N.J. Admin. Code § Tit. 13, ch. 47A, subch. 10, app A
Current through Register Vol. 56, No. 21, November 4, 2024
NEW JERSEY ADDENDUM TO REGISTRATION STATEMENT
1. Has the issuer, any partner, officer or director of the issuer, any person (as that term is defined in 49:3-49(i) ) occupying a similar status or performing similar functions, or any person directly or indirectly controlling or controlled by the issuer, or any broker-dealer or other person involved directly or indirectly in the offering: (a) Been convicted of: i. Any crime of embezzlement under state, federal or foreign law? Yes ... No ...
ii. Any crime involving any theft, forgery or fraudulent practices in regard to any state, federal or foreign securities law, banking law, insurance law, commodities trading law or any antifraud law? Yes ... No ...
(b) Been 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? Yes ... No ...
(c) Been the subject of an effective order of the Bureau Chief denying, suspending, or revoking securities registration, or registration as a broker-dealer, agent, or investment advisor? Yes ... No ...
(d) Been the subject of an order entered within the past five years by the securities administrator of any other state or by the Securities and Exchange Commission denying or revoking securities registration, registration as a broker-dealer, agent, or investment adviser, or the substantial equivalent of those terms as defined in the "Uniform Securities Law (1997)," P.L. 1967, c. 93 (c. 49:3-48 et seq.), or been the subject of an order of the Securities and Exchange Commission suspending or expelling him from a national securities exchange or national securities association registered under the "Securities Exchange Act of 1934" ( 15 U.S.C. 78 a et seq.) or been the subject of a United States Postal Service fraud order? Yes ... No ...
(e) Ever been found by any court in a civil or criminal action or by any state or federal agency to have engaged in any act involving fraud, or dishonest or unethical practices in the securities business? Yes ... No ...
2.(a) Is the issuer, any partner, officer or director of the issuer, any person (as that term is defined in 49(i)) occupying a similar status or performing similar functions, or any person directly or indirectly controlling or controlled by the issuer, or any broker-dealer or other person involved directly or indirectly in the offering insolvent, either in the sense that liabilities exceed assets or in the sense that obligations cannot be met as they mature? Yes ... No ...
(b) Has such entity or person filed a petition under federal bankruptcy laws or any state insolvency law or had a receiver, fiscal agent or similar officer appointed by a court for the business or property of such person, or any partnership in which such person was a general partner at or within two years before the time of such filing, or any corporation or business association of which such person was an executive officer at or within two years before the time of such filing? Yes ... No ...
3. If the answer to any of the questions above is "yes" the following information is required: (a) Give the citation for each statute under which the relevant action or proceeding was initiated. Give the full title of the action or proceeding, the docket number, the relevant court agency and the date such action or proceeding was initiated.(b) Describe the activities which gave rise to such action or proceeding.(c) State the name, address and connection with the issuer, broker-dealer or other person described in questions 1 and 2, for each person who was the subject of such action or proceeding.(d) Describe the final disposition of such action or proceeding and the present status. (The term final disposition as used herein refers to any conviction, injunction, order, decree, court decision, petition, pleas or other final adjudication of the action or proceeding.)(e) State whether or not the final disposition has been modified, reversed, suspended, vacated or nullified. If a description of the action or proceeding and the final disposition is not included in the registration statement, the reason for the omission should be set forth in detail on a rider to this addendum. Include all mitigating circumstances. The undersigned is aware of 49:3-54 and understands that this addendum is part of the registration statement filed with the Bureau of Securities, and acknowledges the responsibility to update and keep current the information contained herein so long as this application is pending.
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N.J. Admin. Code Tit. 13, ch. 47A, subch. 10, app A
New Rule, R.1990 d.241, effective 5/21/1990.
See: 21 New Jersey Register 2903(a), 22 New Jersey Register 1617(a).
Amended by R.2008 d.301, effective 10/6/2008.
See: 40 N.J.R. 2061(a), 40 N.J.R. 5820(a).
In the introductory paragraph of 1, inserted "N.J.S.A. 49:3-"; and in 1(d), substituted "(1997)" for "(1967)".