STATE OF LOUISIANA

OFFICE OF FINANCIAL INSTITUTIONS
BATON ROUGE, LOUISIANA

POLICY NO. S-01-2006
(Amended 1/27/2011)

DEPOSITORIES OF RECORDS

I. PURPOSE:

To designate depositories for certain records required to be filed with the Securities Division of this Office.

II. APPLICABILITY:

Broker-dealers, investment advisers, and issuers of securities

III. GENERAL:

In accordance with LSA-R.S. 51:710(H), the Commissioner designates the following depositories for records required to be filed with the Securities Division of this Office:

Record	Depository
a. Form ADV, Parts 1 and 2, filed by all investment advisers pursuant to Sec. 703(D)	Investment Adviser Registration Depository
b. Financial statements filed by federal covered advisers pursuant to 703(D) and 703(F)	Securities and Exchange Commission
c. Form BD filed by all broker-dealers pursuant to Sec. 703(B)	Central Registration Depository
d. Financial statements filed by out-of-state broker-dealers pursuant to Sec. 703(B)(1)(j) and 703(F)	Financial Industry Regulatory Authority
e. Prospectus used with respect to notice filings of securities pursuant to Sec. 705(G)(1) and 709(5)	Securities and Exchange Commission

IV. EXCEPTION:

The Commissioner reserves the right to request copies of any of the above records.

John Ducrest
Commissioner of Financial Institutions

Date: 1/27/11

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POST OFFICE BOX 94095, BATON ROUGE, LOUISIANA 70804-9095 (225) 925-4660 DEPOSITORY FAX # (225) 925-4548 HUMAN RESOURCES FAX # (225) 925-4665 LEGAL FAX # (225) 922-2592 SECURITIES FAX # (225) 925-4511 NON DEPOSITORY # (225) 922-2860 MAIL ROOM FAX # (225) 925-4524 Web site: www.ofi.louisiana.gov email: ofila@ofi.louisiana.gov