Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 58
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100The following definitions apply for purposes of answering this Question 10
- An individual or firm that directly or indirectly controls, is
under common control with, or is controlled by applicant.
Included are any employees identified in 8(a), 8(b), 8(c) of
Control affiliate
this form as exercising control. Excluded are any employees
who perform solely clerical, administrative support of similar
functions, or who, regardless of title, perform no executive
duties or have no senior policy making authority.
- Pertaining to securities, commodities, banking, insurance,
Investment or
or real estate (including, but not limited to, acting as or
investment
being associated with a broker-dealer, investment company,
related
investment adviser, futures sponsor, bank, or savings and
loan association).
- Doing an act of aiding, abetting, counseling, commanding,
Involved
inducing, conspiring with or failing reasonably to supervise
another in doing an act.
10(a). In the past ten years has the applicant or a control affiliate been convicted
of or plead guilty or nolo contender ("no contest") to:
10(a)(1). a felony or misdemeanor involving: investments or an
Yes
No
investment-related business, fraud, false statements or omissions,
wrongful taking of property, or bribery, forgery, counterfeiting or
extortion? . . . . . . . . . . . .
10(a)(1)(i). The individuals named in the Action
10(a)(1)(iii). Date of
10(a)(1)(ii). Title of Action
Action
10(a)(1)(iv). The Court or body taking the Action and its location
10(a)(1)(v). Description of the Action
10(a)(1)(vi). The disposition of the proceeding
Yes
No
10(a)(2). any other felony? . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
10(a)(2)(i). The individuals named in the Action
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