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This document outlines the responsibilities of the Florida Atlantic University Board of Trustees, the University as the Dissemination Agent, and The FAU Finance Corporation regarding the disclosure
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How to fill out continuing disclosure undertaking
How to fill out Continuing Disclosure Undertaking
01
Gather necessary financial and operational information regarding the issuer.
02
Review the specific requirements outlined by the applicable securities regulations.
03
Draft the Continuing Disclosure Undertaking, ensuring it complies with legal standards.
04
Include details about the frequency and manner of information dissemination.
05
Obtain necessary approvals from the issuer’s governing body or legal counsel.
06
File the completed Continuing Disclosure Undertaking with the relevant regulatory agency.
07
Ensure ongoing compliance by updating the undertaking as necessary.
Who needs Continuing Disclosure Undertaking?
01
Entities that issue municipal bonds or similar securities.
02
Governmental bodies that are required to provide ongoing financial information.
03
Issuers subject to SEC Rule 15c2-12 or similar regulations.
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People Also Ask about
What requirements must be met by the SEC rule 15c2-11?
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. Market makers must have a reasonable basis for believing that the information is accurate and from reliable sources.
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 a dissemination agent?
A firm or company engaged to assist the Issuer or the Borrower in complying with its ongoing continuing disclosure obligations. A Dissemination Agent may be engaged to assist the Issuer or Borrower in complying with its ongoing continuing disclosure obligations.
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 12 disclosure?
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
What is the continuing disclosure rule 15c2 12?
SEC Rule 15c2-12 ensures municipal securities issuers enter into agreements to provide certain information to the MSRB about their securities on an ongoing basis.
What is a continuing disclosure agreement?
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 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
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What is Continuing Disclosure Undertaking?
A Continuing Disclosure Undertaking is a commitment by an issuer or obligated person to provide ongoing disclosures about the financial and operational status of a municipal bond or other securities to ensure transparency for investors.
Who is required to file Continuing Disclosure Undertaking?
Typically, issuers of municipal securities or obligated persons associated with those securities are required to file a Continuing Disclosure Undertaking, particularly those that fall under the SEC Rule 15c2-12.
How to fill out Continuing Disclosure Undertaking?
To fill out a Continuing Disclosure Undertaking, the issuer must specify the types of information they will provide, the timeframes for disclosures, and any designated repositories or platforms where the information will be made available.
What is the purpose of Continuing Disclosure Undertaking?
The purpose of a Continuing Disclosure Undertaking is to provide investors with timely, reliable information concerning the issuer's financial health and operation, promoting transparency and informed investment decisions.
What information must be reported on Continuing Disclosure Undertaking?
Information that must be reported includes annual financial statements, material events affecting security performance, changes in financial condition, and any other information that may be deemed significant to investors.
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