Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 60
ADVERTISEMENT
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
10010(c)(1). found the applicant or a control affiliate to have made a
Yes
No
false statement or omission? . . . . . . . . . . . . . . . . . . . . . . . . . .
10(c)(1)(i). The individuals named in the Action
10(c)(1)(iii). Date of
10(c)(1)(ii). Title of Action
Action
10(c)(1)(iv). The Court or body taking the Action and its location
10(c)(1)(v). Description of the Action
10(c)(1)(vi). The disposition of the proceeding
10(c)(2). found the applicant or a control affiliate to have been
Yes
No
involved in a violation of its regulations or statutes? . . . . . . . . . .
10(c)(2)(i). The individuals named in the Action
10(c)(2)(iii). Date of
10(c)(2)(ii). Title of Action
Action
10(c)(2)(iv). The Court or body taking the Action and its location
10(c)(2)(v). Description of the Action
10(c)(2)(vi). The disposition of the proceeding
10(c)(3). found the applicant or a control affiliate to have been a
Yes
No
cause of an investment-related business having its authorization
to do business denied, suspended, revoked or restricted? . . . . . .
10(c)(3)(i). The individuals named in the Action
10(c)(3)(iii). Date of
10(c)(3)(ii). Title of Action
Action
10(c)(3)(iv). The Court or body taking the Action and its location
10(c)(3)(v). Description of the Action
10(c)(3)(vi). The disposition of the proceeding
60
ADVERTISEMENT
0 votes
Related Articles
Related forms
Form Id - Uniform Application For Access Codes To File On Edgar - U.s. Securities And Exchange Commission
Legal
Form Id - Uniform Application For Access Codes To File On Edgar - U.s. Securities And Exchange Commission Washington, Dc
Business
Form S-3 - Registration Statement Under The Securities Act Of 1933 - United States Securities And Exchange Commission
Legal
Guidance Update No.2013-07 - Business Development Companies-separate Financial Statements Or Summarized Financial Information Of Certain Subsidiaries - Us Securities And Exchange Commission
Legal
Form N-8b-4 - Registration Statement Of Face-amount Certificate Companies - Securities And Exchange Commission
Legal
Form 6-k - Report On Foreign Issuer - District Of Columbia Securities And Exchange Commission - 2015
Business
Form 6-k - Report On Foreign Issuer - District Of Columbia Securities And Exchange Commission - 2015
Business
Related Categories
Parent category: Legal