FORM U-SB PAGE 1 OF 4 UNIFORM SURETY BOND FORM STATE OF ARKANSAS SECURITIES DEPARTMENT LITTLE ROCK, ARKANSAS Bond No. ___________________ KNOW ALL PERSONS BY THESE PRESENTS: That, _________________________________________________________________________ Name and address of broker dealer, investment adviser or agent of the issuer ____________________________________________________________________________________________ as Principal, having filed with the office of the Arkansas Securities Department on or about the ________ day of __________, 19 _______, an application to transact business in the State of Arkansas as a_______________________________________________________________________ Designate whether principal is broker-dealer, investment adviser, agent of the issuer and_______________________________________________________________________________ Name and address of surety as Surety, a corporation organized under the laws of the State/Commonwealth/Territory of _________________________________________________ and being duly authorized to transact the business of indemnity and suretyship in this State, do hereby acknowledge our indebtedness to the State of Arkansas, for the use and benefit of any person(s) having a claim under the conditions of this obligation, in the sum of _______________ Dollars ($________________), as required by the Arkansas Securities Act [Ark. Code Ann. § 23-42-101 et seq. (1987)], provided, however, that the aggregate liability hereunder shall not exceed the sum of ___________________________ Dollars ($_________________), regardless of the number of claimants, and shall not be construed as individual liability. American LegalNet, Inc. www.USCourtForms.com FORM U-SB PAGE 2 OF 4 LIABILITY for the payment of this sum, to which we hereby obligate and bond ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, becomes effective upon the following conditions: 1. Registration of the Principal to transact business in the State of Arkansas as a Designate whether principal is a broker-dealer, investment adviser, agent of the issuer 2. Failure by the Principal to strictly with all applicable provisions of, and orders, rules and regulations issued pursuant to, the Arkansas Securities Act [Ark. Code Ann. § 23-42-101 et seq. (1987)]. THIS Bond shall expire at such time as the Principal’s registration is withdrawn, terminates through non-renewal or is revoked by the Arkansas Securities Department except as to liability for acts or omissions which occur prior to such time. This Bond may also be cancelled by the Surety upon sixty (60) days written notice by registered mail to the Principal and to the Arkansas Securities Department in which case this Bond shall be considered cancelled upon the expiration of said sixty (60) day period except as to liability for acts or omissions which occur prior to the date of cancellation. Notice shall be deemed effective upon the receipt by the Arkansas Securities Department of said written notice along with sufficient proof of notice to the Principal. NO suit may be maintained to enforce any liability arising under this Bond unless brought within five (5) years after the act or omission upon which jurisdiction against the Principal and/or the Surety upon this Bond. IT is understood and agreed that any person(s) having a claim under the conditions of this obligation may initiate suit in any court of competent jurisdiction against the Principal and/or the Surety upon this Bond. American LegalNet, Inc. www.USCourtForms.com FORM U-SB PAGE 3 OF 4 WITNESS OUR SIGNATURES, this the ______ day of ___________________, 19 _________. _________________________________________ PRINCIPAL (Corporate seal, if applicable) _________________________________________ BY ___________________________________________ SURETY (Corporate seal, if applicable) _________________________________________ BY _________________________________________ COUNTER SIGNATURE OF ________________________________ RESIDENT AGENT OF SURETY ACKNOWLEDGMENT OF INDIVIDUAL STATE OF ____________________________) )SS COUNTY OF __________________________) On this ________ day of __________________________, 19 _______, before me personally appeared ___________________________________________________________, to me known to be the person described in and who executed the foregoing instrument, as Principal and acknowledged to me that he executed the same as this free and deed. (NOTARIAL SEAL) ____________________________________ Notary Public, ____________________________________ County, _____________________________ My commission expires _________________ American LegalNet, Inc. www.USCourtForms.com FORM U-SB PAGE 4 OF 4 ACKNOWLEDGMENT OF PARTNERSHIP STATE OF _______________________________) )SS COUNTY OF _____________________________) On this ______ day of __________________________, 19 ______, before me personally appeared ______________________________________________________, to me known to be a member of the firm executed the foregoing instrument, and he acknowledged to me that he executed the same as and for the act and deed of said firm, (NOTARIAL SEAL) _____________________________________ Notary Public _____________________________________ County, _____________________________ My commission expires _________________ ACKNOWLEDGMENT OF CORPORATION STATE OF _______________________________) )SS COUNTY OF _____________________________) On this ____ day of __________________________, 19 ___, before me personally came _____________________________________, and says he is the ______________________________, Principal heretofore names: that he executed the instrument for and in its behalf, by authority of its Board of Directors, and affixed its seal thereto. (NOTARIAL SEAL) _____________________________________ Notary Public _____________________________________ County, ______________________________ My commission expires _________________ NOTE: A true copy of the applicable “Power of Attorney” must be attached hereto where the Bond is subscribed to by an Attorney if Fact. American LegalNet, Inc. www.USCourtForms.com