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f. Any other business affiliations in the securities industry or derivatives industry
g. Details of:
(1) any order of the Commission with respect to such person pursuant to Sections 15(b)(4), 15(b)(6),
19(h)(2), or 19(h)(3) of the Exchange Act;
(2) any conviction or injunction of a type described in Sections 15(b)(4)(B) or (C) of the Exchange
Act within the past ten years;
(3) any action of a self-regulatory organization with respect to such person imposing a final
disciplinary sanction pursuant to Sections 6(b)(6), l5A(b)(7), or 17A(b)(3)(G) of the Exchange
Act;
(4) any final action by a self-regulatory organization with respect to such person constituting a denial,
bar, prohibition, or limitation of membership, participation, or association with a member, or of
access to services offered by such organization or a member thereof; and
(5) any final action by another federal regulatory agency, including the Commodity Futures Trading
Commission, any state regulatory agency, or any foreign financial regulatory authority resulting
in:
i. a finding that such person has made a false statement or omission, or has been dishonest,
unfair, or unethical;
ii. a finding that such person has been involved in a violation of any securities-related
regulations or statutes;
iii. a finding that such person has been a cause of a business having its authorization to do
business denied, suspended, revoked, or restricted;
iv. an order entered, in the past ten years, against such person in connection with a securities-
related activity; or
v. any disciplinary sanction, including a denial, suspension, or revocation of such person’s
registration or license or otherwise, by order, a prevention from associating with a securities-
related business or a restriction of such person’s activities.
17. Attach as Exhibit D a copy of documents relating to the governance arrangements of the applicant, including,
but not limited to, the nomination and selection process of the members on the applicant’s board of directors, a
person or group performing a function similar to a board of directors (collectively, “board”), or any committee
that has the authority to act on behalf of the board; the responsibilities of the board and each such committee;
the composition of the board and each such committee; and the applicant’s policies and procedures reasonably
designed to ensure that the applicant’s senior management and each member of the board or such committee
possess requisite skills and expertise to fulfill their responsibilities in the management and governance of the
applicant, to have a clear understanding of their responsibilities, and to exercise sound judgment about the
applicant’s affairs.
18. Attach as Exhibit E a copy of the constitution, articles of incorporation or association with all amendments
thereto, existing by-laws, rules, procedures, and instruments corresponding thereto, of the applicant.
19. Attach as Exhibit F a narrative and/or graphic description of the organizational structure of the applicant. Note:
If the security-based swap data repository or securities information processor activities of the applicant are
conducted primarily by a division, subdivision, or other segregable entity within the applicant’s corporation or
organization, describe the relationship of such entity within the overall organizational structure and attach as
Exhibit F the description that applies to the segregable entity.
20. Attach as Exhibit G a list of all affiliates of the applicant and indicate the general nature of the affiliation. For
purposes of this application, an “affiliate” of an applicant means a person that, directly or indirectly, controls, is
controlled by, or is under common control with the applicant.
21. Attach as Exhibit H a brief description of any material pending legal proceeding(s), other than ordinary and
routine litigation incidental to the business, to which the applicant or any of its affiliates is a party or to which
any of its property is the subject. Include the name of the court or agency in which the proceeding(s) are
pending, the date(s) instituted, the principal parties to the proceeding, a description of the factual basis alleged