Common use of Required Regulatory Disclosures Clause in Contracts

Required Regulatory Disclosures. Munistat is registered as a “Municipal Advisor” pursuant to Section 15B of the Securities Exchange Act and rules and regulations adopted by the United States Securities and Exchange Commission (“SEC”) (Registration #867-00429) and the Municipal Securities Rulemaking Board (“MSRB”) (Registration #K0114). As part of this SEC registration Munistat is required to disclose to the SEC information regarding criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation involving Xxxxxxxx. Pursuant to MSRB Rule G-42, Munistat is required to disclose any legal or disciplinary event that is material to the Village’s evaluation of Munistat or the integrity of its management or advisory personnel. Munistat has determined that no such event exists. Copies of Munistat’s filings with the United States Securities and Exchange Commission can currently be found by accessing the SEC’s XXXXX system Company Search Page which is currently available at xxxxx://xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html and searching for either “Munistat Services Inc.” or for our CIK number which is 0001608472. The MSRB has made available on its website (xxx.xxxx.xxx) a municipal advisory client brochure that describes the protections that may be provided by MSRB rules and how to file a complaint with the appropriate regulatory authority.

Required Regulatory Disclosures. Munistat is registered as a “Municipal Advisor” pursuant to Section 15B of the Securities Exchange Act and rules and regulations adopted by the United States Securities and Exchange Commission (“SEC”) (Registration #867-00429) and the Municipal Securities Rulemaking Board (“MSRB”) (Registration #K0114). As part of this SEC registration Munistat is required to disclose to the SEC information regarding criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation involving Xxxxxxxx. Pursuant to MSRB Rule G-42, Munistat is required to disclose any legal or disciplinary event that is material to the VillageTown’s evaluation of Munistat or the integrity of its management or advisory personnel. Munistat has determined that no such event exists. Copies of Munistat’s filings with the United States Securities and Exchange Commission can currently be found by accessing the SEC’s XXXXX system Company Search Page which is currently available at xxxxx://xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html and searching for either “Munistat Services Inc.” or for our CIK number which is 0001608472. The MSRB has made available on its website (xxx.xxxx.xxx) a municipal advisory client brochure that describes the protections that may be provided by MSRB rules and how to file a complaint with the appropriate regulatory authority.

Required Regulatory Disclosures. Munistat is registered as a “Municipal Advisor” pursuant to Section 15B of the Securities Exchange Act and rules and regulations adopted by the United States Securities and Exchange Commission (“SEC”) (Registration #867-00429) and the Municipal Securities Rulemaking Board (“MSRB”) (Registration #K0114). As part of this SEC registration Munistat is required to disclose to the SEC information regarding criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation involving XxxxxxxxMunistat. Pursuant to MSRB Rule G-42, Munistat is required to disclose any legal or disciplinary event that is material to the VillageIssuer’s evaluation of Munistat or the integrity of its management or advisory personnel. Munistat has determined that no such event exists. Copies of Munistat’s filings with the United States Securities and Exchange Commission can currently be found by accessing the SEC’s XXXXX system Company Search Page which is currently available at xxxxx://xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html and searching for either “Munistat Services Inc.” or for our CIK number which is 0001608472. The MSRB has made available on its website (xxx.xxxx.xxx) a municipal advisory client brochure that describes the protections that may be provided by MSRB rules and how to file a complaint with the appropriate regulatory authority.

Required Regulatory Disclosures. Munistat is registered as a “Municipal Advisor” pursuant to Section 15B of the Securities Exchange Act and rules and regulations adopted by the United States Securities and Exchange Commission (“SEC”) (Registration #867-00429) and the Municipal Securities Rulemaking Board (“MSRB”) (Registration #K0114). As part of this SEC registration Munistat is required to disclose to the SEC information regarding criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation involving XxxxxxxxMunistat. Pursuant to MSRB Rule G-42, Munistat is required to disclose any legal or disciplinary event that is material to the VillageDistrict’s evaluation of Munistat or the integrity of its management or advisory personnel. Munistat has determined that no such event exists. Copies of Munistat’s filings with the United States Securities and Exchange Commission can currently be found by accessing the SEC’s XXXXX system Company Search Page which is currently available at xxxxx://xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html and searching for either “Munistat Services Inc.” or for our CIK number which is 0001608472. 0001608472 The MSRB has made available on its website (xxx.xxxx.xxx) a municipal advisory client brochure that describes the protections that may be provided by MSRB rules and how to file a complaint with the appropriate regulatory authority.

Required Regulatory Disclosures. Munistat is registered as a “Municipal Advisor” pursuant to Section 15B of the Securities Exchange Act and rules and regulations adopted by the United States Securities and Exchange Commission (“SEC”) (Registration #867-00429) and the Municipal Securities Se- curities Rulemaking Board (“MSRB”) (Registration #K0114). As part of this SEC registration Munistat is required to disclose to the SEC information regarding criminal actions, regulatory actionsac- tions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation involving XxxxxxxxMunistat. Pursuant to MSRB Rule G-42, Munistat is required to disclose any legal or disciplinary event that is material to the VillageDistrict’s evaluation of Munistat or the integrity of its management or advisory personnel. Munistat has determined that no such event exists. Copies of Munistat’s filings with the United States Securities and Exchange Commission can currently be found by accessing the SEC’s XXXXX system Company Search Page which is currently available at xxxxx://xxx.xxx.xxx/xxxxx/searchedgar/companysearch.html xxxxx://xxx.xxx.xxx/xxxxx/searchedgar/ companysearch.html and searching for either “Munistat Services Inc.” or for our CIK number which is 0001608472. The MSRB has made available on its website (xxx.xxxx.xxx) a municipal advisory client brochure that describes the protections that may be provided by MSRB rules and how to file a complaint with the appropriate regulatory authority.