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F. Does the applicant or any associated person,directly or indirectly, receive compensation from any person for
<br /> referrals of clients or solicitees in connection with municipal advisory activities?
<br /> 0Yes °4No
<br /> Item 8 Owners, Officers and Other Control Persons
<br /> A.Identifying Owners, Officers and Other Control Persons
<br /> (1)In this Item,identify every person that,directly or indirectly,controls the applicant,or that the applicant directly or Indirectly controls.
<br /> (a)If this is an initial application,the applicant must complete Schedule A and Schedule B.
<br /> Schedule A asks for information about direct owners and executive officers.
<br /> Schedule 8 asks for information about indirect owners.
<br /> (b)If this is an amendment updating information reported on either the Schedule A or Schedule B(or both)filed with the applicant's initial
<br /> application,the applicant must also complete Schedule C.
<br /> (2)Does any person not named In Item 1-A or Schedules A,B,or C,directly or Yes®No
<br /> indirectly,control the applicant's management or policies?
<br /> (3)If"Yes"to Item 8-A.2,above,complete Section 8-A of Schedule D.
<br /> B. Public Reporting Companies
<br /> (1)Is any person in Schedules A,B,or C,or in Section 8-A of Schedule D a public Yes 0 No
<br /> reporting company under Sections 12 or 16(d)of the Securities Exchange Act of
<br /> 1934?
<br /> (2)If"Yes"to Item 8-6.1.above,complete Section 8-13 of Schedule Q.
<br /> Item 9 Disclosure Information
<br /> In this Item,provide information about the criminal,regulatory,and judicial history,if any,of the applicant and each associated person of the applicant.
<br /> This Information is used to determine whether to approve an application for registration,to decide whether to revoke registration,or to place limitations
<br /> 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
<br /> may result in the requirement to answer"Yes"to more than one question below.
<br /> Refer to the Glossary of Terms for explanations of italicized terms,such as associated person.
<br /> Criminal Action Disclosure
<br /> If the answer is"Yes"to any question below in Part A or 8 below, complete a Criminal Actfon DRP.
<br /> 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
<br /> 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
<br /> rights of appeal from preliminary orders,judgments,or decrees lapsed.
<br /> Check all that apply.
<br /> A. In the past ten years,has the applicant or any associated person:
<br /> (1)been convicted of any felony,or pled guilty or note contendere("no contest")to (DYes J No
<br /> any charge of a felony,in a domestic,foreign,or military court?
<br /> (2)been chargedwith any felony? OYes@) No
<br /> The response to Item 9 A(2)may be limited to charges that are currently pending,
<br /> B.In the past ten years,has the applicant or any associated person:
<br /> (1)been convicted of any misdemeanor,or pled guilty or nolo contendere("no OYes0a No
<br /> contest"),in a domestic,foreign,or military court to any charge of a misdemeanor in
<br /> a case involving:municipal advisor-related business,investments or an Investment-
<br /> related business,or any fraud,false statements,or omissions,wrongful taking of
<br /> property,bribery,perjury,forgery,counterfeiting,extortion,or a conspiracy to commit
<br /> any of these offenses?
<br /> (2)been charged with a misdemeanor of the kind listed in Item 9-13(1)? (DYes No
<br /> The response to Item 9-B(2)may be limited to charges that are currently pending.
<br /> Regulatory Action Disclosure
<br /> If the answer is"Yes"to any question in Parts C-G below,complete a Regulatory Action DRP.
<br /> Check all that apply.
<br /> C. Has the SEC or the CFTC ever:
<br /> (1)found the applicant or any associated person to have made a false statement or OYes 4 No
<br /> omission?
<br /> (2)found the applicant or any associated person to have been involved in a violation OYes0 No
<br /> of any SEC or CFTC regulation or statute?
<br /> (3)found the applicant or any associated person to have been a cause of the denial, `0Yesre No
<br /> suspension,revocation,or restriction of the authorization of a municipal advisor-
<br /> related or an investment-related business to operate?
<br />
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