Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 59
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10010(a)(2)(iii). Date of
10(a)(2)(ii). Title of Action
Action
10(a)(2)(iv). The Court or body taking the Action and its location
10(a)(2)(v). Description of the Action
10(a)(2)(vi). The disposition of the proceeding
10(b). Has any court in the past ten years:
10(b)(1). enjoined the applicant or a control affiliate in connection
Yes
No
with any investment-related activity? . . . . . . . . . . . . . . . . . . . . .
10(b)(1)(i). The individuals named in the Action
10(b)(1)(iii). Date of
10(b)(1)(ii). Title of Action
Action
10(b)(1)(iv). The Court or body taking the Action and its location
10(b)(1)(v). Description of the Action
10(b)(1)(vi). The disposition of the proceeding
10(b)(2). found that the applicant or a control affiliate was involved
Yes
No
in a violation of investment-related statutes or regulations? . . . . .
10(b)(2)(i). The individuals named in the Action
10(b)(2)(iii). Date of
10(b)(2)(ii). Title of Action
Action
10(b)(2)(iv). The Court or body taking the Action and its location
10(b)(2)(v). Description of the Action
10(b)(2)(vi). The disposition of the proceeding
10(c). Has the U.S. Securities and Exchange Commission or the Commodity
Futures Trading Commission ever:
59
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