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This document serves as a cover sheet for submissions to the Municipal Securities Rulemaking Board and related state information depositories in compliance with SEC 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
Start by downloading the RULE 15c2-12 FILING COVER SHEET from the appropriate regulatory website.
02
Fill in the issuer's name and address in the designated fields.
03
Provide the date of the filing at the top of the form.
04
Specify the type of document being filed (e.g., annual financial report, event notice).
05
Include the CUSIP number for the security related to the filing.
06
Indicate whether the filing is a continuation or an amendment of a previous filing.
07
Sign and date the form as required, ensuring all information is accurate and complete.
08
Submit the completed form according to the designated submission guidelines.
Who needs RULE 15c2-12 FILING COVER SHEET?
01
Municipal issuers and underwriters involved in the issuance of municipal securities.
02
Entities that need to disclose material events and ongoing financial information to comply with SEC regulations.
03
Financial professionals and advisors who are responsible for reporting under the SEC's Rule 15c2-12.
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What is RULE 15c2-12 FILING COVER SHEET?
The RULE 15c2-12 FILING COVER SHEET is a document required by the U.S. Securities and Exchange Commission (SEC) for the disclosure of certain information related to municipal securities. It serves as a cover sheet for submissions regarding continuing disclosure obligations under Rule 15c2-12.
Who is required to file RULE 15c2-12 FILING COVER SHEET?
Entities such as municipal issuers, underwriters, and other obligated persons are required to file the RULE 15c2-12 FILING COVER SHEET when they are submitting continuing disclosure information concerning municipal securities.
How to fill out RULE 15c2-12 FILING COVER SHEET?
To fill out the RULE 15c2-12 FILING COVER SHEET, the filer must provide information such as the issuer's name, security type, CUSIP number, the date of the filing, description of the event or information being reported, and any other relevant details regarding the continuing disclosure.
What is the purpose of RULE 15c2-12 FILING COVER SHEET?
The purpose of the RULE 15c2-12 FILING COVER SHEET is to ensure that investors are provided with timely and accurate information regarding changes that may affect the value of municipal securities, thereby promoting transparency in the municipal securities market.
What information must be reported on RULE 15c2-12 FILING COVER SHEET?
Information that must be reported on the RULE 15c2-12 FILING COVER SHEET includes the name of the issuer, the CUSIP number of the securities, the type of filing (event-based or annual), a brief description of the event or information being disclosed, and the date of the filing.
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