Common use of NASD AFFILIATION Clause in Contracts

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one): Yes No If Yes, please describe: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ If Subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair Practice. Name of NASD Member Firm By: Authorized Officer Date:

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one): Yes No YES NO If Yes, please describe: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ *If Subscriber subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair PracticeNASD Conduct Rules. _________________________________ Name of NASD Member Firm By: ______________________________ Authorized Officer Date:: ____________________________

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one): Yes _________ No __________ If Yes, please describe: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ *If Subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair PracticeNASD Rule 3050. Name of NASD Member Firm By: Authorized Officer Date:

NASD AFFILIATION. Are you Is the Subscriber affiliated or associated with an NASD member firm (please check one): Yes No YES | | NO |_| If Yes, please describe: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ --------------------------------------------------------- --------------------------------------------------------- --------------------------------------------------------- *If Subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned Subscriber NASD member firm acknowledges receipt of the notice required by Article 3, Sections Articles 28(a) and (b) of the Rules of Fair Practice. ------------------------------------- Name of NASD Member Firm By: ---------------------------------- Authorized Officer Date:: --------------------------------

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one): Yes _________ No __________ If Yes, please describe: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ *If Subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) Rule 3050 of the Rules of Fair PracticeNASD Conduct Rules. Name of NASD Member Firm By: Authorized Officer Date:

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one): Yes _________ No __________ If Yes, please describe: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ *If Subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair PracticeNASD Rule 3050. _________________________________ Name of NASD Member Firm By: ______________________________ Authorized Officer Date:: ____________________________

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one): Yes _________ No __________ If Yes, please describe: ___________________________________________________________________________ _____________________________________________________________ _____________________________________________________________ *If Subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair Practice. Name of NASD Member Firm By: Date: Authorized Officer Date:Officer

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one): Yes No If Yes, please describe: _____________________________________________________________ _____________________________________________________________ ___________________________________________________No __________ If Subscriber Yes, please describe: --------------------------------------------------------- *If Purchaser is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair Practice. --------------------------------- Name of NASD Member Firm By: ______________________________ Authorized Officer Date:: ____________________________

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one): Yes No YES _____ NO _____ If Yes, please describe: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ ----------------------------------------------------------------------- ----------------------------------------------------------------------- ----------------------------------------------------------------------- *If Subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) Rule 3050 of the Rules of Fair PracticeNASD Conduct Rules. ------------------------------------ Name of NASD Member Firm By: --------------------------------- Authorized Officer Date:: --------------------------------

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one): Yes _________ No __________ If Yes, please describe: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ *If Subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair PracticeNASD Rule 3050. Name of NASD Member Firm By: Date: Authorized Officer Date:Officer

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one): Yes _________ No __________ If Yes, please describe: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ *If Subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair PracticeNASD Rule 3050. Name of NASD Member Firm By: Authorized Officer Date:: ____________________________

NASD AFFILIATION. Are you affiliated or associated with an NASD member firm (please check one): Yes No If Yes, please describe: _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ *If Subscriber subscriber is a Registered Representative with an NASD member firm, have the following acknowledgment signed by the appropriate party: The undersigned NASD member firm acknowledges receipt of the notice required by Article 3, Sections 28(a) and (b) of the Rules of Fair PracticeNASD Conduct Rules. _________________________________ Name of NASD Member Firm By: ______________________________ Authorized Officer Date:: ____________________________