How to Access Form MA and Form MA-I Filings Sample Clauses

How to Access Form MA and Form MA-I Filings. Xxxxx Xxxxxxx’x most recent Form MA and each most recent Form MA-I filed with the SEC are available on the SEC’s XXXXX system at xxxx://xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html. The Form MA and the Form MA-I include information regarding legal events and disciplinary history about municipal advisor firms and their personnel, including information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The SEC permits certain items of information required on Form MA or MA-I to be provided by reference to such required information already filed by Xxxxx Xxxxxxx in its capacity as a broker-dealer on Form BD or Form U4 or as an investment adviser on Form ADV, as applicable. Information provided by Xxxxx Xxxxxxx on Form BD or Form U4 is publicly accessible through reports generated by BrokerCheck at xxxx://xxxxxxxxxxx.xxxxx.xxx, and Xxxxx Xxxxxxx’x most recent Form ADV is publicly accessible at the Investment Adviser Public Disclosure website at xxxx://xxx.xxxxxxxxxxx.xxx.xxx. For purposes of accessing such BrokerCheck reports or Form ADV, Xxxxx Xxxxxxx’x CRD number is 665.
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How to Access Form MA and Form MA-I Filings. Xxxxxxxx’ most recent Form MA and each most recent Form MA-I filed with the SEC are available on the SEC’s XXXXX system at xxxxx://xxx.xxx.xxx/cgi-bin/browse- xxxxx?action=getcompany&CIK=0000757657&owner=include&count=40&hidefilings=0. The SEC permits certain items of information required on Form MA or MA-I to be provided by reference to information already filed by Xxxxxxxx in its capacity as a broker-dealer on Form BD or Form U4 or as an investment adviser on Form ADV, as applicable. Information provided by Xxxxxxxx on Form BD or Form U4 is publicly accessible through reports generated by BrokerCheck at xxxx://xxxxxxxxxxx.xxxxx.xxx, and Xxxxxxxx’ most recent Form ADV is publicly accessible at the Investment Adviser Public Disclosure website at xxxx://xxx.xxxxxxxxxxx.xxx.xxx. For purposes of accessing such BrokerCheck reports or Form ADV, Xxxxxxxx’ CRD number is 3496.
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How to Access Form MA and Form MA-I Filings. Municipal Advisor’s most recent Form MA and each most recent Form MA-I filed with the SEC are available on the SEC’s XXXXX system. For purposes of accessing reports, Municipal Advisor’s CIK is 0001733757 and MSRB ID is K1220.
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How to Access Form MA and Form MA-I Filings. The Firm’s most recent Form MA and each most recent Form MA-I filed with the SEC are available on the SEC’s XXXXX system at xxxx://xxx.xxx.xxx/cgi-bin/browse-xxxxx?action=getcompany&CIK=0001616995.
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How to Access Form MA and Form MA-I Filings. The Firm’s most recent Form MA and each most recent Form MA-I filed with the SEC are available on the SEC’s XXXXX system at Forms MA and MA-I. The SEC permits certain items of information required on Form MA or MA-I to be provided by reference to such required information already filed by the Firms in its capacity as a broker-dealer on Form BD or Form U4 or as an investment adviser on Form ADV, as applicable. Information provided by the Firm on Form BD or Form U4 is publicly accessible through reports generated by BrokerCheck at xxxx://xxxxxxxxxxx.xxxxx.xxx/, and the Firm’s most recent Form ADV is publicly accessible at the Investment Adviser Public Disclosure website at xxxx://xxx.xxxxxxxxxxx.xxx.xxx/. For purposes of accessing such BrokerCheck reports or Form ADV, click previous hyperlinks. PART C – MSRB Rule G-10 Disclosure MSRB Rule G-10 covers Investor and Municipal Advisory Client education and protection. This rule requires that municipal advisors make certain disclosures to all municipal advisory clients. This communication is a disclosure only and does not require any action on your part. The disclosures are noted below.
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How to Access Form MA and Form MA-I Filings. Municipal Advisor's most recent Form MA and each most recent Form MA-I filed with the SEC are available on the SEC's XXXXX system at: xxxxx://xxxxxxxxx.xxx.xxx/EDGARFSClient/jsp/EDGAR_MainAccess.jsp?se arch_text=*&sort=Date&formType=1&isAdv=true&stemming=true&numResult s=10&queryCo=Xxxxx%20Financial%20Group&numResults=10
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How to Access Form MA and Form MA-I Filings. The Firm’s most recent Form MA and each most recent Form MA-I filed with the SEC are available on the SEC’s XXXXX system at Forms MA and MA-I. The SEC permits certain items of information required on Form MA or MA-I to be provided by reference to such required information already filed by the Firms in its capacity as a broker-dealer on Form BD or Form U4 or as an investment adviser on Form ADV, as applicable. Information provided by the Firm on Form BD or Form U4 is publicly accessible through reports generated by BrokerCheck at xxxx://xxxxxxxxxxx.xxxxx.xxx/, and the Firm’s most recent Form ADV is publicly accessible at the Investment Adviser Public Disclosure website at xxxx://xxx.xxxxxxxxxxx.xxx.xxx/. For purposes of accessing such BrokerCheck reports or Form ADV, click previous hyperlinks.
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