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RULE 15c212 FILING COVER SHEET This cover sheet is sent with all submissions to the Municipal Securities Rule making Board (the Nationally Recognized Municipal Securities Information Repository) and

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How to fill out 1 rule 15c2-12 filing

01

To fill out a Rule 15c2-12 filing, follow these steps:

02

Gather all relevant documentation and information related to the filing, such as the bond offering documents, issuer information, and other required disclosures.

03

Prepare a cover sheet with the necessary details, including the issuer's name, contact information, and the purpose of the filing.

04

Complete Form G-32, which is used to report information regarding the primary offering and continuing disclosure obligations.

05

Provide information on the material events disclosure obligations by filling out Form G-36.

06

Include any additional disclosures or information required by the Municipal Securities Rulemaking Board (MSRB) or state regulations.

07

Review the completed filing for accuracy and make any necessary corrections.

08

Submit the filing electronically through the Electronic Municipal Market Access (EMMA) system or as specified by the relevant regulatory authority.

09

Keep a copy of the completed filing for your records.

Who needs 1 rule 15c2-12 filing?

01

Rule 15c2-12 filing is required for certain market participants involved in municipal securities offerings or transactions.

02

Specifically, underwriters, brokers, dealers, and municipal advisors who engage in transactions subject to the Securities and Exchange Commission (SEC) Rule 15c2-12 must file certain materials and disclosures.

03

Issuers of municipal securities are also responsible for complying with Rule 15c2-12 filing requirements.

04

Therefore, anyone involved in the issuance or transactions of municipal securities should determine if they fall under the regulatory obligations of Rule 15c2-12 filing.

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What is 1 rule 15c2-12 filing?

1 rule 15c2-12 filing refers to submitting disclosure documents by municipal securities issuers or obligated persons before selling municipal securities in the market.

Who is required to file 1 rule 15c2-12 filing?

Municipal securities issuers or obligated persons are required to file 1 rule 15c2-12 filing.

How to fill out 1 rule 15c2-12 filing?

1 rule 15c2-12 filing can be filled out by providing the required information and documents as per the SEC guidelines.

What is the purpose of 1 rule 15c2-12 filing?

The purpose of 1 rule 15c2-12 filing is to provide investors with essential information about municipal securities offerings.

What information must be reported on 1 rule 15c2-12 filing?

1 rule 15c2-12 filing must include information about the issuer, the securities being offered, financial statements, and other material information.

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