Regulation .09 Directors, Officers, and Partners.
Regulation .09 Directors, Officers, and Partners.LinkCopy Citation
A.
If the applicant is not an individual, the application documents shall include a list of the individuals who are serving, or who are designated to serve, during the first year after the date the application documents are submitted to the Commission as a director, officer, partner, or any other principal.
B.
For each individual listed under §A of this regulation, the applicant shall provide:
(1)
The individual’s name and address;
(2)
Each position or office of the applicant held by the individual;
(3)
The individual’s principal occupation during the 5-year period preceding the date on which the application documents are submitted to the Commission; and
(4)
The nature and extent of any ownership interest that the individual has in the applicant.