This document is a disclosure form requiring individuals or their advisory affiliates to report any criminal, regulatory, or civil judicial actions taken against them in the past ten years. It includes questions about convictions, charges, and regulatory findings related to felonies, misdemeanors, and investment-related activities. Respondents must complete a Disclosure Reporting Page (DRP) for 'yes' answers to specific questions.
documents/vol00010-efta01358783-pdf.pdf
{"document_type":"legal","document_subtype":"disclosure form","key_organizations":["SEC","Commodity Futures Trading Commission (CFTC)"],"reference_numbers":["DB-SDNY-0046725","SDNY_GM_00192909","EFTA01358783"]}