Current through Register 2024 Notice Reg. No. 38, September 20, 2024
(a) Provide a table showing, with respect to
the chief executive officer and each other officer of the applicant:
(1) Name.
(2) Business address.
(3) Home address.
(4) Age.
(5) Business or occupation.
(6) Amount and types of securities of the
applicant which the officer owns or proposes to own, directly or indirectly, of
record or beneficially.
(7)
Title.
(8) Duties.
(9) Annual salary.
(b) Provide a table showing, with respect to
each proposed officer position of the applicant which has not yet been filled:
(1) Proposed title.
(2) Proposed duties.
(3) Proposed annual
salary.
(c) With respect
to each officer of the applicant listed in the table called for in Subdivision
(a) of this Section, provide:
(1) Personal
financial statement in the form of Department Form 2, containing the
information called for therein, dated as of a date within 90 days before the
filing of the application, and signed by the officer.
(2) Confidential resume in the form of
Department Form 3, containing the information called for therein, dated as of a
date within 90 days before the filing of the application, and signed by the
officer.
(3) Statement dated as of
a date within 90 days before the filing of the application and signed by the
officer, stating:
(A) Amount and types of
securities of the applicant which the officer owns or proposes to own, directly
or indirectly, of record or beneficially, and, if the purchase of any such
securities was financed or is proposed to be financed, the amount financed or
proposed to be financed, the person from whom the officer obtained or proposes
to obtain such financing, and the source of funds with which the officer
proposes to repay the financing.
(B) Business experience of the officer,
including, with respect to each position held, title, description of duties,
name and address of employer, period of employment, and reason for
leaving.
(C) Whether or not the
officer has ever been discharged or requested to resign from any position, and,
if so, an account of the circumstances.
(d) State the amount of salary and describe
any other compensation which the applicant proposes to pay to each officer and
to all employees as a group, during each of the first three years of
business.
(e) State the total
number of officers and employees proposed to be employed by the applicant upon
commencement of business and at the end of each of the first three years of
business.
(f) State whether or not
any change is proposed to be made with respect to the executive officers of the
applicant during the first three years of business, and, if so, describe such
change.
(g) State whether or not
the applicant proposes to retain any adviser, and, if so, provide, with respect
to each such adviser:
(1) Name.
(2) Name of firm of which the adviser is a
member or by which the adviser is employed.
(3) Business address.
(4) Description of services which the adviser
is to render to the applicant.
(5)
Summary of the adviser's professional qualifications relating to the services
referred to in Paragraph (4) of this Subdivision (g).
