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AGENDA ITEM:
REGULAR MTG.:NB5a
10/15/15MEMORANDUM
TO:City Commissioner:Denise M. Kirkpatrick, City Chordate:October 5, 2015SUBJECT:BOARD OF FINANCERECOMlIEND:Reappoint members Mark McClintock, David
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What is nb-5a?
Nb-5a is a form used for reporting security-based swaps to the Securities and Exchange Commission (SEC).
Who is required to file nb-5a?
Any person or entity that engages in security-based swaps is required to file nb-5a.
How to fill out nb-5a?
Nb-5a can be filled out electronically through the SEC's EDGAR system.
What is the purpose of nb-5a?
The purpose of nb-5a is to provide transparency and oversight of the security-based swap market.
What information must be reported on nb-5a?
Information such as the terms of the security-based swap, the parties involved, and the risks associated with the swap must be reported on nb-5a.
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