SEC Disciplinary Orders. Are you subject to any order of the SEC that currently: - suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser - places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or - bars you from being associated with any entity or from participating in the offering of any ▇▇▇▇▇ stock?1 ☐ Yes. If yes, please explain: ☐ No.
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Sources: Subscription & Purchase Agreement
SEC Disciplinary Orders. Are you subject to any order of the SEC that currently: - · suspends or revokes your registration as a broker, dealer, municipal securities dealer or investment adviser - adviser; · places limitations on the activities, functions or operations of, or imposes civil money penalties on, such person; or - · bars you from being associated with any entity or from participating in the offering of any ▇p▇▇▇▇ stock?1 ☐ ¨ Yes. If yes, please explain: ☐ ____________________________________________________ ¨ No.
1 A disqualification based on a suspension or limitation of activities expires when the suspension or limitation expires.
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