Appointment Of Agent For Service Of Process By Foreign Banks And Foreign Insurance Sec Form Fn printable pdf download

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM F-N

APPOINTMENT OF AGENT FOR SERVICE OF PROCESS

BY FOREIGN BANKS AND FOREIGN INSURANCE

COMPANIES AND CERTAIN OF THEIR HOLDING COMPANIES

AND FINANCE SUBSIDIARIES MAKING PUBLIC OFFERINGS

OF SECURITIES IN THE UNITED STATES

GENERAL INSTRUCTIONS

I. Form F-N shall be filed with the Commission in connection with the filing of a registration statement under the Securities

Act of 1933 by:

1. a foreign issuer that is a foreign bank or foreign insurance company excepted from the definition of an investment company by

rule 3a-6 [17 CFR 270.3a-6] under the Investment Company Act of 1940 (the “1940 Act”);

2. a foreign issuer that is a finance subsidiary of a foreign bank or foreign insurance company, as those terms are defined in rule

3a-6 under the 1940 Act, if such finance subsidiary is excepted from the definition of investment company by rule 3a-5 [17 CFR

270.3a-5] under the 1940 Act; or

3. a foreign issuer that is excepted from the definition of investment company by rule 3a-1 [17 CFR 270.3a-1] under the 1940 Act

because some or all of its majority-owned subsidiaries are foreign banks or foreign insurance companies excepted from the

definition of investment company by rule 3a-6 under the 1940 Act.

II. Notwithstanding paragraph (I), the following foreign issuers are not required to file Form F-N:

1. a foreign issuer that has filed Form F-X [17 CFR 239.42] under the Securities Act of 1933 with the Commission with respect

to the securities being offered; and

2. a foreign issuer filing a registration statement relating to debt securities or non-voting preferred stock that has on file with the

Commission a currently accurate Form N-6C9 [17 CFR 274.304, rescinded] under the 1940 Act.

III. Six copies of the Form F-N, one of which shall be manually signed, shall be filed with the Commission at its principal office.

A Form F-N filed in connection with any other Commission form should not be bound together with or be included only as

an exhibit to, such other form.

A. Name of issuer or person filing (“Filer”): _______________________________________________________________

B. This is (select one):

an original filing for the Filer

an amended filing for the Filer

C. Identify the filing in conjunction with which this Form is being filed:

Name of registrant _________________________________________________________________________________

Form type _______________________________________________________________________________________

File Number (if known) _____________________________________________________________________________

Filed by _________________________________________________________________________________________

Date Filed (if filed concurrently, so indicate) ____________________________________________________________

D. The Filer is incorporated or organized under the laws of (Name of the jurisdiction under whose laws the filer is organized

or incorporated)

_________________________________________________________________________________________________

and has its principal place of business at (Address in full and telephone number)

_________________________________________________________________________________________________

Potential persons who are to respond to the collection of information

contained in this form are not required to respond unless the form

SEC 2306 (10-06)

displays a currently valid OMB control number.

Appointment Of Agent For Service Of Process By Foreign Banks And Foreign Insurance Sec Form Fn

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