Form 133.35 - Application For Designation As Matching Service Under '109.15 (Page 2 of 4) in pdf

Form

133.35

Describe in detail, on separate sheets of paper, the matching service facility operated or

proposed to be operated by the applicant. Address, among other things, how investor and

issuer members are identified and made aware of the facility and how the operations of the

facility and the presentation of business plans are limited to ensure compliance with

'109.15. Demonstrate that the facility and its employees do not and will not have any

business relationship with any investor or issuer member, other than as permitted in

'109.15. If the applicant currently operates a facility, describe the history of operations.

Provide copies of all materials generated or maintained by the applicant demonstrating that

the matching service is limited to providing investor members with summary business plans

and identities of issuer members.

Describe in detail, on separate sheets of paper, the nature of the inquiry the applicant

undertakes to determine whether investor members are properly qualified.

State the number of employees engaged in operating the facility, describe the functions of

each employee, and describe how employees are compensated: ____________________

________________________________________________________________________

Affirm that no employee is required under The Securities Act to be a registered dealer,

salesman or agent. If any employee, officer, director, or control person, has, at any time

within the past five years, been engaged in the offer or sale of securities as a dealer,

salesman or agent, identify such employee(s), officer(s), director(s), or control person(s),

describe the nature of the securities-related activities, and firm affiliation (if any, with

dates): __________________________________________________________________

________________________________________________________________________

If any employee, officer, director, or control person of the applicant is subject to any

disqualification set forth in '109.13(k)(2)(A)-(E) of this title, give the name of such

employee, officer, director, or control person and all particulars in an attached statement.

What fees are charged members for use of the facility? ___________________________

________________________________________________________________________

Form 133.35 - Application For Designation As Matching Service Under '109.15 Page 2