EDGAR System rendering: Application for Registration by a Transfer Agent
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM TA-1
OMB Approval
OMB Number: 3235-0084
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UNIFORM FORM FOR REGISTRATION AS A TRANSFER AGENT AND FOR AMENDMENT
TO REGISTRATION PURSUANT TO SECTION 17A OF THE
SECURITIES EXCHANGE ACT OF 1934
GENERAL:
Form TA-1 is to be used to register or amend registration as a transfer agent with the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation or the Securities and Exchange Commission pursuant to Section 17A of the Securities Exchange Act of 1934.
Read all instructions before completing this form. Please print or type all responses.
1(a). Filer CIK:
0001629675
1(c). Live/Test Filing? Live Test
1(e). Is this filing an amendment to a previous filing?
Yes
2. Appropriate regulatory agency (check one) : Securities and Exchange Commission Board of Governors of the Federal Reserve System Federal Deposit Insurance Corporation Comptroller of the Currency Office of Thrift Supervision
3(a). Full Name of Registrant:
Altegris Advisors, L.L.C.
3(b). Financial Industry Number Standard (FINS) number:
340216
3(c). Address of principal office where transfer agent activities are, or will be, performed:
3(c)(i). Address 1
1200 Prospect Street
3(c)(ii). Address 2
Suite 400
3(c)(iii). City
La Jolla
3(c)(iv). State or Country
CA CALIFORNIA
3(c)(v). Postal Code
92037
3(d). Is Mailing address different from response to Question 3c? If "yes," provide address(es):
Yes No
3(e). Telephone Number
(Include Area Code)
858-459-7040
4. Does registrant conduct, or will it conduct, transfer agent activities at any location other than that given in question 3c above? If "yes," provide address(es):
Yes No
5. Does registrant act, or will it act, as a transfer agent solely for its own securities and/or securities of an affiliate(s)?
Yes No
6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions?
Yes No
7. Has registrant been engaged, or will it be engaged, as a service company by a named transfer agent to perform transfer agent functions?
Yes No
Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select "Not Applicable".
8. Is registrant a: Not Applicable
9. Does any person or entity not named in the answer to Question 8:
9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant; or . . . .
Yes No
9(a)(i). Exact name of each person or entity
Altegris Holdings II, LLC
9(a)(ii). Description of the Agreement or other basis
Direct Parent
9(a)(i). Exact name of each person or entity
AqGen Liberty Management I, Inc.
9(a)(ii). Description of the Agreement or other basis
Indirect Owner (holding company)
9(a)(i). Exact name of each person or entity
AqGen Liberty Holdings LLC
9(a)(ii). Description of the Agreement or other basis
Indirect Parent Company
9(b). wholly or partially finance the business of applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others ? . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
10.Applicant and Control Affiliate Disciplinary History:
The following definitions apply for purposes of answering this Question 10
Control affiliate
- An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority.
Investment or investment related
- Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker-dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association).
Involved
- Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act.
10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contender ("no contest") to:
10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting or extortion? . . . . . . . . . . . .
10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
10(b)(2). found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations? . . . . .
Yes No
10(c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
10(c)(1). found the applicant or a control affiliate to have made a false statement or omission? . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
10(c)(2). found the applicant or a control affiliate to have been involved in a violation of its regulations or statutes? . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
10(c)(3). found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
10(c)(4). entered an order denying, suspending or revoking the applicant's or a control affiliate's registration or otherwise disciplined it by restricting its activities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
10(d). Has any other Federal regulatory agency or any state regulatory agency:
10(d)(1). ever found the applicant or a control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical? . . . . . .
Yes No
10(d)(2). ever found the applicant or a control affiliate to have been involved in a violation of investment-related regulations or statutes? . . . . . . . . . . . . . . . . .
Yes No
10(d)(2)(i). The individuals named in the Action
CRT Capital Group LLC
10(d)(2)(ii). Title of Action
Cease and desist
10(d)(2)(iii). Date of Action
2007-11-06
10(d)(2)(iv). The Court or body taking the Action and its location
State of New Hampshire
10(d)(2)(v). Description of the Action
Firm did not file annual audit in a timely manner and did not timely pay penalty
10(d)(2)(vi). The disposition of the proceeding
$1075 penalty paid
10(d)(2)(i). The individuals named in the Action
CRT Capital Group LLC
10(d)(2)(ii). Title of Action
Civil and Administrative penalties/fines
10(d)(2)(iii). Date of Action
1998-07-28
10(d)(2)(iv). The Court or body taking the Action and its location
Connecticut Department of Banking
10(d)(2)(v). Description of the Action
Consent order alleged firm had employed unregistered agents
10(d)(2)(vi). The disposition of the proceeding
Monetary fine
10(d)(3). ever found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
10(d)(4). in the past ten years entered an order against the applicant or a control affiliate in connection with investment-related activity? . . . . . . . . . .
Yes No
10(d)(4)(i). The individuals named in the Action
CRT Capital Group LLC
10(d)(4)(ii). Title of Action
Principal Sanction
10(d)(4)(iii). Date of Action
1998-07-28
10(d)(4)(iv). The Court or body taking the Action and its location
Conneticut Department of Banking
10(d)(4)(v). Description of the Action
Consent order alleged firm had employed unregistered agents
10(d)(4)(vi). The disposition of the proceeding
Monetary fine
10(d)(5). ever denied, suspended, or revoked the applicant's or a control affiliate's registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities? . . . . . .
Yes No
10(d)(6). ever revoked or suspended the applicant's or a control affiliate's license as an attorney or accountant? . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
10(e). Has any self-regulatory organization or commodities exchange ever:
10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? . . . . . . . . . . . . . . . . . .
Yes No
10(e)(1)(i). The individuals named in the Action
Altegris Investments Inc.
10(e)(1)(ii). Title of Action
Censure
10(e)(1)(iii). Date of Action
2003-04-04
10(e)(1)(iv). The Court or body taking the Action and its location
NASD
10(e)(1)(v). Description of the Action
Hedge fund sales material that did not independently provide full disclosure of risks; failure to supervise
10(e)(1)(vi). The disposition of the proceeding
Monetary fine and censure
10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
10(e)(2)(i). The individuals named in the Action
Altegris Investments Inc.
10(e)(2)(ii). Title of Action
Censure
10(e)(2)(iii). Date of Action
2003-04-04
10(e)(2)(iv). The Court or body taking the Action and its location
NASD
10(e)(2)(v). Description of the Action
Hedge fund sales material that did not independently provide full disclosure of risks; failure to supervise
10(e)(2)(vi). The disposition of the proceeding
Monetary fine and censure
10(e)(2)(i). The individuals named in the Action
CRT Capital Group LLC
10(e)(2)(ii). Title of Action
Censure
10(e)(2)(iii). Date of Action
2010-12-21
10(e)(2)(iv). The Court or body taking the Action and its location
FINRA
10(e)(2)(v). Description of the Action
Trace reporting violations; books and records inaccuracies
10(e)(2)(vi). The disposition of the proceeding
Monetary fine and censure
10(e)(2)(i). The individuals named in the Action
CRT Capital Group LLC
10(e)(2)(ii). Title of Action
Censure
10(e)(2)(iii). Date of Action
2009-07-13
10(e)(2)(iv). The Court or body taking the Action and its location
FINRA
10(e)(2)(v). Description of the Action
Incorrect order tickets
10(e)(2)(vi). The disposition of the proceeding
Monetary fine and censure
10(e)(2)(i). The individuals named in the Action
CRT Capital Group LLC
10(e)(2)(ii). Title of Action
Censure
10(e)(2)(iii). Date of Action
2007-11-14
10(e)(2)(iv). The Court or body taking the Action and its location
NYSE ARCA Equities Inc.
10(e)(2)(v). Description of the Action
Did not maintain continuous two sided Q orders in the single security in which the firm was a registered market maker
10(e)(2)(vi). The disposition of the proceeding
Monetary fine and censure
10(e)(2)(i). The individuals named in the Action
CRT Capital Group LLC
10(e)(2)(ii). Title of Action
Censure
10(e)(2)(iii). Date of Action
2006-08-04
10(e)(2)(iv). The Court or body taking the Action and its location
NASD
10(e)(2)(v). Description of the Action
Permitted investment banking personnel to have influence or control over the compensatory evaluation of research analysts
10(e)(2)(vi). The disposition of the proceeding
Monetary fine and censure
10(e)(2)(i). The individuals named in the Action
CRT Capital Group LLC
10(e)(2)(ii). Title of Action
Civil and Administrative penalties/ fines
10(e)(2)(iii). Date of Action
2005-07-13
10(e)(2)(iv). The Court or body taking the Action and its location
NASD
10(e)(2)(v). Description of the Action
Late OTC equity transaction reporting
10(e)(2)(vi). The disposition of the proceeding
Monetary fine
10(e)(2)(i). The individuals named in the Action
CRT Capital Group LLC
10(e)(2)(ii). Title of Action
Censure
10(e)(2)(iii). Date of Action
2004-03-26
10(e)(2)(iv). The Court or body taking the Action and its location
NASD
10(e)(2)(v). Description of the Action
Trade reporting violations
10(e)(2)(vi). The disposition of the proceeding
Monetary fine and censure
10(e)(2)(i). The individuals named in the Action
CRT Capital Group LLC
10(e)(2)(ii). Title of Action
Censure
10(e)(2)(iii). Date of Action
2002-10-16
10(e)(2)(iv). The Court or body taking the Action and its location
NASD
10(e)(2)(v). Description of the Action
Late FIPS transaction reporting
10(e)(2)(vi). The disposition of the proceeding
Monetary fine and censure
10(e)(2)(i). The individuals named in the Action
CRT Capital Group LLC
10(e)(2)(ii). Title of Action
Civil and Administrative penalties/fines
10(e)(2)(iii). Date of Action
2001-06-14
10(e)(2)(iv). The Court or body taking the Action and its location
NASD
10(e)(2)(v). Description of the Action
Violation of Rule 15C2-11(A)
10(e)(2)(vi). The disposition of the proceeding
Monetary fine
10(e)(2)(i). The individuals named in the Action
CRT Capital Group LLC
10(e)(2)(ii). Title of Action
Censure
10(e)(2)(iii). Date of Action
2000-05-10
10(e)(2)(iv). The Court or body taking the Action and its location
NASD
10(e)(2)(v). Description of the Action
Inadequate written supervisory procedures related to trade reporting
10(e)(2)(vi). The disposition of the proceeding
Monetary fine and censure
10(e)(2)(i). The individuals named in the Action
CRT Capital Group LLC
10(e)(2)(ii). Title of Action
Censure
10(e)(2)(iii). Date of Action
1999-02-08
10(e)(2)(iv). The Court or body taking the Action and its location
NASD
10(e)(2)(v). Description of the Action
FIPS reporting violations; inadequate written supervisory procedures
10(e)(2)(vi). The disposition of the proceeding
Monetary fine and censure
10(e)(2)(i). The individuals named in the Action
CRT Capital Group LLC
10(e)(2)(ii). Title of Action
Censure
10(e)(2)(iii). Date of Action
1998-11-01
10(e)(2)(iv). The Court or body taking the Action and its location
NASD
10(e)(2)(v). Description of the Action
Trade reporting and recordkeeping violations and inadequate written supervisory procedures related to such
10(e)(2)(vi). The disposition of the proceeding
Monetary fine and censure
10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business? . . . . . . . .
Yes No
10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities? . . . . . . . . . . . . . . . .
Yes No
10(f). Has any foreign government, court, regulatory agency, or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
10(g). Is the applicant or a control affiliate now the subject of any proceeding that could result in a yes answer to questions 10(a) - 10(F)?
Yes No
10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Yes No
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT
CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)
SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D,
And the executing official hereby represent that all the information contained herein is true, correct and complete.
11(a). Signature of Official responsible for Form:
