Form IN-0555 SURETY BOND FOR SECURITIES DEALERS OR INVESTMENT ADVISERS DIVISION OF SECURITIES THE DEPARTMENT OF INSURANCE STATE OF TENNESSEE NASHVILLE 37219 KNOW ALL MEN BY THESE PRESENTS: THAT we, , as PRINCIPAL,and , as SURETY,being a corporation duly authorized to transact surety business in the State of Tennessee, are held and firmly bound unto the State of Tennessee in full and penal sum of * * * ($ ) * * * (Please type amount) lawful money of the United States of America, for the use and benefit of any original purchaser of securities from or through said Principal, or for the use and benefit of any other person damaged by any breach of the condition of this obligation, and for the payment of which sum, well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severay, firmly ll by these presents. SEALED with our seals and dated this day of , 19 THE CONDITIONS OF THE ABOVE OBLIGATION ARE SUCH THAT WHEREAS, the Principal has made application to the Commissioner of Insurance of the State of Tennessee for registration, or for renewal of registration, to engage in the business oealer (Gef a D neral or Limited) in Securities, or as an Issuer Dealer, oras an Investment Adviser, and WHEREAS, the Principal is required by te Tennessee Securities Lh aw, T.C.A. Section 48-2-110, to give this bond as a condi-tion of registration, or renewal thereof. NOW, THEREFORE, the condition of the above obligation is such, that if the above bounden Principal shall fully account for and pay all moneys and securities of notaher to the person entitled thereto, whmay come into the ich possession of the saidPrincipal and received by it in its registered capacity, and i the Prif ncipal shall promptly and faithfully pay any judgment rendered against it by a court of competent jurisdiction for any fraud or misrepresentation in securities matter under its registration, then this bond shall be void and of no effect: otherwise, to remain in full force and virtue for the registration period ending December 31, , and any continuation thereof. PROVIDED, that the aggregate liability hereunder for causes all of action arising during the period for which this ), andbond is written shall not exceed the total sum of ($ provided further that this bond may be cancelled by the surety upon the giving of thirty days prior notice to the Commissioner of Insurance, except that such notice shall not be effective as to claims arising out of any transactions prior to the effective datethereof. IN WITNESS WHEREOF, The said Principal has hereunto set his hand and seal, and the said Surety has caused these presents to be signed by its duly authorized ocers and its corporate seaffi l to be hereto affixed the day and year first above written.Effective Principal Surety COUNTERSIGNED BY: Resident Agent At , Tennessee American LegalNet, Inc. www.USCourtForms.com