COURT COUNTY OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .:::::::Index No.OMB Number:3235-0597Calendar No.Expires:March 31, 2007Estimated average burden hours per response. . . . . . . . 1.5 OMB APPROVALJUDICIAL SUBPOENAPlaintiff(s) -against-Defendant(s)UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM R31. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .THE PEOPLE OF THE STATE OF NEW YORK TOFORM FOR REPORTING COVERED SALES AND COVERED ROUND TURNGREETINGS:TRANSACTIONS UNDER SECTION 31 OF THEWE COMMAND YOU, that all business and excuses being laid aside, you and each of you attend before Court at the the HonorableSECURITIES EXCHANGE ACT OF 1934,located at County ofo'clock in the day of, on the, 20, at or adjourned date, to testify and give evidence as a witness in this action on the part of thenoon, and at any recessed in roomYour failure to comply with this subpoena is punishable as a contempt of court and will make you liable to the party on whose behalf this subpoena was issued for a maximum penalty of $50 and all damages sustained as a result of your failure to comply., one of the Justices of theCourt in Witness, Honorableday of, 20 County,(Attorney must sign above and type name below)Attorney(s) forOffice and P.O. AddressTelephone No.: Facsimile No.: E-Mail Address:Mobile Tel. No.:SEC 2502 (7-04)American LegalNet, Inc. www.USCourtForms.comCOURT COUNTY OF. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .:::::::Index No.FORM R31 INSTRUCTIONSCalendar No.A. EXPLANATION OF TERMS USED IN THIS FORM CHARGE DATE The date on which a covered sale or covered round turn transaction occurs for purposes of determining the liability of a covered SRO pursuant to Section 31 of the Securities Exchange Act of 1934 ( Exchange Act ) (15 U.S.C. 78ee). The charge date is: (1) the settlement date, with respect to any covered sale (other than a covered sale resulting from the exercise of an option settled by physical delivery or from the maturation of a security future settled by physical delivery) or covered round turn transaction that a covered SRO is required to report to the Commission based on data that the covered SRO receives from a designated clearing agency; (2) the exercise date, with respect to a covered sale resulting from the exercise of an option settled by physical delivery; (3) the maturity date, with respect to a covered sale resulting from the maturation of a security future settled by physical delivery; and (4) the trade date, with respect to all other covered sales and covered round turn transactions. COVERED ASSOCIATION Any national securities association by or though any member of which covered sales or covered round turn transactions occur otherwise than on a national securities exchange. COVERED EXCHANGE Any national securities exchange on which covered sales or covered round turn transactions occur.COVERED SALE A sale of a security, other than an exempt sale or a sale of a security future, occurring on a national securities exchange or by or through any member of a national securities association otherwise than on a national securities exchange.COVERED ROUND TURN TRANSACTION A round turn transaction in a security future, other than a round turn transaction in a future on a narrow-based security index, occurring on a national securities exchange or by or through a member of a national securities association otherwise than on a national securities exchange. COVERED SRO A covered exchange or a covered association. DESIGNATED CLEARING AGENCY A clearing agency registered under Section 17A of the Exchange Act (15 U.S.C. 78q-1) that clears and settles covered sales or covered round turn transactions. EX-CLEARING TRANSACTION A sale of a security that clears and settles otherwise than through a designated clearing agency.EXEMPT SALE (1) Any sale of a security offered pursuant to an effective registration statement under the Securities Act of 1933 ( Securities Act ) (except a sale of a put or call option issued by the Options Clearing Corporation) or offered in accordance with an exemption from registration afforded by Section 3(a) or 3(b) thereof (15 U.S.C. 77c(a) or 77c(b)), or a rule thereunder; (2) any sale of a security by an issuer not involving any public offering within the meaning of Section 4(2) of the Securities Act (15 U.S.C. 77d(2)); (3) any sale of a security pursuant to and in consummation of a tender or exchange offer; (4) any sale of a security upon the exercise of a warrant or right (except a put or call), or upon the conversion of a convertible security; (5) any sale of a security that is executed outside the United States and is not reported, or required to be reported, to a transaction reporting association as defined in 17 CFR 240.11Aa3-1 and any approved plan filed thereunder; (6) any sale of an option on a security index (including both a narrow-based security index and a non-narrow-basedsecurityindex);(7)anysaleofabond,debenture,orotherevidenceofindebtedness;and(viii)anyrecognizedriskless principal sale. FEE RATE The fee rate applicable to covered sales under Section 31(b) or (c) of the Exchange Act (15 U.S.C. 78ee(b) or (c)), as adjusted from time to time by the Commission pursuant to Section 31(j) of the Exchange Act (15 U.S.C. 78ee(j)). NARROW-BASED SECURITY INDEX Has the same meaning as in Sections 3(a)(55)(B) and (C) of the Exchange Act (15 U.S.C. 78c(a)(55)(B) and (C)). PHYSICAL DELIVERY EXCHANGE-TRADED OPTION An option that is listed and registered on a national securities exchange and that is settled by the physical delivery of the underlying securities. QUALIFIED SPECIAL REPRESENTATIVE A member of a designated clearing agency that operates, has an affiliate that operates, or clears for a broker-dealer that operates, an automated execution system where the designated clearing agency member is on the contra-side of every transaction. RECOGNIZEDRISKLESSPRINCIPALSALE A sale of a security where all of the following conditions are satisfied: (1) A broker-dealer receives from a customer an order to buy (sell) a security; (2) The broker-dealer engages in two contemporaneous offsetting transactions as principal, one in which the broker-dealer buys (sells) the security from (to) a thirdpartyandtheotherinwhichthebroker-dealers
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