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April 1, 2013, REQUEST FOR UNDERWRITER STATEMENT OF QUALIFICATIONS To Interested Firms: The State Treasurer s Office (STO) is requesting that firms interested in providing municipal bond underwriting

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What is request for underwriter statement?

The request for underwriter statement is a formal document that is filed with the relevant regulatory authority to obtain information and disclosures from the underwriter involved in a particular financial transaction.

Who is required to file request for underwriter statement?

The entity or individual who is responsible for overseeing the financial transaction and ensuring compliance with regulatory requirements is required to file the request for underwriter statement. This could be a regulatory agency, such as the Securities and Exchange Commission, or a self-regulatory organization.

How to fill out request for underwriter statement?

The process for filling out a request for underwriter statement may vary depending on the specific regulatory requirements. In general, the requester will need to provide information about the transaction, identify the underwriter, specify the requested information or disclosures, and submit any necessary supporting documents. It is important to carefully review the applicable regulations and instructions provided by the regulatory authority to ensure compliance with the filing requirements.

What is the purpose of request for underwriter statement?

The purpose of requesting an underwriter statement is to obtain relevant information and disclosures about the underwriter involved in a financial transaction. This allows regulators and other stakeholders to evaluate the underwriter's qualifications, experience, conflicts of interest, and compliance with regulatory requirements. The information obtained through the request for underwriter statement helps to ensure transparency and mitigate potential risks associated with the transaction.

What information must be reported on request for underwriter statement?

The specific information that must be reported on a request for underwriter statement may vary depending on the applicable regulations and the nature of the financial transaction. However, common information that is typically required includes the underwriter's contact information, professional qualifications and experience, any previous disciplinary actions or regulatory sanctions, conflicts of interest, financial stability, and details of the particular transaction in question. It is important to carefully review the filing requirements and instructions provided by the regulatory authority to ensure all necessary information is included.

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