in (h). (j) A person that owns directly or indirectly 10% or more of a public reporting company listed (on required to be listed) in Schedule A of Form BD with respect to a Covered Broker Dealer, other than a public company that is listed on a national securities exchange. (k) A person that owns dire

in (h); (j) A person that owns directly or indirectly 10% or more of a public reporting company listed (or required to be listed) in Schedule A of Form BD with respect to a Covered Broker Dealer, other than a public company that is listed on a national securities exchange; (k) A person that owns dire

in (h). (j) A person that owns directly or indirect& 10% or more of a public reporting company listed (or required to be listed) in Schedule A of Form BD with respect to a Covered Broker Dealer, other than a public company that is listed on a national securities exchange, (k) A person that owns direc

is item should NOT be initialed if the applicable broker-dealer is a limited business broker- dealer or if the person is identified on Schedule A of Form BD by an ownership code of less than 10%. (8) A person listed, or required to be listed, on Schedule B or Schedule C of a Form BD. This item shoul

or required to be listed, in Schedule B of a Form BD (other than a limited business broker-dealer), except persons whose listing in Schedule B of a Form BD relates to an ownership interest in a person listed in Schedule A of a Form BD identified by an ownership code of less than 10%. K (e)(iii) any pe

The Investor or any Owner directly or indirectly owns 10% or more of a public reporting company listed, or required to be listed, in Schedule A of a Form BD (other than a reporting company that is listed on a national securities exchange, or other than with respect to a limited business broker/dealer).

identified by an ownership code of less than 10%; B. Is listed, or required to be listed, in Schedule B or Schedule C (as to amend Schedule B) of Form BD, except persons whose listing on such Schedule relates to an ownership interest in a person listed on Schedule A or Schedule C (as to amend Schedu