Application For Registration As A Municipal Securities Dealer Page 7

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OFFICIAL USE

FORM MSD Page 4

ES NO

6. Does any person not named in item 5 directly or indirectly control any of the applicant’s municipal

securities dealer activities? ...........................................................................................................

If “yes,” state on Schedule B the exact name and business (or if none, residence) address of each such person (if

an individual, state last, first and middle names) and describe the basis through which such person directly or

indirectly controls applicant’s municipal securities dealer activities. If applicant is a department or division of a

bank and any such person has been designated by the board of directors of the bank as responsible for the day-to

day conduct of the bank’s municipal securities dealer activities, so indicate in Schedule B and explain why such

person is not named in item 5.

7. (a) State whether the applicant, any person named in response to item 5 or 6, or any person directly engaged

in the management, direction, supervision or performance of any of the applicant’s municipal securities dealer

activities, or who directly or indirectly controls any of such activities or who is directly or indirectly controlled

by applicant in connection with any of such activities, including any employee:

(i) Has been found by the Securities and Exchange Commission or an appropriate regulatory agency or any

jurisdiction willfully to have made or caused to be made any statement which was, at the time and in the

light of the circumstances under which it was made, false and misleading with respect to any material fact,

or to have omitted to state any material fact, which was required to be stated, in any application for

registration or report required to be filed under the Federal securities laws or under the securities law of

any jurisdiction, or in any proceeding before the Securities and Exchange Commission or an appropriate

regulatory agency or any jurisdiction relating to securities or the conduct of business or registration as a

broker, dealer, municipal securities dealer or investment adviser or associated person thereof YES NO

..............................................................................................................................................

(ii) Has been convicted within 10 years of any felony or misdemeanor (1) involving the purchase or sale of

any security, the taking of a false oath, the making of a false report, bribery, perjury, burglary, or

conspiracy to commit any such offense; (2) arising out of the conduct of the business of a broker, dealer,

municipal securities dealer, investment adviser, bank, insurance company, or fiduciary; (3) involving the

larceny, theft, robbery, extortion, forgery, counterfeiting, fraudulent concealment, embezzlement, fraudulent

conversion, or misappropriation of funds or securities; or (4) involving the violation of Sections 152, 1341,

1342 or 1343 or Chapters 25 or 47 of Title 18, United States Code (concealment of assets, false oaths and

claims, or bribery, in any bankruptcy proceeding; mail fraud, fraud by wire, including telephone,

YES NO

telegraph, radio or television; counterfeiting, forgery, fraud, false statements); or has pleaded nolo

contendere to any such felony or misdemeanor.........................................................

(iii)Is enjoined permanently, or within the past 10 years has been enjoined temporarily, by order, judgment

or decree of any court of competent jurisdiction from acting as an investment adviser, underwriter, broker,

dealer, or municipal securities dealer or as an associated person or employee of any of the foregoing, or

as an affiliated person or employee of any investment company, bank, or insurance company, or from

engaging in or continuing any conduct or practice in connection with any such activity, or in connection

YES NO

with the purchase or sale of any security, or arising out of any securities or investment advisory

activities..............................................................................................................................

(iv) Has been found by the Securities and Exchange Commission or an appropriate regulatory agency or any

jurisdiction or any court to have violated or to have aided, abetted, counselled, commanded, induced, or

procured the violation by any other person of the Federal laws, or the laws of any jurisdiction, relating to

securities or relating to the conduct of business as a broker, dealer, municipal securities dealer, investment

adviser, or investment company, any rule or regulation under any of such laws, or any rule of the Municipal

Securities Rulemaking Board, or to have failed reasonably to supervise another person who committed

YES NO

such a violation, or to have been unable to comply with any of the foregoing ...................

(v) Has been the subject of an order of the Securities and Exchange Commission entered pursuant to

paragraph (6) of Section 15(b) or paragraph (4) of Section 15B(c) of the Securities Exchange Act of 1934

or an order of a court or jurisdiction, or an order of an appropriate regulatory agency entered pursuant to

paragraph (5) of Section 15B(c) of the Securities Exchange Act of 1934, barring or suspending the right

of such person to be associated with a broker or dealer or municipal securities

YES NO

dealer................................................................................................................................................

If any item on this page is amended, you must answer in full all other items on this page and file

with a completed page 1, and signed execution page. No Schedule required by any item on this page

need be filed with an amended item unless the Schedule itself is amended.