Mark Identification

4COMPLIANCE

Serial Number

75942645

Filing Date

Mar 13, 2000

Registration Date

Mar 20, 2001

Trademark by

SUNSTONE FINANCIAL GROUP INC.

Classification Information

PROVIDING FEDERAL AND STATE SECURITIES REGISTRATION SERVICES UTILIZING A COMPREHENSIVE SOFTWARE SYSTEM THAT AUTOMATES SECURITIES ADMINISTRATION AND COMPLIANCE FOR MUTUAL FUNDS, BROKER DEALERS, INVESTMENT ADVISERS AND PUBLIC AND PRIVATE OFFERINGS OF SECURITIES

Insurance and Financial