Ncnda

COMPLIANCE PACKAGE
NAME OF CLIENT HEADING
PLEASE PLACE ON THE CLIENT`S LETTERHEAD


Date: , 2012


STRICTLY CONFIDENTIAL

The information contained in this document is provided solely and exclusively for informational purposes only, and for personal use upon a specific request made by:


NAME OF THE LEGAL OWNER/SIGNATORY FOR THE BOND(S)Print:______________________________________



Signature Date.
[pic]BOND PURCHASE PROGRAM


This is not intended to be, and must not be construed to be, a solicitation of Bonds

Please read carefully:


This is an unofficial response to your request and is for informational purposes only.

By reading beyond this point, youacknowledge that this is a private communication of privileged confidential information for you only, and you agree to keep it confidential and protect it from disclosure, except as required for the transaction referred to herein. DO NOT UNDER ANY CIRUMSTANCE SEND THIS OUTLINE, OR ANY INFORMATION CONCERNING THIS BUSINESS, TO ANYONE! You have requested specific information outlined below. Thismaterial and document regarding the above referenced transaction are provided solely to serve your interests and purposes, and are not for distribution. By receiving this information sheet you hereby agree to keep all information received from us strictly confidential, and will not disclose it to any third party.

The following information may change at any time without notice.


CERTAINAPPLICATION REQUIREMENTS

(PLEASE COMPLY WITH ALL REQUESTS)

THE FOLLOWING DOCUMENTS SHOULD BE FILLED IN AND RETURNED AS A PACKAGE. PLEASE DO NOT RETURN THE DOCUMENTS INDIVIDUALLY! ALL DOCUMENTS MUST BE CLEAR AND ALL PROCEDURES MUST BE FOLLOWED.




ONLY THE LEGAL OWNER OR APPROVED SIGNATORY OF THE (SE) BOND(S) SUBMITTED HEREON MAY SIGN THE DOCUMENTS.

ALL SIGNATURES MUST BE WET BLUE INKONLY.

Any package which contains electronic or `cut and pasted` signatures will be rejected immediately.
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PROOF OF OWNERSHIP: You must prove ownership and provide a front & back copy of the one of the bonds from each Series being traded. The proof of ownership can be in the form of an SKR from a secure depository.

ATTORNEY ATTESTATION LETTER: This must be completed by your attorney. (Notrequired if an SKR as noted above can be provided.)

CLIENT INFORMATION SHEET: This information must be filled in, in its entirety (two pages), and the information contained must be accurate and verifiable.

HISTORY OF OWNERSHIP: The information provided in this form must be accurate and verifiable.

AFFIDAVIT OF LEGAL OWNERSHIP: The information on this form is the confirmation to thepurchased of your legal ownership of the Bonds.

INDEMNIFICATION AND ATTESTATION: The information provided in this form must be accurate and verifiable.

AFFIDAVIT OF NON-SUBMITTAL TO OTHERS: This is to ensure the bank knows that this file is not being “shopped” in the marketplace and they have an exclusive right to proceed with the transaction.

LETTER OF INTENT TO SELL: This is to be clearthat this bond is for use in a Sale.

COPY OF PASSPORT: A clean, clear color copy of the Client’s passport must be provided, enlarged to 8.5” x 11”. This is best achieved by making a laser copy of the original passport enlarged 129%. A color –scan device will do as well (accepted formats: JPEG, TIFF, PDF, DOC).

CLEAR PHOTOGRAPH(S) OF THE BOND(S) SUBMITTED WITH CURRENT NEWSPAPER AND THEPASSPORT OF THE OWNER OPEN.

PORTFOLIO NUMBERS MUST BE CLEAR UNLESS IT IS A BEARER BOND

CORPORATE RESOLUTION (ONLY IF REQUIRED)
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WARNING!

ANY SUBMITTED APPLICATION WHICH IS NOT ACCOMPANIED BY A FRESH UP-TO-DATE AFFIDAVIT OF LEGAL OWNERSHIP WILL BE REJECTED WITH NO FURTHER CONSIDERATION.

ANY SUBMITTED APPLICATION PARTIALLY COMPLETED OR WITH MISSING DATA WILL BE REJECTED WITH NO...