Form MA Applicant's Information
CIK
CCC
Submission Contact Information
Contact Person for this Filing
Craig Stites
Contact Phone
Contact Email Address
craig.stites@usbank.com
Contact Email Address
william.hirata@usbank.com
|
||||||||||||||||||||||||||
| SEC Info℠ | | | Home | | | Search | | | My Interests | | | Help | | | Sign In | | | Please Sign In | |||||||
|
||||||||||||||||||||||||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 6/09/23 US Bank N.A. MA/A 7/10/23 1:46K U.S. Bancorp |
Document/Exhibit Description Pages Size
1: MA/A Amendment to Application for Registration by a HTML 45K
Municipal Advisor -- primary_doc.xml
FORM MA
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL AMENDMENT OF A PRIOR APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION FOR BUSINESS ENTITIES OMB Number: 3235-0681 Estimated average burden hours per response: 0.5 Form MA Applicant's InformationCIK CCC Submission Contact InformationContact Person for this Filing Craig Stites Contact Phone Contact Email Address craig.stites@usbank.com Contact Email Address william.hirata@usbank.com Please read the General Instructions for this form and other forms in the MA series, as well as its subsection, "Specific Instructions for Certain Items in Form MA," before completing this form. All italicized terms herein are defined or described in the Glossary of Terms appended to the General Instructions. Part IThis form must be completed by municipal advisors that are organized entities,
including sole proprietors (referred to herein as "municipal advisory firms" or "firms,"
unless the context indicates otherwise). WARNING:Complete this form truthfully. False statements or omissions may result in denial of application, revocation of registration, administrative or civil action, or criminal prosecution. Form MA must be amended promptly upon the occurrence of certain material events, and updated at least annually, within 90 days of the end of the municipal advisor's fiscal year, or, if a sole proprietor, the municipal advisor's calendar year. See General Instruction 8. Type of Filing:This is an: Check the appropriate box. 
Initial application to register as a municipal advisor with the SEC.
Execution Page: After completing this form, you must complete the Execution Page. Supporting Documentation: If you are required to make reportable disclosures in the Disclosure Reporting Pages, you must attach the supporting documentation. Non-Resident Applicants: If you are a non-resident of the United States, certain additional requirements must be met at the time of filing your application, or processing of your application may be delayed. See General Instruction 2.c. and subsection "General Instructions to Form MA-NR" of the General Instructions. Annual update of municipal advisor’s Form MA, for fiscal year ended
, or, if a sole proprietor, for calendar year ended December 31, .
Changes: Are there any changes in this annual update to information provided in the municipal advisor’s most recent Form MA, other than the updated Execution Page? ?
Amendment (other than annual update) to any part of the municipal advisor’s most recent Form MA.
Item 1 Identifying InformationA. Full Legal Name of the Firm(1) Firm Name: US BANK NATIONAL ASSOCIATION
Organization CRD No.,if any:
(2) Sole Proprietor: If the applicant is a sole proprietor, check here, and provide full last name, first name, middle name, and suffix, if any: 
Yes
No
(3) Name Change: If full legal name has changed since the municipal advisor's most recent Form MA, check here and provide the previous full legal name.
Yes
No
(specify) B. Doing-Business-As (DBA) Name(1) If the name under which municipal advisor-related business is primarily conducted is different from Item 1-A., check here and provide the DBA name.
Yes
No
DBA name U.S. Bank Municipal Advisory Group (2) Previous DBA Name: If name under which municipal advisor-related business is primarily conducted has changed since the municipal advisor's most recent Form MA, check here and provide the previous name under which the municipal advisor-related business was primarily conducted.
Yes
No
(3) Additional Names: (a) Is municipal advisor-related business conducted under any
additional names?
Yes
No
(b) List any additional names on Section 1-B of Schedule D.
C. (1) IRS Employer Identification Number:D. Registrations
(1) Form MA-T Registration: Was the applicant previously registered
on Form MA-T as a municipal advisor?
Yes
No
If "Yes", enter the SEC File No. MA-T: Check all that apply. For each registration box you checked, provide the requested file number(s). An applicant firm should NOT provide the organization CRD number, or other specified number, of any of its organizational affiliates, or the individual CRD number of its officers, employees, or natural person affiliates. Municipal Advisor SEC
File No.:
Municipal Securities Dealer
SEC
File No.:
Broker-Dealer
SEC
File No.:
Organization
CRD
No.:
Investment AdviserSEC
-Registered
SEC
File No.:
Organization
CRD
No.:
Exempt Reporting Adviser
SEC
File No.:
Organization
CRD
No.:
Registered in US State or Other US Jurisdiction
Organization CRD
No.:
Investment Adviser Registration in a US State or Other US Jurisdiction: If predecessor municipal advisory firm is registered in a US state or other jurisdiction as an investment adviser, enter the organization CRD Number above. In the table below, select each US state or jurisdiction in which the predecessor municipal advisory firm is so registered. Check All That Apply: US State or Jurisdiction
(Code)
US State or Jurisdiction
(Code)
Alabama
Montana
Alaska
Nebraska
Arizona
Nevada
Arkansas
New Hampshire
California
New Jersey
Colorado
New Mexico
Connecticut
New York
Delaware
North Carolina
District of Columbia
North Dakota
Florida
Ohio
Georgia
Oklahoma
Guam
Oregon
Hawaii
Pennsylvania
Idaho
Puerto Rico
Illinois
Rhode Island
Indiana
South Carolina
Iowa
South Dakota
Kansas
Tennessee
Kentucky
Texas
Louisiana
Utah
Maine
Vermont
Maryland
Virgin Islands
Massachusetts
Virginia
Michigan
Washington
Minnesota
Wisconsin
Mississippi
West Virginia
Missouri
Government Securities Broker-Dealer
SEC
File No.:
Bank Identifier:
Other
SEC
Registration (Specify): SEC
File No. (if any):
EDGAR CIK (if any):
Another federal or state regulator(Specify):
Registration No. (if any): (3) Additional Registrations: (a) Does the applicant have any additional registrations that are not listed in subsection (2)?
Yes
No
(b)
List any such additional registrations on Section 1-D of Schedule D.
E. Principal Office and Place of Business(1) Address: Do not use a P.O. Box. Street Address 1: 800 Nicollet Mall Street Address 2: City: MINNEAPOLIS State/Country:
MINNESOTA
Postal Code: 55402
Telephone Number at this location:
6514663000
Fax Number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
Is this address a private residence? A private residential address will not be included in publicly available versions of this registration form.
Yes
No
(2) Additional Offices: (a) Is municipal advisor-related business conducted at any
office(s) other than applicant's principal office and place of
business listed above?
Yes
No
(b)
If "Yes," list the five largest such additional offices
on
Section 1-E of Schedule D.
(3) Mailing Address:
Is the mailing address different from
principal office and place of business address in Item 1-E(1)?
Yes
No
If "Yes," complete this item.
Is this address a private residence? A private residential address will not be included in publicly available versions of this registration form.
Yes
No
F. Website(1) Provide the address of the applicant's principal website (if any):
(specify)
http://usbnetportal/wealthmanagement/institutionaltrustandcustody/ITC_Municipal_Advisory_Group.aspx (2) Does the applicant have any additional websites?
Yes
No
(3) Total number of additional websites
(specify)
(4) List all additional website addresses on Section 1-F of Schedule D.
G. If the applicant has a Chief Compliance Officer, provide his or her name and contact informationPlease note that the applicant must provide name and contact information for either a Chief Compliance Officer in Question 1.G., or another contact person in Question 1.H below. Both may be provided. Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line. Last Name: Stites First Name: Lacelle Middle Name: C Other title(s), if any: Street Address 1: 214 N. Tryon Street Street Address 2: CN-NC-H26P City: CHARLOTTE State/Country:
NORTH CAROLINA
Postal Code: 28202 For non-US telephone and fax numbers, include country code with area code and local number.
Telephone Number:
7043352817 Fax Number: E-mail Address of Chief Compliance Officer: craig.stites@usbank.com H. Contact PersonIf a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this form, provide the name and contact information for that person : Please note that the applicant must provide name and contact information for either a Chief Compliance Officer in Question 1.G., or another contact person in Question 1.H below. Both may be provided. Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line. Last Name: Sattler First Name: Wayne Middle Name: Allen Other title(s), if any: Street Address 1: 777 E. Wisconsin Ave. Street Address 2: City: Milwaukee State/Country:
WISCONSIN
Postal Code: 53202 For non-US telephone and fax numbers, include country code with area code and local number.
Telephone Number:
4147656012 Fax Number: E-mail Address of Contact Person: wayne.sattler@usbank.com I. Location of Books and Records(1) Does the applicant maintain, or intend to maintain, some
or all of the books and records required to be kept under MSRB
rules and SEC rules at a location other than the principal office
and place of business address listed in Item 1-E? Yes
No
(2) If "Yes," list all such locations in
Section 1-I of Schedule D. J. Foreign Financial Regulatory Authorities(1) Is the applicant registered with a foreign financial
regulatory authority? Answer "no" even if affiliated with
a business that is registered with a foreign financial regulatory
authority. Yes
No
(2)
If "Yes," list all such registrations in
Section 1-J of Schedule D.
K. Business Affiliates of the Applicant(1) Is the applicant affiliated with any other domestic or
foreign business entities? Yes
No
(2)
If "Yes," provide the names of all such affiliates and any
applicable registrations in
Section 1-K of Schedule D .
Item 2 Form of OrganizationA. Applicant's form of organizationIf this is not an initial application, and the applicant’s form of organization has changed since the applicant’s most recent Form MA, see Instruction 8 of the General Instructions.
Separately Identifiable Department or Division of a Bank B. Month of Applicant's Annual Fiscal Year End(Sole proprietors are not required to complete this subpart B.)
C. State, Other US Jurisdiction, or Foreign Jurisdiction Under Which Applicant is OrganizedIf the applicant is a corporation or limited liability company, indicate the state or jurisdiction where the applicant is incorporated. If the applicant is a partnership, indicate the name of the state or jurisdiction under the laws of which the partnership was formed. If applicant is a sole proprietor, indicate the state or jurisdiction in which applicant resides. If this is not an initial application for registration, and the applicant's information has changed since the applicant's most recent Form MA, see General Instruction 8. Enter the full name of the U.S. jurisdiction, or the full
name, in English, of the foreign jurisdiction: D. Date of Organization:E. Public Reporting Company(1)
Is the applicant a public reporting company under Sections 12 or
15(d) of the Securities Exchange Act of 1934?
Yes
No
Item 3 SuccessionsA. Is the applicant, at the time of this filing, succeeding to the business of a registered municipal advisor?If this succession was previously reported on Form MA, do not report the succession again. Instead, check "No." See Instruction 1 of the Specific Instructions for Form MA included in the General Instructions. Yes
No
If "Yes" enter the Date of Succession: B. If "Yes," in Item 3.A., complete Section 3 of Schedule D.
If "Yes," in Item 3.A., complete Section 3 of Schedule D.
Item 4 Information About Applicant's BusinessNote: Instruction 2 of the Specific Instructions for Certain Items in Form MA included in the General Instructions provides guidance for newly formed municipal advisors completing this Item 4. EmployeesIf the applicant is organized as a sole proprietorship, include the sole proprietor as an employee. A. Number of Employees: Approximate number of employees of applicant.
Include full- and part-time employees, but do not include clerical, administrative, or support workers (or workers performing similar functions): (If none, enter a zero.): B. Municipal Advisory Activities: Approximately how many of these employees engage in municipal advisory activities?
(Include such employees even if they perform other functions in addition to engaging in municipal advisory activities.) If none, enter a zero.
C. Registered Representatives(1) Approximately how many of the employees who are included in the response to part B are registered representatives of a broker-dealer? If none, enter a zero.
(2) Approximately how many are investment adviser representatives? If none, enter a zero. D. Firms and Other Persons that Solicit on Behalf of the ApplicantApproximately how many firms and other persons who are not employed by the applicant and who are not otherwise
associated persons of the applicant solicit clients on the applicant's behalf? (If none, enter a zero.
Count a firm only once; do not count each of the firm’s employees that solicits on the applicant’s behalf.)
Please list the names of these firms and other persons on Section 4-D of Schedule D.
E. Employees Also Acting as Affiliates of the Applicant(1) Does the applicant have any employees that also do business independently on the applicant's behalf as affiliates of the applicant?
YES
NO
(2) Total number of such employees: (3) List the names of these employees on
Section 4-E of Schedule D. ClientsF. Types of ClientsApproximately how many clients did the applicant serve in the context of its
municipal advisory activities during its most-recently completed fiscal year?
(If none, enter a zero and check box 5 below). The applicant has the following types of clients: Check all that apply.
G. Solicitations Of Municipal Entities and Obligated PersonsApproximately how many municipal entities and obligated persons were solicited by the applicant on behalf of a third-party during its most-recently completed fiscal year? (If the applicant solicits its clients in addition to serving these clients in the context of its municipal advisory activities, the clients should be counted in the response to this Part G even if counted in Part F.) (1) Municipal Entities: If none, enter a zero. (2) Obligated Persons:
If none, enter a zero (3) Total: H. Types of Persons SolicitedThe applicant solicits the following types of persons: Check all that apply.
Compensation ArrangementsI. Applicant is compensated for its advice to or on behalf of municipal entities or obligated persons with respect to municipal financial products or the issuance of municipal securities by:Check all that apply.
J. Applicant is compensated for its solicitation activities by:Check all that apply.
K. Does the applicant receive compensation, in the context of its municipal advisory activities, from anyone other than clients?YES
NO
If "Yes", please explain: Applicant's Business Relating to Municipal SecuritiesL. Applicant is engaged in the following types of activities:Check all that apply.
(1) Advice concerning the issuance of municipal securities (including, without limitation,
advice concerning the structure, timing, terms and other similar matters, such as the
preparation of feasibility studies, tax rate studies, appraisals and similar documents,
related to an offering of municipal securities)
(2) Advice concerning the investment of the proceeds of municipal securities (including,
without limitation, advice concerning the structure, timing, terms and other similar
matters concerning such investments)
(3) Advice concerning municipal escrow investments (including, without limitation, advice concerning their structure, timing, terms and other similar matters)
(4) Advice concerning the investment of other funds of a municipal entity (including, without limitation, advice concerning the structure, timing, terms and other similar matters concerning such investments)
(5) Advice concerning guaranteed investment contracts (including, without limitation, advice concerning their structure, timing, terms and other similar matters)
(6) Advice concerning the use of municipal derivatives (including, without limitation, advice concerning their structure, timing, terms and other similar matters)
(7) Solicitation of investment advisory business from a municipal entity or obligated person (including, without limitation, municipal pension plans) on behalf of an unaffiliated broker, dealer, municipal advisor or investment adviser (e.g., third party marketers, placement agents, solicitors, and finders)
(8) Solicitation of business other than investment advisory business from a municipal entity or obligated person on behalf of an unaffiliated person or firm (e.g., third party marketers, placement agents, solicitors, and finders)
(9) Advice or recommendations concerning the selection of other municipal advisors or underwriters with respect to municipal financial products or the issuance of municipal securities
(10) Brokerage of municipal escrow investments
(11) Other: (specify)
Item 5 Other Business ActivitiesA. Applicant is actively engaged in business in or as a:Is Applicant Actively Engaged? Check all that apply. Is this Applicant’s Primary Business(es)? Check all that apply. 1. Broker-dealer, municipal securities dealer or government securities broker or dealer 2. Registered representative of a broker-dealer 3. Commodity pool operator (whether registered or exempt from registration) 4. Commodity trading advisor (whether registered or exempt from registration) 5. Futures commission merchant 6. Major swap participant 7. Major security-based swap participant 8. Swap dealer 9. Security-based swap dealer 10. Trust company 11. Real estate broker, dealer, or agent 12. Insurance company, broker, or agent 13. Banking or thrift institution (including a separately identifiable department or division of a bank) 14. Investment adviser (including financial planners) 15. Attorney or law firm (Jurisdiction(s) where licensed) Jurisdiction(s) where licensed (specify) 16. Accountant or accounting firm (Jurisdiction(s) where licensed) Jurisdiction(s) where licensed (specify) 17. Engineer or engineering firm Jurisdiction(s) where licensed 18. Other financial product advisor
(specify) B. Other Business(1) Is applicant actively engaged in any other business not listed in Part A
of this Item (other than engaging in municipal advisory activities)? Yes No
(2) If "Yes" to Part B-1., is this other business
applicant's primary business? Yes No
(3) If "Yes" to Part B-2.,
describe the other business on Section 5-B of Schedule D. Item 6 Financial Industry and Other Activities of Associated PersonsA. Applicant has one or more associated persons that is a:Check all that apply. "Associated Person" herein refers to a person who is an associated person of a municipal advisor. Note that "associated person" includes employees and persons with control over the municipal advisor that do not themselves engage in municipal advisory activities, but does not include employees that are performing solely clerical, administrative, support or other similar functions. Note also that more than one box may be applicable to any such associated person. For example, if an associated person is both a swap dealer and security-based swap adviser, check both boxes (4) and (5) below.
Total Associated Persons:Provide the total number of such associated persons:
Provide the total number of such associated persons, not the number of boxes checked. For example, if the applicant's associated persons are 2 broker-dealers, 1 investment company, and 2 pension consultants, then 3 boxes would be checked in Item 6-A.1 to 20, while the total number of such associated persons entered in Item 6-A., Total Associated Persons, would be 5. If there are no associated persons, enter 0 (zero). B. Applicant must list all such associated persons, including foreign associated persons, on Section 6 of Schedule D.If Item 6-A. Total Associated Persons, is 2 or more, the applicant must complete a separate Section 6 of Schedule D for each associated person. Item 7 Participation or Interest of Applicant, or of Associated Persons of Applicant, in Municipal Advisory Client or Solicitee TransactionsProprietary Interest in Municipal Advisory Client or Solicitee TransactionsA. Does applicant or any associated person:(1) buy securities or other investment or derivative products for itself from clients or solicitees in the context of its municipal advisory activities, or sell securities it owns to such clients or solicitees? Yes No
(2) buy or sell for itself securities (other than shares of mutual funds) or other investment or derivative products that the applicant also recommends to such clients or solicitees? Yes No
(3) enter into derivatives contracts with such clients or solicitees? Yes No
(4) recommend securities or other investment or derivative products to such clients or solicitees in which applicant or any associated person has some other proprietary (ownership) interest (other than those mentioned in Items 7-A(1), (2) or (3) above)? Yes No
Sales Interest in Client or Solicitee TransactionsB. Does applicant or any associated person:(1) recommend purchases of securities or derivatives to clients or solicitees that are served by the applicant or associated person, for which the applicant or any associated person serves as underwriter, general or managing partner, or purchaser representative? Yes No
(2) recommend purchases or sales of securities or derivatives to such clients or solicitees in which applicant or any associated person has any other sales interest (other than the receipt of sales commissions as a broker or registered representative of a broker-dealer)? Yes No
Investment or Brokerage DiscretionC. Does applicant or any associated person have discretionary authority to determine the:(1) securities or other investment or derivative products to be bought or sold for the account of a client or solicitee? Yes No
(2) amount of securities or other investment or derivative products to be bought or sold for the account of such a client or solicitee? Yes No
(3) (a) broker or dealer to be used
for a purchase or sale of securities or other investment or derivative products
for the account of such a client or solicitee?
Yes No
(b) If "Yes," are any of
the brokers or dealers associated persons?
Yes No
(4) commission rates or other fees to be paid to a broker or dealer for such a client's or solicitee's securities transactions or transactions in other investment or derivative products? Yes No
D.(1) Does applicant or any associated person recommend brokers,
dealers or investment advisers to clients or solicitees
in the context of its municipal advisory activities? Yes No
(2) If "Yes," is any such broker, dealer, or
investment adviser an associated person?
Yes No
In responding to Items 7-E and 7-F below, consider all cash and non-cash compensation that the applicant or an associated person gave or received from any person in exchange for referrals of such clients or solicitees, including any bonus that is based, at least in part, on the number or amount of such referrals. E. Does the applicant or any associated person, directly or indirectly, compensate any person for referrals of clients or solicitees in connection with municipal advisory activities? Yes No
F. Does the applicant or any associated person, directly or indirectly, receive compensation from any person for referrals of clients or solicitees in connection with municipal advisory activities? Yes No
Item 8 Owners, Officers and Other Control PersonsA. Identifying Owners, Officers and Other Control Persons(1) In this Item, identify every person that, directly or indirectly, controls the applicant, or that the applicant directly or indirectly controls.
(2) Does any person not named in Item 1-A or Schedules A, B, or C,
directly or indirectly, control the applicant's management or policies? Yes
No
(3) If "Yes" to Item 8-A.2. above, complete Section 8-A of Schedule D. B. Public Reporting Companies(1) Is any person in Schedules A, B, or C, or in Section 8-A of Schedule D a
public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934? Yes
No
(2) If "Yes" to Item 8-B.1. above, complete Section 8-B of Schedule D. Item 9 Disclosure InformationIn this Item, provide information about the criminal, regulatory, and judicial history, if any, of the applicant and each associated person of the applicant. This information is used to determine whether to approve an application for registration, to decide whether to revoke registration, or to place limitations on the applicant's activities as a municipal advisor, and to identify potential problem areas on which to focus during on-site examinations. One event may result in the requirement to answer "Yes" to more than one question below. Refer to the Glossary of Terms for explanations of italicized terms, such as associated person. Criminal Action DisclosureIf the answer is "Yes" to any question below in Part A or B below, complete a Criminal Action DRP. Disclosure of any event listed in this Criminal Action Disclosure Section is not required if the date of the event was more than ten years ago. For purposes of calculating this ten-year period, the date of an event is the date that the final order, judgment, or decree was entered, or the date that any rights of appeal from preliminary orders, judgments, or decrees lapsed. Check all that apply. A. In the past ten years, has the applicant or any associated person:(1) been convicted of any felony, or pled guilty or nolo contendere ("no contest") to any charge of a felony, in a domestic, foreign, or military court? Yes No
(2) been charged with any felony? Yes No
The response to Item 9-A(2) may be limited to charges that are currently pending. B. In the past ten years, has the applicant or any associated person:(1) been convicted of any misdemeanor, or pled guilty or nolo contendere ("no contest"), in a domestic, foreign, or military court to any charge of a misdemeanor in a case involving: municipal advisor-related business, investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses? Yes No
(2) been charged with a misdemeanor of the kind listed in Item 9-B(1)? Yes No
The response to Item 9-B(2) may be limited to charges that are currently pending. Regulatory Action DisclosureIf the answer is "Yes" to any question in Parts C-G below, complete a Regulatory Action DRP. Check all that apply. C. Has the SEC or the CFTC ever:(1) found the applicant or any associated person to have made a false statement or omission? Yes No
(2) found the applicant or any associated person to have been involved in a violation of any SEC or CFTC regulation or statute? Yes No
(3) found the applicant or any associated person to have been a cause of the denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related or an investment-related business to operate? Yes No
(4) entered an order against the applicant or any associated person in connection with municipal advisor-related or investment-related activity? Yes No
(5) imposed a civil money penalty on the applicant or any associated person, or ordered the applicant or any associated person to cease and desist from any activity? Yes No
D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority ever:(1) found the applicant or any associated person to have made a false statement or omission, or been dishonest, unfair, or unethical? Yes No
(2) found the applicant or any associated person to have been involved in a violation of municipal advisor-related or investment-related regulations or statutes? Yes No
(3) found the applicant or any associated person to have been the cause of a denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related or an investment-related business to operate? Yes No
(4) entered an order against the applicant or any associated person in connection with a municipal advisor-related or investment-related activity? Yes No
(5) denied, suspended, or revoked the registration or license of the applicant or that of any associated person, or otherwise prevented the applicant or any associated person, by order, from associating with a municipal advisor-related or investment-related business or restricted the activities of the applicant or any associated person? Yes No
E. Has any self-regulatory organization or commodities exchange ever:(1) found the applicant or any associated person to have made a false statement or omission? Yes No
(2) found the applicant or any associated person to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)? Yes No
(3) found the applicant or any associated person to have been the cause of a denial, suspension, revocation or restriction of the authorization of a municipal advisor-related or an investment-related business to operate? Yes No
(4) disciplined the applicant or any associated person by expelling or suspending the applicant or the associated person from membership, barring or suspending the applicant or the associated person from association with other members, or by otherwise restricting the activities of the applicant or the associated person? Yes No
F. Revocation or Suspension:Has the applicant or any associated person ever had an authorization to act as an attorney, accountant, or federal contractor revoked or suspended? Yes No
G. Regulatory Proceedings:Is the applicant or any associated person currently the subject of any regulatory proceeding that could result in a "Yes" answer to any part of Item 9-C, 9-D, or 9-E.? Yes No
Civil Judicial DisclosureIf the answer is "Yes" to a question below, complete a Civil Judicial Action DRP. Check all that apply. H. (1) Has any domestic or foreign court ever:(a) enjoined the applicant or any associated person in connection with any municipal advisor-related or investment-related activity? Yes No
(b) found that the applicant or any associated person was involved in a violation of any municipal advisor-related or investment-related statute(s) or regulation(s)? Yes No
(c) dismissed, pursuant to a settlement agreement, a municipal advisor-related or investment-related civil action brought against the applicant or any associated person by a state or other US jurisdiction or a foreign financial regulatory authority? Yes No
(2) Current Proceedings:Is the applicant or any associated person the subject of any currently pending civil proceeding that could result in a "Yes" answer to any part of Item 9-H(1)? Yes No
Item 10 Small BusinessesThe SEC is required by the Regulatory Flexibility Act to consider the effect of its regulations on small entities. In order to do this, the SEC needs to determine whether you meet the Small Business Administration's definition of "small business" for purposes of entities that provide investment and related activities. Accordingly, answer "Yes" or "No," as appropriate, to the questions below: A. Did the applicant have annual receipts of less than $7 million during its most recent fiscal year (or during the time the applicant has been in business, if it has not completed its first fiscal year in business)? Yes No
B. Is the applicant affiliated with any business or organization that had annual receipts of $7 million or more during its most recent fiscal year (or during the time it has been in business, if it has not completed its first fiscal year in business)? Yes No
Form MA
|