Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 61
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10010(c)(4). entered an order denying, suspending or revoking the
Yes
No
applicant's or a control affiliate's registration or otherwise
disciplined it by restricting its activities? . . . . . . . . . . . . . . . . . . .
10(c)(4)(i). The individuals named in the Action
10(c)(4)(iii). Date of
10(c)(4)(ii). Title of Action
Action
10(c)(4)(iv). The Court or body taking the Action and its location
10(c)(4)(v). Description of the Action
10(c)(4)(vi). The disposition of the proceeding
10(d). Has any other Federal regulatory agency or any state regulatory agency:
10(d)(1). ever found the applicant or a control affiliate to have made
Yes
No
a false statement or omission or to have been dishonest, unfair, or
unethical? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
10(d)(1)(i). The individuals named in the Action
10(d)(1)(iii). Date of
10(d)(1)(ii). Title of Action
Action
10(d)(1)(iv). The Court or body taking the Action and its location
10(d)(1)(v). Description of the Action
10(d)(1)(vi). The disposition of the proceeding
10(d)(2). ever found the applicant or a control affiliate to have been
Yes
No
involved in a violation of investment-related regulations or
statutes? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
10(d)(2)(i). The individuals named in the Action
10(d)(2)(iii). Date of
10(d)(2)(ii). Title of Action
Action
10(d)(2)(iv). The Court or body taking the Action and its location
61
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