Form R-7 - Bond For Broker-Dealer, Investment Advisers, And Agent - 2013
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1
2Form R-7
Rev. 03/13
COMMONWEALTH OF PUERTO RICO
COMMISSIONER OF FINANCIAL INSTITUTIONS
Centro Europa Building, Suite 600
1492 Ponce de León Avenue
San Juan, PR 00907- 4127
Tel. (787) 723-8403 Fax (787) 724-2604
BOND FOR BROKER-DEALER, INVESTMENT ADVISERS, AND AGENT
UNDER THE UNIFORM SECURITIES ACT
AND BLANKET BOND FOR AGENTS OF A BROKER-DEALER
KNOW ALL MEN BY THESE PRESENT:
That
, as Principal and
,_________________________ as Surety are firmly bound unto the people of the
Commonwealth of Puerto Rico for the use and benefit of any person sustaining damages as result
of
any breach
of
the
conditions
hereinafter
set
forth
in
the
penal
sum
of
thousand dollars ($
) and in the case of a blanket bond $2,000.00 per agent
without limitation of the number of agents, for the payment of which sum, well and truly to be
made, we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and
severally, firmly by these presents.
THE CONDITIONS OF THE ABOVE OBLIGATION ARE SUCH THAT:
WHEREAS, the principal has made or is about to make an application to the Securities
Regulation Division, Office of the Commissioner of Financial Institutions, for registration as
broker-dealer, investment adviser, or agent, pursuant to the Uniform Securities Act of Puerto
Rico; and
NOW THEREFORE the principal and Surety are each liable to the amount of the bond, or
if a blanket bond covering agent to the amount of $2,000.00 for each agent, for the payment of
any judgment that may be obtained against the Principal or Surety on any suit under the
Uniform Securities Act of Puerto Rico arising out of the conduct of the Principal or its agents in
the securities business or the business of investment adviser; and for the reimbursement to
customers for conversion, misappropriation or embezzlement by the Principal or its agents of
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