Legal Events and Disciplinary History. Consultant does not have any legal events and disciplinary history on its Form MA and Form MA‐I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations, and civil litigation. The District may electronically access Consultant’s most recent Form MA and each most recent Form MA‐ I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA‐I filed with the SEC.
Legal Events and Disciplinary History. A regulatory disclosure action has been made on MFSOK’s Form MA and on Form MA-I for two of MFSOK’s municipal advisory personnel relating to a 2017 U.S. Securities and Exchange Commission (“SEC”) order. The details of which are available in Item 9; C (2), C (4), C (5) and the corresponding regulatory action DRP section on Form MA and Item 6: C (2), C (4), C (5), C (6) and the corresponding regulatory action DRP section on Form MA-I for both Xxxx X. Xxxxx and Xxx Xxxxx. In addition, the Oklahoma Department of Securities adopted the above proceedings which are identified in Item 9; D (2), D (4) and the corresponding regulatory action DRP section on Form MA. The Client may electronically access MFSOK’s most recent Form MA and each most recent Form MA- I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html. There has been no change to any legal or disciplinary event that has been disclosed on MFSOK’s SEC registration for MA filings since December 18, 2017.
Legal Events and Disciplinary History. CONSULTANT does not have any legal events and disciplinary history on its Form MA and Form MA-I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The KFPD may electronically access CONSULTANT’ most recent Form MA and each most recent Form MA-I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC.
Legal Events and Disciplinary History. MA does not have any legal events and disciplinary history on their Form MA and Form MA-I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The Agency may electronically access MA’s most recent Forms MA and each most recent Forms MA-I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html. There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC. Registration and Customer Complaints Pursuant to Municipal Securities Rulemaking Board Rule G-10, on Investor and Municipal Advisory Client Education and Protection, Municipal Advisors are required to provide certain written information to their municipal entity and obligated person clients which include the following: • Del Rio Advisors, LLC is currently registered as a Municipal Advisor with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board. Within the Municipal Securities Rulemaking Board (“MSRB”) website at xxx.xxxx.xxx, the Agency may obtain the Municipal Advisory client brochure that is posted on the MSRB website. The brochure describes the protections that may be provided by the MSRB Rules along with how to file a complaint with financial regulatory authorities.
Legal Events and Disciplinary History. MFSOK does not have any legal events and disciplinary history on its Form MA and Form MA-I, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. The District may electronically access MFSOK’s most recent Form MA and each most recent Form MA-I filed with the Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html. There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC.
Legal Events and Disciplinary History. Xxxx Xxxxxxxxxxx does not have any legal events and disciplinary history on its Form MA and Form MA-I’s, which includes information about any criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation. Issuer may electronically access the Municipal Advisor’s most recent Form MA and each most recent Form MA-I filed with the Securities and Exchange Commission at the following website: xxx.xxx.xxx/xxxxx/searchedgar/companysearch.htm There have been no material changes to a legal or disciplinary event disclosure on any Form MA or Form MA-I filed with the SEC. XI. MSRB RULE G-10 DISCLOSURE Pursuant to Municipal Securities Rulemaking Board Rule G-10, on Investor and Municipal Advisory Client Education and Protection, Municipal Advisors are required to provide certain written information to their municipal entity and obligated person clients which include the following: • Xxxx Xxxxxxxxxxx is currently registered as a Municipal Advisor with the U.S. Securities and Exchange Commission and the Municipal Securities Rulemaking Board. • Within the Municipal Securities Rulemaking Board (“MSRB”) website at xxx.xxxx.xxx, The Housing Finance Authority of Hillsborough County may obtain the Municipal Advisory client brochure that is posted on the MSRB website. The brochure describes the protections that may be provided by the MSRB Rules along with how to file a complaint with financial regulatory authorities. ATTEST: XXXX XXXXXXXXXXX By: Xxxx Xxxxxxxxxxx Witness Authorized Signature Title Witness ACCEPTED: HOUSING FINANCE HFA OF HILLSBOROUGH COUNTY Date BY: Xxxxx X. Xxxxxxx, Chairman Date Approved by General Counsel By: Approved as To Form And Legal Sufficiency Xxxx Xxxxx Xxxxxx, County Attorney EXHIBIT A Additional Duties of DIRECTOR
