (check appropriate item):
Civil and Administrative Penalty(ies)/Fine(s)
Disgorgement
Restitution
Bar
Expulsion
Revocation
Cease and Desist
Injunction
Suspension
Censure
Prohibition
Undertaking
Denial
Reprimand
Other ______________
Other Sanctions:
___________________________________________________________________________________________________
___________________________________________________________________________________________________
___________________________________________________________________________________________________
3.
Date Initiated (MM/DD/YYYY):
Exact
Explanation
If not exact, provide explanation: ________________________________________________________________________
4.
Docket/Case Number:
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type (check appropriate item):
Annuity(ies) - Fixed
Derivative(s)
Investment Contract(s)
Annuity(ies) - Variable
Direct Investment(s) - DPP & LP Interest(s)
Money Market Fund(s)
CD(s)
Equity - OTC
Mutual Fund(s)
Commodity Option(s)
Equity Listed (Common & Preferred Stock)
No Product
Debt - Asset Backed
Futures - Commodity
Options
Debt - Corporate
Futures - Financial
Penny Stock(s)
Debt - Government
Index Option(s)
Unit Investment Trust(s)
Debt - Municipal
Insurance
Other ______________
Other Product Types:
___________________________________________________________________________________________________
___________________________________________________________________________________________________
(continued)
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