Investor Resources > Free Informative Reports
SOUTHERN PACIFIC
EXPLORATION COMPANY
COMPLIANCE NOTICE(S) - ACKNOWLEDGEMENT
OF AND AGREEMENT WITH WEBSITE USEAGE POLICY, LEGAL NOTICE(S)
DISCLAIMER, PRIVACY POLICY, AND OTHER COMPLIANCE MATTERS
RE: NASD Rule 3110(c )
Dear Customer
Thank you for your interest in Southern Pacific Exploration
Company (SPXCO) and its operated and/or sponsored joint
ventures. This short form will allow us to serve you
in the best possible way. Joint Venture programs sponsored
by SPXCO are available exclusively to accredited investors
and/or qualified purchasers as defined by securities
regulation(s).
Securities regulations require; as a formality and pre-requisite
to receiving specific information regarding a joint venture
investment opportunity; that the prospective investor
must supply information about his/her/its residency,
investing experience, and financial capability, among
other things, in order for the program sponsor to determine
the suitability of such an investment for that investor.
The issuer and its agents, if any, must have reasonable
grounds for believing that a proposed, recommended, or
requested investment in its sponsored joint ventures
is suitable for the potential customer on the basis of
the facts disclosed by the potential customer as to his
or her current financial situation and needs. Further
information and representations may be required prior
to making any actual offer or accepting any investment.
The information provided by the investor is for the
determination of suitability purposes only and is not
shared with any other persons or entities and further,
is strictly subject to SPXCO's privacy policy. The questions
are promulgated by securities regulations and are not
intended to be intrusive, however; these suitability
questions must be asked in order to comply with applicable
securities regulations. A representative of SPXCO will
notify you should you qualify as an accredited investor
and/or a qualified purchaser.
Nothing in this questionnaire form, and nothing contained
in our company website should be considered an offer
to sell a security; nor is it a solicitation of an offer
to buy a security. An offer may be made and is only made,
by and through a Confidential Private Placement Memorandum
(aka “Prospectus”), and this is NOT a Confidential Private
Placement Memorandum.
If you are considering investing as an entity, be advised
that appropriate documentation will be required generally
as follows:
Corporations : Please attach a copy
of the corporate resolution to purchase and articles
of incorporation and by-laws.
Limited Liability Companies : Please
attach a copy of the resolution to purchase and articles
of organization and operating agreement, as amended.
Partnerships : Please attach a true
copy of the current partnership agreement, as amended.
Trusts : Please attach a copy of the
instrument creating the trust, as amended.
Estates : Please attach a copy of the
will and current letters testamentary.
Completion and submittal of this form does NOT represent
any commitment by the prospective investor to make an
investment, but does afford the opportunity to ask questions
and to receive detailed information. Thanks again for
your interest.
Please contact the Corporate Compliance Officer, at
the address listed below, if you have any questions or
concerns regarding this notice, representations by or
actions of, any representative of Southern Pacific Exploration
Company.
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