Cookson America, Inc., §5.I(b); Rule 109.13(g), 4/10/1996

§5.I(b) available for sales of interests in a 401(k) savings plan and master savings trust offered to employees of the plan’s sponsor and its subsidiaries. The savings plan would permit such employees to invest in mutual funds or the plan sponsor’s parent company. Rule 109.13(g) available to exempt plan sponsor and its subsidiaries and employees from dealer registration requirements.

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