UNIFORM SUBMISSION AGREEMENT
NATIONAL ASSOCIATION OF SECURITIES DEALERS

In Matter of the Arbitration Between

Name of Claimant(s)

Name of Respondent(s)

1. The undersigned parties hereby submit the present matter in controversy, as set forth in the attached statement of claim, answers, cross claims, and all related counterclaims and/or third party claims which may be asserted, to arbitration in accordance with the Constitution, By­Laws, Rules, Regulations and/or Code of Arbitration Procedure of the sponsoring organization.

2. The undersigned parties hereby state that they have read the procedures and rules of the sponsoring organization relating to arbitration.

3. The undersigned parties agree that in the event a hearing is necessary, such hearing shall be held at a time and place as may be designated by the Director of Arbitration or the arbitrator(s). The undersigned parties further agree and understand that the arbitration will be conducted in accordance with the Constitution, By­Laws, Rules, Regulations and/or NASD Code of Arbitration Procedure of the sponsoring organization.

4. The undersigned parties further agree to abide by and perform any award(s) rendered pursuant to this Submission Agreement and further agree that a judgment and any interest due thereon may be entered upon such award(s) and, for these purposes, the undersigned parties hereby voluntarily consent to submit to the jurisdiction of any court of competent jurisdiction which may properly enter such judgment.

5. IN WITNESS WHEREOF, the parties hereto have signed and acknowledged the foregoing Submission Agreement.

Party(ies) Signature

____________________________

Client Name

____________________________

Client Name

FOR PARTIES WHO ARE INDIVIDUALS

STATE OF _______________________
ss:

COUNTY OF ________________________

On the _________ day of ________ , 20___, before me personally appeared ___________________, to me known and known to me to be the person who executed the foregoing instrument, and s/he acknowledged to me that s/he executed the same.

Notary Public

FOR PARTIES WHO ARE CORPORATIONS

STATE OF _____________________
ss:

COUNTY OF ____________________

On the _________ day of ________ , 20___, before me personally appeared ___________________, to me known, who first being duly sworn by me, did depose and say that s/he is the

__________________ of _____________________

the corporation described in and which executed the foregoing instrument; that s/he full has full and complete authority to file and execute the said instrument and all papers contained here, in the name of and on behalf of the said corporation; that s/he knows the seal of said entity; that is was so affixed by order of the Board of Directors of the said corporation; and that s/he signed her/his name thereto by like order.

Notary Public