Fillable Form Sfn 2520 - Dealer-Investment Advisor Indemnity Bond printable pdf download

DEALER-INVESTMENT ADVISOR

Securities Department

INDEMNITY BOND

Bond Number:

600 East Boulevard

NORTH DAKOTA SECURITIES DEPARTMENT

Bismarck, ND 58505

SFN 2520 (6-2011)

(701) 328-2910

KNOW ALL MEN BY THESE PRESENTS:

That ____________________________________________________________________________ of the City of

_____________________________________________________, State of ___________________________ as

Principal, and ________________________________________________________________________, an entity

authorized to do business in the State of North Dakota, as Surety, are by this obligation held and firmly bound unto

the State of North Dakota for the use, benefit, and protection of any person (as that term is defined in the Securities

), lawful money

Act of 1951, as amended) in the penal sum of

of the United States of America, 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 this obligation are such that, whereas, the said Principal has applied or intends to apply for

registration pursuant to the Securities Act of 1951, as amended:

NOW, THEREFORE, THIS INDENTURE WITNESSETH, that if the said Principal, his agents, or his

representatives shall faithfully comply with all of the provisions of the Securities Act of 1951 as amended, and with

all rules, regulations, and orders made pursuant thereto and shall faithfully perform and pay all obligations of the

said Principal, his agents, or his representatives, then this obligation to be void, otherwise to remain in full force and

effect.

This bond is a continuing obligation and shall cover the full period or periods of registration of the Principal under

the Securities Act of 1951, as amended, including the present and all renewal registrations which said Principal

may be granted; provided, that it is hereby expressly agreed that nothing herein contained shall be deemed or

construed to reduce the liability of the Principal and Surety below the penal sum set forth above for each and every

registration period for which the named Principal shall be registered, the same as if a new bond in the said penal

sum were entered into for each and every separate registration period.

This bond may be cancelled at any time by the Surety by giving written notice of such cancellation by registered

mail to the Securities Department and to the Principal, and liability hereunder shall terminate thirty (30) days after

receipt by the Securities Department of such notice, except that the liability of the Principal and Surety shall apply

as provided herein to any acts or omissions which may have occurred prior to the effective date of such

cancellation.

IN WITNESS WHEREOF, the Principal and Surety have hereunto set their hands and affixed their respective seals this

day

, 20

Principal:

(SEAL)

Name:

Title:

(If applicable)

Surety:

Attorney-in-Fact:

(SEAL)

Address of Attorney-in-Fact:

(If applicable)

City:

State:

Zip Code:

Attorney-in-Fact must attach valid Power of Attorney from Surety.

If Principal is a corporation, officer signing must attach resolution authorizing execution.

Form Sfn 2520 - Dealer-Investment Advisor Indemnity Bond

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