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Application For Registration As Issuer-Dealer Form. This is a Nebraska form and can be use in Blue Sky Secretary Of State.
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Tags: Application For Registration As Issuer-Dealer, I, Nebraska Secretary Of State, Blue Sky
BUREAU OF SECURITIES - DEPARTMENT OF BANKING
State of Nebraska
Application for Registration as Issuer-Dealer
The undersigned hereby makes application for registration as an Issuer-Dealer in
securities within the State of Nebraska. The facts herein stated are true and constitute
a fair and complete statement of all material facts relating to this applicant.
1.
Name of Applicant
2.
Form of organization (sole proprietorship, partnership, corporation, etc.), and date
of organization.
3.
Principal address
4.
Nebraska address
5.
The names and addresses of the officers and directors if a corporation, or all partners
if a partnership, and all agents, are as follows:
Name
Official Capacity
Address
6.
Officer(s) who will take Nebraska Securities Examination. A five dollar examination
fee for each member is enclosed.
7.
Attached hereto is a current financial statement.
8.
Describe briefly the general character of the business conducted, or proposed to be
conducted by the applicant.
9.
In what states is applicant now licensed or registered?
10.
Has any license or registration or application of this applicant, in any state, been
refused, suspended, cancelled, or revoked?
11.
Has applicant, or any of its members, officers, or directors ever been charged with
fraudulent acts or violations of any law in connection with the sale of securities?
12.
Has applicant, or any of its members, officers, or directors ever been convicted of a
crime involving the sale of securities?
13.
Has applicant, or any of its members, officers or directors ever been convicted of a
felony?
14.
Has applicant been declared a bankrupt or been in the hands of a receiver?
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15.
Of what stock exchange is applicant a member?
16.
Has applicant been refused membership in, or suspended or expelled from, any stock
exchange?
17.
Applicant agrees to report within thirty days, any material adverse change in assets
or liabilities.
18.
What classes of securities will be dealt in?
19.
Has the applicant or any officer, partner, director, executive officer, or salesman
been a subject of formal complaint proceedings brought by the National Association
of Securities Dealers, Inc., the Securities and Exchange Commission, or any other
State, or are any such proceedings pending at the present time?
20.
Is applicant a member of the National Association of Securities Dealers?
21.
Name one or more banks as a credit reference
22.
Name five persons or firms as general references.
Name
Address
Applicant agrees that this application is made for the limited purpose of selling its own
securities. Applicant further agrees that it will not conduct a general securities business.
WHEREFORE, applicant prays that it be registered as an Issuer-Dealer under the Nebraska
Securities Act.
(Issuer-Dealer)
By:
(President or Partner)
By:
(Secretary or Partner)
(CORPORATION SEAL)
STATE OF
COUNTY OF
)
) SS.
)
, being first duly sworn, deposes and says that he is
of the applicant named above; that he has full authority to sign
said application; that he has read said application and knows the contents thereof; and that
the statements therein made are true.
SUBSCRIBED and sworn to before me this
day of
, 19
.
(Notary Public)
NOTARIAL SEAL
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S I G N A T U R E
B O N D
KNOW ALL MEN BY THESE PRESENTS:
That
, as
principal, of
, is
held and firmly bound unto the State of Nebraska for the use and benefit of any
person who has cause of action under ยง8-1118, or exchange of securities by the
principal in the sum of $25,000, for the payment of which, I do bind myself and
my heirs, executors, administrators and successors by these presents.
The condition of the above obligation is such that if the principal
shall comply with all of the laws of the State of Nebraska pertaining to the
issuance, sale or exchange of securities and shall promptly account for all
money and securities received by him and shall not unlawfully or dishonestly
appropriate or apply any funds held, received by or entrusted to him, and shall
satisfy all judgments entered in actions against him arising out of the issuance,
sale or exchange of securities, then the obligation shall be void; otherwise to
remain in full force and effect.
This Agreement shall be effective from the date of its approval by the
Department of Banking and Finance of the State of Nebraska and shall continue in
force and effect until forty-five days after receipt of written notice of cancellation from the principal of the Department of Banking and Finance to the
State of Nebraska.
on
Signed at
.
IN THE PRESENCE OF:
Principal
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