Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 64
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10010(e)(2)(i). The individuals named in the Action
10(e)(2)(iii). Date of
10(e)(2)(ii). Title of Action
Action
10(e)(2)(iv). The Court or body taking the Action and its location
10(e)(2)(v). Description of the Action
10(e)(2)(vi). The disposition of the proceeding
10(e)(3). found the applicant or a control affiliate to have been
Yes
No
the cause of an investment-related business losing its
authorization to do business? . . . . . . . . . . . . . . . . . . . . . . . . .
10(e)(3)(i). The individuals named in the Action
10(e)(3)(iii). Date of
10(e)(3)(ii). Title of Action
Action
10(e)(3)(iv). The Court or body taking the Action and its location
10(e)(3)(v). Description of the Action
10(e)(3)(vi). The disposition of the proceeding
10(e)(4). disciplined the applicant or a control affiliate by expelling
Yes
No
or suspending it from membership, by barring or suspending its
association with other members, or by otherwise restricting its
activities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
10(e)(4)(i). The individuals named in the Action
10(e)(4)(iii). Date of
10(e)(4)(ii). Title of Action
Action
10(e)(4)(iv). The Court or body taking the Action and its location
10(e)(4)(v). Description of the Action
10(e)(4)(vi). The disposition of the proceeding
64
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