Download Free Print-Only PDF OR Purchase Interactive PDF Version of this Form
Application For Registration As An Oil And Gas Issuer Dealer Form. This is a Tennessee form and can be use in Blue Sky Secretary Of State.
Loading PDF...
Tags: Application For Registration As An Oil And Gas Issuer Dealer, IN-0911, Tennessee Secretary Of State, Blue Sky
DEPARTMENT
OF COMMERCE AND INSURANCE
SECURITIES DIVISION
STATE OF TENNESSEE
SUITE 680, 500 JAMES ROBERTSON PARKWAY
NASHVILLE, TENNESSEE 37243
615-741-2947
APPLICATION FOR REGISTRATION AS AN OIL AND GAS ISSUER DEALER
USE TYPEWRITER. ANSWER EVERY QUESTION.
1. Name of Applicant
2. Principal Address
(Physical and
Post Office Box
Address)
3. Person to contact concerning this application:
Telephone No. (
Name
)
4. List names of each officer, director and persons with similar status or functions and each other
person who directly or indirectly are owners of 20% or more of the applicant. Shareholders need
not be reported if applicant is registered under the Securities and Exchange Act of 1934.
Name
% of ownership
Name
% of ownership
Name
% of ownership
Name
% of ownership
Name
% of ownership
Name
% of ownership
(Please attach additional pages it needed.)
5. List names and home addresses of all persons that effect securities transactions for the applicant. (Physical and P.O. Box address)
Name
Address
Name
Address
Name
Address
Name
Address
(Please attach additional pages if needed.)
FORM NO.: IN-0911
American LegalNet, Inc.
www.USCourtForms.com
6. Has any officer, director, agent (or any other person occupying a similar function) of the applicant
ever:
YES
NO
(a) filed an application for registration which included any untrue statement of a
material fact required to be stated therein or necessary to make the statements
therein, in light of the circumstances under which they were made, not
misleading;
(b) been convicted within the past ten (10) years of any misdemeanor involving any
aspect of the securities business or an investment-related business, or any
felony;
(c) been or is permanently or temporarily enjoined by any court of competent
jurisdiction from engaging in or continuing any conduct or practice involving
any aspect of the securities business or any investment-related business;
(d) been or is the subject of any order entered within the past ten (10) years by any
agency of any jurisdiction having regulatory authority with respect to the
securities business or any investment-related business, denying, revoking or
suspending a registration as a broker-dealer, agent, investment adviser or the
substantial equivalent of those terms as defined in this part, or ordering such
person to cease and desist from continuing any conduct or practice involving
any investment-related transaction based on fraud, deceit or misrepresentation, or provisions of applicable law similar to Section 48-16-121(a) and (b).
(IF THE ANSWER TO ANY PARAGRAPH OF QUESTION #6 IS ''YES'' A FULL
EXPLANATION MUST BE ATTACHED.)
7. Form U-2, Uniform Consent to Service of Process, is enclosed.
(Appoint the Commissioner of the Department of Commerce and Insurance.)
8. Form U-2A, Uniform Form of Corporate Resolution, is enclosed.
(If applicant is a corporation)
9. A filing fee of $ 100.00 is enclosed.
(Make check payable to: TENNESSEE DEPARTMENT OF COMMERCE AND
INSURANCE.)
EXECUTION: The undersigned, being first duly sworn, deposes and says that he has executed this
form on behalf of, and with the authority of, said applicant. The undersigned and applicant
represent that the information and statements contained herein, including exhibits attached
hereto and other information filed herewith, all of which are made a part hereof, are current,
true, and complete.
Dated the
day of
19
(Name of Applicant)
By:
(Signature and Title)
Subscribed and sworn to before me this
day of
19
(Notary Public)
My commission expires
American LegalNet, Inc.
www.USCourtForms.com