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What information may be reviewed in determining an applicant's financial responsibility/condition, business experience, character, and general fitness to reasonably warrant a belief that the applicant will conduct its business lawfully and fairly?

Any of the following:

  1. The relevant business records and the capital adequacy of the applicant.
  2. The competence, experience, integrity, and financial ability of any person who is a member, partner, executive officer, or a shareholder with 10% or more interest in the applicant.
  3. Any record regarding the applicant, or any person referenced in item 2 above, of any criminal activity, fraud, or other act of personal dishonesty, any act, omission, or practice that constitutes a breach of a fiduciary duty, or any suspension, removal, or administrative action by any agency or department of the United States.