Common use of How to Access Form MA and Form MA-I Filings Clause in Contracts

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.

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 providedby 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.