COURT COUNTY .OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ......... .. : : Index No. Calendar No. : FOREIGN COMPLIANCE CERTIFICATION JUDICIAL SUBPOENA Plaintiff(s) (FOR STATE-REGISTERED INVESTMENT ADVISERS NOT HAVING A CONNECTICUT -againstPRINCIPAL PLACE OF BUSINESS) : : The undersigned, being duly sworn, deposes and says that the undersigned is the ________________________________ of _______________________________________ : (title) (applicant) Defendant(s) : ...................................................... a ______________________________________ , an applicant for investment adviser (form of business organization) registration under the Connecticut Uniform THE PEOPLE OF THE STATE OF NEW YORK Securities Act (hereafter, the “Applicant”); that, in TO such capacity the undersigned authorized on behalf of the Applicant to execute this Foreign Compliance Certification; and that the Applicant, through its execution of this Foreign Compliance Certification, represents as follows: (1) The Applicant is licensed or registered as GREETINGS: an investment adviser in the state where it maintains its principal place of business; (2) the WE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before , the Honorable at the Court Applicant is, and will remain in compliance with the net capital and/or bonding requirements located at County of in room state wherethemaintains of principal place of business; (3) the in the , on it day its , 20 , at o'clock Applicant is, and will any recessed noon, and at of the or adjourned date, to testify and give evidence as a witness in this action on the part of the remain in compliance with all applicable books and records requirements of the state where it maintains its principal place of business; andis punishable as a the Applicant should willlongeryou liable to Your failure to comply with this subpoena (4) in the event contempt of court and no make the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a be licensed or registered as result of your failure to comply. an investment adviser in the state where it maintains its principal place of business, the Applicant recognizes that it will become subject to Connecticut Witness, Honorable , one of the Justices of the Court in County, , 20 capitalization requirements for day of investment advisers and to any supplementary books and records requirements applicable to investment advisers having their principal place of (Attorney must sign above and type name below) business in this state. ___________________________________________ Attorney(s) for (Signature) ___________________________________________ Print Name of Signatory Subscribed and sworn to, before me this ______ , day of ___________ , ______ . ___________________________________ Notary Public My Commission Expires:. Office and P.O. Address Telephone No.: Facsimile No.: E-Mail Address: Mobile Tel. No.: Rev. 1/2001 American LegalNet, Inc. www.USCourtForms.com