Title 13 Part 13

Any change in the name of the registrant. However, in the event the registrant incorporates, an entirely new registration statement must be filed.

Any change of business address or address of each new branch office.

Any change in the officers, directors, partners, 10 percent or more equity holders or other principals of the registrant or any person who manages or supervises the commodity broker-dealer, commodity investment advisor or the commodity salespersons, giving the name and address of each such person involved in the change.

Any change in commodity salespersons of a registered commodity broker-dealer, giving name and date of termination of any salespersons leaving the registrant's employ and the reasons therefor, and the name and commencement date of any salespersons brought into the employ of the registrant.

Any change in disciplinary history, including, but not limited to, each occasion when the registrant or any officer, director, partner, principal, managing person or supervisor, 10 percent or more equity holder or salesperson thereof becomes the subject of any criminal action, or is convicted of any misdemeanor or felony, or is the subject of any pending civil action commenced by a government agency relating to the offer or sale of securities or commodities, or is the subject of any injunction or cease and desist order relating to the offer or sale of securities or commodities.

Any change in the name of the registrant.

Any change of residence address of the registrant.

Any termination of employment as a commodity salesperson, giving the date of termination and reason therefor.

Any new employment as a commodity salesperson, giving the name and address of the new firm and the date of commencement of employment as a salesperson.

Any change in disciplinary history, including but not limited to each occasion when the registrant becomes the subject of any criminal action, or is convicted of any misdemeanor or felony, or is the subject of any pending civil action commenced by a government agency relating to the offer or sale of securities or commodities, or is the subject of any injunction or cease and desist order relating to the offer or sale of securities or commodities.

The annual filing fee for each commodity broker-dealer and commodity investment advisor registration statement is $100. The annual filing fee for each commodity salesperson registration statement is $25. The filing fee for each supplemental statement is $10. Checks should be made payable to the New York State Department of Law. Personal checks or cash will not be accepted. Attorney's checks, bank checks, certified checks or money orders only will be accepted.

A receipt for the filing fee will be sent as an acknowledgment of filing.