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Application For Registration, Renewal Or Amendment To An Application Of Investment Adviser - Commonwealth Of Puerto Rico Page 8

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Form R-3

Rev. 03/13

Branch Office in Puerto Rico?

(c)

If a sole proprietorship, does applicant have a minimum capital of not less than $2,500 plus $2,500 for

each branch office in Puerto Rico?

22.

The following exhibits are to be filed herewith:

If applicant is a corporation, a certified copy of the resolution of the Board of Directors of applicant

authorizing the execution and filing thereof.

II.

A Bond in the amount of $10,000 as required by Section 6.8.5 of the Regulation under the Uniform

Securities Act of Puerto Rico.

III.

Audited Financial Statements including a detailed Balance Sheet, Income Statement and Cash Flow

Statement required by Article 15 of the Regulation under the Uniform Securities Act of Puerto Rico.

IV.

(a) If applicant is a corporation, a copy of the Articles of Incorporation and By-Laws and all amendments

thereto.

(b) If applicant is a partnership, a copy of the Articles of Partnership, and Partnership Agreement.

Liability Company Agreement.

WARNING:

Failure to keep this form current and to file accurate supplementary information on a

timely basis, or the failure to keep accurate books and records or otherwise to comply with the

provisions of law applying to the conduct of business as an investment adviser would violate the Puerto

Rico Uniform Securities Act and may result in disciplinary, administrative, injunctive or criminal

action.

INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY

CONSTITUTE CRIMINAL VIOLATIONS.

Application For Registration, Renewal Or Amendment To An Application Of Investment Adviser - Commonwealth Of Puerto Rico Page 8

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