Get the free Rule 15c2-12 Filing Cover Sheet - bexar
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This document serves as the annual report for Bexar County, Texas, providing financial information and operating data required for compliance with S.E.C. Rule 15c2-12.
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How to fill out rule 15c2-12 filing cover
How to fill out Rule 15c2-12 Filing Cover Sheet
01
Obtain the Rule 15c2-12 Filing Cover Sheet from the appropriate regulatory authority.
02
Review the instructions provided with the cover sheet carefully.
03
Fill in the issuer's name and other identifying information in the designated fields.
04
Provide the full name and title of the authorized signatory.
05
Enter the date of filing.
06
Include the contact information for inquiries related to the filing.
07
Attach any required supporting documents as specified.
08
Double-check all entries for accuracy and completeness before submission.
09
Submit the completed cover sheet according to the submission guidelines.
Who needs Rule 15c2-12 Filing Cover Sheet?
01
Municipal securities issuers who are required to provide continuing disclosure.
02
Underwriters involved in municipal securities transactions.
03
Investment advisers managing municipal securities.
04
Broker-dealers who handle municipal securities.
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People Also Ask about
What is the SEC Rule 15c 2?
-[2]- Section 15(c)(2) of the Exchange Act prohibits municipal securities dealers from effecting any transaction in, or inducing or attempting to induce the purchase or sale of, any municipal security by means of a "fraudulent, deceptive, or manipulative act or practice," and authorizes the Commission, by rules and
What is the rule 15c2-11 expert market?
The 15c2-11 rule under the Securities Exchange Act of 1934 requires market makers to perform a detailed review of a company's current financial condition and disclosures before quoting its securities on the OTC markets.
What is 15c2-11 quotation medium?
Regulatory Obligations SEA Rule 15c2-11 governs the publication or submission of quotations by broker-dealers in a quotation medium other than a national securities exchange (i.e., the OTC market).
What requirements must be met by the SEC rule 15c2-11?
This narrowed scope responds to commenters' concerns and should reduce compliance costs. HOW RULE 15c2-11 WORKS NOW: Rule 15c2-11 requires market makers to review basic issuer information prior to publishing quotations for that issuer's securities.
What is incurrence of financial obligation?
Incurrence of a financial obligation of the obligated person, if material, or agreement to covenants, events of default, remedies, priority rights, or other similar terms of a financial obligation of the obligated person, any of which affect security holders, if material (emphasis added).
What are the requirements for 15c2 12?
U.S. Securities and Exchange Commission (SEC) Rule 15c2-12 requires dealers, when underwriting certain types of municipal securities, to ensure that the state or local government issuing the bonds enters into an agreement to provide certain information to the Municipal Securities Rulemaking Board (MSRB) about the
What is a continuing disclosure?
Continuing disclosures are intended to assist investors in determining the suitability of a bond, as well as potential risks associated with the credit of the state or local government. This information is prepared by the state or local government or other agencies issuing the bonds.
What is the 15c2 12 rule?
Material events may include rating changes, defeasances, bond calls, and incurrences of financial obligations.
What are the requirements for the SEC Rule 15c2 12?
Specifically, SEC Rule 15c2-12 requires that underwriters of municipal securities, before bidding, purchasing, or selling a municipal security in the primary market, must obtain and review the issuer's preliminary and final official statements and reasonably determine that the issuer has committed to provide continuing
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What is Rule 15c2-12 Filing Cover Sheet?
Rule 15c2-12 Filing Cover Sheet is a form used by underwriters and issuers of municipal securities to provide specific information required by the Securities and Exchange Commission (SEC) related to the offering of such securities.
Who is required to file Rule 15c2-12 Filing Cover Sheet?
Municipal securities issuers and any underwriters involved in the sale of those securities are required to file the Rule 15c2-12 Filing Cover Sheet.
How to fill out Rule 15c2-12 Filing Cover Sheet?
To fill out the Rule 15c2-12 Filing Cover Sheet, one must provide details such as the name of the issuer, the type of security, the date of the filing, and any relevant information regarding the offering and continuing disclosure obligations.
What is the purpose of Rule 15c2-12 Filing Cover Sheet?
The purpose of the Rule 15c2-12 Filing Cover Sheet is to ensure transparency and provide necessary disclosures to investors about the municipal securities being offered, thereby protecting their interests.
What information must be reported on Rule 15c2-12 Filing Cover Sheet?
The Rule 15c2-12 Filing Cover Sheet must report information such as the issuer's name, type of securities, the reason for the filing, and any material events affecting the securities, along with the official statement.
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