Sec 1939 - Form Sip - Application Or Amendment To Application For Registration As Securities Information Processor Under The Securities Exchange Act Of 1934 Page 4

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State in Exhibit A the full name and address of each such person and attach a copy of the agreement or, if there is none written, describe the
agreement or basis upon which such person exercises or may exercise such control or direction.
13. Attach as Exhibit B to this application a list of the present officers, directors, governors (and, in the case of an applicant not a
corporation, the members of all standing committees grouped by committee), or persons performing functions similar to any of the
foregoing, of the securities information processor or of the entity identified in item l4 that performs the securities information
processing activities of the applicant, indicating for each:
a. name
b. title
c. dates of commencement and termination of present term of office or position
d. length of time each present officer, director, or governor has held the same office or position
e. brief account of the business experience of each officer and director over the last 5 years
f.
any other business affiliations in the securities industry or securities information processing industry
g. a description of:
(1) any order of the Commission with respect to such person pursuant to Section l5(b)(4) or (6) or 19(h)(2) or (3) of the Act;
(2) any conviction or injunction of a type described in Section l5(b)(4)(B) or (C) of the Act within the past 10 years;
(3) any action of a self-regulatory organization with respect to such person imposing a final disciplinary sanction pursuant to
Section 6(b)(6), l5A(b)(7), or 17A(b)(3)(G) of the Act;
(4) any final action to a self-regulatory organization with respect to such person constituting a denial, bar, prohibition, or
limitation of membership, participation or association with a member, or of access to services offered by, such organization
of a member thereof.
14. Attach as Exhibit C a narrative or graphic description of the organizational structure of the applicant. Note: If the securities
information processing activities of the processor are conducted primarily by a division, subdivision, or other segregable entity within
the applicant corporation or organization, describe the relationship of such entity within the overall organizational structure and attach
as Exhibit C only such description as applies to the segregable entity.
15. Attach as Exhibit D, a list of all affiliates (within the definition of Rule 12b-2 under the Securities Exchange Act) of the securities
information processor and indicate the general nature of the affiliation.
16. Attach as Exhibit E to this application a copy of the constitution, articles of incorporation or association with all amendments thereto,
and existing by-laws, rules or instruments corresponding thereto, of the applicant.
17. Attach as Exhibit F a brief description of any material pending legal proceeding(s), other than ordinary and routine litigation incidental
to the business, to which the applicant or any of its affiliates is a party or to which any of its or their property is the subject. Include
the name of the court or agency in which the proceeding(s) are pending, the date(s) instituted, and the principal parties thereto, a
description of the factual basis alleged to underlie the proceeding(s) and the relief sought. Include similar information as to any such
proceeding(s) known to be contemplated by the governmental agencies.
18. Attach as Exhibit G copies of all material contracts with any national securities exchange or registered securities association for which
the applicant acts as exclusive processor.
EXHIBITS — FINANCIAL INFORMATION
19. Attach as Exhibit H a balance sheet, statement of income and expenses, statement of sources and application of revenues and all notes
or schedules thereto, as of the most recent fiscal year of the applicant. If a balance sheet and statements certified by an independent
public accountant are available, such balance sheet and statement shall be subrnitted as Exhibit H. If available, the most recent Annual
Report on Form 10-K under the Act may be filed as Exhibit H.
20. Attach as Exhibit I a balance sheet and an income and expense statement for each affiliate of the securities information processor that
also engages in securities information processing activities as of the end of the most recent fiscal year of each such affiliate. If available,
the most recent Annual Report on Form 10-K under the Act may be filed as Exhibit I for any such affiliate.
21. a. Attach as Exhibit J a complete list of all dues, fees and other charges imposed, or to be imposed, by or on behalf of applicant for
its securities information processing services that are provided on an exclusive basis and identify the service or services provided
for each such due, fee, or other charge.
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