FORM G-37X MSRB. Name of dealer:



Similar documents
I. CONTRIBUTIONS made to issuer officials (listed by state)

I. CONTRIBUTIONS made to issuer officials (listed by state)

I. CONTRIBUTIONS made to issuer officials (listed by state)

I. CONTRIBUTIONS made to issuer officials (listed by state)

FORM 9. NOTICE OF PROPOSED ISSUANCE OF LISTED SECURITIES (or securities convertible or exchangeable into listed securities 1 )

LONG ISLAND POWER AUTHORITY UTILITY DEBT SECURITIZATION AUTHORITY Debt Management Policy (as amended on March 26, 2015)

Disclosure Report of Political Contributions by Investment Management Firm

MUNI ADVISOR RULE OVERVIEW

The New Regulatory Regime for

FORM 9. NOTICE OF PROPOSED ISSUANCE OF LISTED SECURITIES (or securities convertible or exchangeable into listed securities 1 )

SETTLEMENT AGREEMENT. b. The terms of any settlement will become public information only if, and when, the settlement is approved by the Commission.

ARTICLE I General. These Procedures are being adopted by the School District board of education as debt issuance disclosure best practices.

Mr. Ronald W. Smith Corporate Secretary Municipal Securities Rulemaking Board 900 Duke Street, Suite 600 Alexandria, VA 22314

CONTRACTORS STATE LICENSE BOARD Blanket Performance and Payment Bond Approved Final Text

MUNICIPAL SECURITIZER OF STUDENT LOANS REPURCHASE REPORTS DUE TO SEC ON 2/14/15

FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933

NEW COMMUNITY SMALL GROUP APPLICATION ( Application ) Blue Cross and Blue Shield of Montana (herein called BCBSMT)

The Final Municipal Advisor Rule: Navigating the Minefield

REQUEST FOR PROPOSAL/QUALIFICATIONS FOR INDEPENDENT FINANCIAL ADVISOR. Issued by the Town of Bedford

FORM 9. NOTICE OF PROPOSED ISSUANCE OF LISTED SECURITIES (or securities convertible or exchangeable into listed securities 1 )

Tennessee Housing Development Agency Debt Management Policy Approved November 29, 2011, amended July 29, 2014

National Association of Independent Public Finance Advisors P.O. Box 304 Montgomery, Illinois Fax

Client Services Agreement: Financial Planning and Investment Consultation

FORM 9. NOTICE OF PROPOSED ISSUANCE OF LISTED SECURITIES (or securities convertible or exchangeable into listed securities 1 )

Municipal Advisory Agreement

RE: Release No ; File No. S , Proposed Amendment to Municipal Securities Disclosure

TITLE III CROWDFUNDING

NATIONAL ASSOCIATION OF BOND LAWYERS TELECONFERENCE ON MUNICIPAL ADVISOR RULES. June 25, 2014

MUNICIPAL ADVISOR RULE HOW IT AFFECTS LOCAL GOVERNMENTS

Cherry Hills Investment Advisors INVESTMENT ADVISORY CONTRACT

INVESTMENT ADVISORY AGREEMENT

Code of Ethics. I. Definitions

CLIENT APPLICATION & INVESTMENT ADVISORY AGREEMENT

çbev~rly~rly CITY OF BEVERLY HILLS STAFF REPORT

December 15, FINRA Notice Relating to Proposed Pay to Play Rules. Dear Ms. Asquith:

Columbia Management SIMPLE IRA

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION

CERTIFICATION REGARDING CORRESPONDENT ACCOUNTS FOR FOREIGN BANKS

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION

Pre-Qualification Questionnaire BOSTON COMMON ASSET MANAGEMENT, LLC AND ITS AFFILIATES. US1DOCS v1

RESOLUTION TO BORROW AGAINST ANTICIPATED DELINQUENT 2013 REAL PROPERTY TAXES

U.S. Securities and Exchange Commission Final Municipal Advisor Registration Rules

INSURANCE REGULATION 11 SURPLUS LINE BROKERS. This Regulation is promulgated pursuant to R.I. Gen. Laws through , and

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION

PIH INVESTMENTS, LLC INVESTMENT ADVISORY AGREEMENT

POLICY 5.1 LOANS, LOAN BONUSES, FINDER S FEES AND COMMISSIONS

Request for Proposals Health Insurance Broker

Rules Governing the Education Lottery Scholarship Program

REED SMITH LLP INVESTMENT ADVISER NEWS QUARTERLY UPDATE

NOW, THEREFORE, BE IT RESOLVED BY THE ECONOMIC DEVELOPMENT AUTHORITY OF SPOTSYLVANIA COUNTY, VIRGINIA:

Case 2:10-md CJB-SS Document Filed 05/03/12 Page 1 of 10 EXHIBIT 27

REQUEST, SOLICITATION AND INVITATION FOR PROPOSAL FOR THE POSITION OF MEDFORD TOWNSHIP SCHOOL DISTRICT BOARD OF EDUCATION

Ohio s History Financing School Construction Projects. Profiting from the Sale of School Bonds

State of California. Department of Insurance. 45 Fremont Street. San Francisco, California CALIFORNIA CODE OF REGULATIONS, TITLE 10

5 DE Admin. Code 800 Banking 5 DE Admin. Code 800

Legal Questions And Answers About Securities Law

Computershare Trust Company BYDSsm Buy Direct Stock

Charles Carroll Financial Partners, LLC INVESTMENT ADVISORY CONTRACT

corporation with its principal place of business in the City of

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION

CHAPTER 211. AN ACT concerning life insurance viatical settlements. BE IT ENACTED by the Senate and General Assembly of the State of New Jersey:

Request for Proposals. Purchase of $5,800,000 Clean Water State Match Revenue Bonds, Series Due Date: September 10, 2014

United States Securities and Exchange Commission

NOTICE OF SALE. $3,000,000 COUNTY OF GLOUCESTER, NEW JERSEY COUNTY COLLEGE BONDS, SERIES 2016 (Book-Entry-Only) (Non-Callable)

Rulemaking Hearing Rules of The Tennessee Department of Commerce and Insurance Insurance Division. Chapter Long Term Care Insurance

SEC APPROVES MUNICIPAL ADVISOR RULES

INVESTMENT ADVISORY AGREEMENT

November 16, The Honorable Elisse B. Walter Member United States Securities and Exchange Commission 100 F Street NE Washington, DC

United States Bankruptcy Court Eastern District of Virginia

Securities and Exchange Commission

HOW TO REGISTER AS A CALIFORNIA REGISTERED INVESTMENT ADVISER

Savings Incentive Match Plan For Employees (Simple) IRA Plan Employer Adoption Agreement

NEW JERSEY EDUCATIONAL FACILITIES AUTHORITY REQUEST FOR PROPOSALS FOR SERVICES AS AN INDEPENDENT REGISTERED MUNICIPAL ADVISOR.

TAX CREDITS: Provides with respect to the solar energy systems tax credit. Page 1 of 8

THIS VOLUNTARY SETTLEMENT AGREEMENT CONCERNING A DEVELOPMENT OF. entered into this day of, 2014, and executed in triplicate originals

HOME COUNSELOR ONLINE BULLETIN

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION

Page 1 ARTICLE 7. INSURANCE. Section 7.01 Agreement to Insure

INVESTMENT ADVISORY AGREEMENT

REQUEST FOR PROPOSALS FOR FINANCIAL ADVISORY SERVICES

corporation with its principal place of business in the City of

RULE 144 PERSONS DEEMED NOT TO BE ENGAGED IN A DISTRIBUTION AND THEREFORE NOT UNDERWRITERS. Preliminary Note to Rule 144

Reinsurance Intermediary Broker Reinsurance Intermediary Manager Licensing Instructions

IMPORTANT DISCLOSURES AND CONSIDERATIONS FOR INVESTORS IN AUCTION RATE SECURITIES

SCHEDULE A ACCREDITED INVESTOR STATUS CERTIFICATE

THE GROSSE POINTE PUBLIC SCHOOL SYSTEM Grosse Pointe, Michigan

Debt Management Policy

BRIARWOOD CAPITAL MANAGEMENT INC. MANAGED ACCOUNT AGREEMENT

Delaware

TOWNSHIP COUNCIL OF MOUNT HOLLY TOWNSHIP BURLINGTON COUNTY, NEW JERSEY ORDINANCE NO

NORTHERN VALLEY REGIONAL HIGH SCHOOL DISTRICT 162 KNICKERBOCKER ROAD DEMAREST, NJ BROKER FOR SCHOOLS PROPERTY & CASUALTY INSURANCE PROGRAM

NON-DISCRETIONARY ADVISORY AGREEMENT

VA Authorized Agent Agreement

STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION

INVESTMENT MANAGEMENT SERVICES AGREEMENT

INVESTMENT ADVISORY AGREEMENT

REQUEST FOR PROPOSALS (RFP) FOR FINANCIAL ADVISORY SERVICES

Diligent Corporation (Name of Issuer)

mabc Investment Advisors, LLC PO Box Houston, TX Tel: Candle Ln Houston, TX Cell:

Transcription:

FORM G-37X MSRB Name of dealer: The undersigned, on behalf of the dealer identified above, does hereby certify that such dealer did not engage in municipal securities business (as defined in Rule rule G-37) during the eight full consecutive calendar quarters ending immediately on or prior to the date of this Form G-37x. The undersigned, on behalf of such dealer, does hereby acknowledge that, notwithstanding the submission of this Form G-37x to the MSRB, such dealer will be required to: (1) submit Form G-37/G-38 for each calendar quarter unless it has met all of the requirements for an exemption set forth in Rule rule G-37(e)(ii) for such calendar quarter; (2) submit Form G-37/G-38 for each calendar quarter in which it has information relating to consultants that is required to be reported pursuant to rule G-37(e)(ii)(B), regardless of whether the dealer has qualified for the exemption set forth in rule G-37(e)(ii)(A)(2); (2) (3) undertake the recordkeeping obligations set forth in Rule rule G-8(a)(xvi) at such time as it no longer qualifies for the exemption set forth in Rule rule G-8(a)(xvi)(K); (3) (4) undertake the disclosure obligations set forth in Rule rule G-37(e), including in particular the disclosure obligations under paragraph (e)(iii) thereof, at such time as it no longer qualifies for the exemption set forth in Rule rule G-37(e)(ii)(B) (A)(2); and (4) (5) submit a new Form G-37x in order to again meet the requirements for the exemption set forth in Rule rule G-37(e)(ii)(B) (A)(2) in the event that the dealer has engaged in municipal securities business subsequent to the date of this Form G-37x and thereafter wishes to qualify for said exemption. Signature: Date: (must be officer of dealer) Name: Phone: Address: Submit to: Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, Virginia 22314

FORM G-37/G-38 MSRB Name of dealer: Report period: I. CONTRIBUTIONS made to issuer officials (list by state) State Complete name, title (including Contributions by each contributor category any city/county/state or other (i.e., dealer, dealer controlled PAC, municipal political subdivision) of issuer finance professional controlled PAC, official municipal finance professionals and non-mfp executive officers). For each contribution, list contribution amount and contributor category (For example, $500 contribution by non-mfp executive officer) If any contribution is the subject of an automatic exemption pursuant to Rule G-37(j), list amount of contribution and date of such automatic exemption. II. PAYMENTS made to political parties of states or political subdivisions (list by state) State Complete name (including any Payments by each contributor category city/county/state or other (i.e., dealer, dealer controlled PAC, municipal political subdivision) of finance professional controlled PAC, political party municipal finance professionals and non-mfp executive officers). For each payment, list payment amount and contributor category (For example, $500 payment by non-mfp executive officer)

III. ISSUERS with which dealer has engaged in municipal securities business (list by state) State Complete name of issuer Type of municipal securities and city/county business (negotiated underwriting, agency offering, private placement, financial advisor, or remarketing agent)

IV. CONSULTANTS (specific information for each consultant must be attached) NAME OF CONSULTANT (PURSUANT TO CONSULTANT AGREEMENT): Signature: Date: (must be officer of dealer) Name: Address: Phone: Submit two completed forms quarterly by due date (specified by the MSRB) to: Municipal Securities Rulemaking Board 1900 Duke Street Suite 600 Alexandria, VA 22324

ATTACHMENT TO FORM G-37/G-38 (submit a separate attachment sheet for each consultant listed under IV) Name of Consultant (pursuant to Consultant Agreement): Consultant s Business Address: Role to be Performed by Consultant (including the state or geographic area in which the consultant is working on behalf of the broker, dealer or municipal securities dealer): Compensation Arrangement: Municipal Securities Business Obtained or Retained by Consultant (list each such business separately and, if applicable, indicate dollar amounts paid to consultant connected with particular municipal securities business): Total Dollar Amount Paid to Consultant during Reporting Period: Contributions Made to Issuer Officials by Consultant and Any Partner, Director, Officer or Employee of the Consultant Who Communicates with An Issuer Official to Obtain Municipal Securities Business for the Broker, Dealer or Municipal Securities Dealer or Any PAC Controlled by Any of These Entities or Persons: State Complete name and title (including any For each contribution, list contribution amount and city/county/state or other political contributor category (i.e., company, individual, company subdivision) of issuer official controlled PAC or individual controlled PAC) Payments Made to Political Parties of States and Political Subdivisions by Consultant and Any Partner, Director, Officer or Employee of the Consultant Who Communicates with An Issuer Official to Obtain Municipal Securities Business for the Broker, Dealer or Municipal Securities Dealer or Any PAC Controlled by Any of These Entities or Persons: State Complete name (including any For each payment, list payment amount and contributor city/county/state or other political category (i.e., company, individual, company controlled subdivision) of political party PAC or individual controlled PAC)

FORM G-38t MSRB Name of dealer: Report period: CONSULTANTS FOR WHICH PAYMENTS ARE MADE OR REMAIN PENDING DURING REPORTING PERIOD (specific information for each consultant must be attached) NAME OF CONSULTANT (PURSUANT TO CONSULTANT AGREEMENT): Signature: Date: (must be officer of dealer) Name: Address: Phone: Submit two completed forms for any quarter in which payments have been made by due date (specified by the MSRB) to: Municipal Securities Rulemaking Board 1900 Duke Street Suite 600 Alexandria, VA 22324

ATTACHMENT TO FORM G-38t (submit a separate attachment sheet for each consultant listed during reporting period) Name of Consultant (pursuant to Consultant Agreement): Consultant s Business Address: Role Performed by Consultant (including the state or geographic area in which the consultant worked on behalf of the broker, dealer or municipal securities dealer): Compensation Arrangement: Municipal Securities Business Obtained or Retained by Consultant for Which Payment is Made or is Pending (list each such business separately and, if paid during such reporting period, indicate dollar amounts paid to consultant connected with particular municipal securities business): Total Dollar Amount Paid to Consultant during Reporting Period: Contributions Made to Issuer Officials by Consultant and Any Partner, Director, Officer or Employee of the Consultant Who Communicates with An Issuer Official to Obtain Municipal Securities Business for the Broker, Dealer or Municipal Securities Dealer or Any PAC Controlled by Any of These Entities or Persons: State Complete name and title (including any For each contribution, list contribution amount and city/county/state or other political contributor category (i.e., company, individual, company subdivision) of issuer official controlled PAC or individual controlled PAC) Payments Made to Political Parties of States and Political Subdivisions by Consultant and Any Partner, Director, Officer or Employee of the Consultant Who Communicates with An Issuer Official to Obtain Municipal Securities Business for the Broker, Dealer or Municipal Securities Dealer or Any PAC Controlled by Any of These Entities or Persons: State Complete name (including any For each payment, list payment amount and contributor city/county/state or other political category (i.e., company, individual, company controlled subdivision) of political party PAC or individual controlled PAC)