Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 63
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10010(d)(5)(iii). Date of
10(d)(5)(ii). Title of Action
Action
10(d)(5)(iv). The Court or body taking the Action and its location
10(d)(5)(v). Description of the Action
10(d)(5)(vi). The disposition of the proceeding
10(d)(6). ever revoked or suspended the applicant's or a control
Yes
No
affiliate's license as an attorney or accountant? . . . . . . . . . . . . . .
10(d)(6)(i). The individuals named in the Action
10(d)(6)(iii). Date of
10(d)(6)(ii). Title of Action
Action
10(d)(6)(iv). The Court or body taking the Action and its location
10(d)(6)(v). Description of the Action
10(d)(6)(vi). The disposition of the proceeding
10(e). Has any self-regulatory organization or commodities exchange ever:
10(e)(1). found the applicant or a control affiliate to have made a
Yes
No
10(e)(1)(i). The individuals named in the Action
10(e)(1)(iii). Date of
10(e)(1)(ii). Title of Action
Action
10(e)(1)(iv). The Court or body taking the Action and its location
10(e)(1)(v). Description of the Action
10(e)(1)(vi). The disposition of the proceeding
10(e)(2). found the applicant or a control affiliate to have been
Yes
No
63
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