Get the free RULE 15c2-12 FILING COVER SHEET City of Garland, Texas

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RULE 15c212 FILING COVER SHEET This cover sheet is sent with all submissions to the Municipal Securities Rule making Board's Electronic Municipal Market Access (“EMMA “) pursuant to Securities

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How to fill out rule 15c2-12 filing cover

01

Begin by obtaining a copy of the rule 15c2-12 filing cover form.

02

Fill in the applicant's name, address, and contact information in the designated fields.

03

Provide the name and contact information of the applicant's legal representative, if applicable.

04

Enter the bond or debt issuance details, including the issuer's name, description of the securities being issued, and the anticipated offering date.

05

Specify the purpose of the filing and any relevant supporting documentation.

06

Review your completed form for accuracy and completeness.

07

Sign and date the form, acknowledging that all the information provided is true and accurate.

08

Submit the filled-out rule 15c2-12 filing cover form to the appropriate regulatory authority.

Who needs rule 15c2-12 filing cover?

01

Rule 15c2-12 filing cover is required for any municipal securities dealer or broker that engages in the sale of municipal securities subject to the Securities and Exchange Commission (SEC) rule 15c2-12. This rule requires market participants to submit specific information about bond or debt issuances for the benefit of investors and regulatory compliance.

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What is rule 15c2-12 filing cover?

The Rule 15c2-12 filing cover is a document used to provide important information and details about the municipal securities being offered or sold, ensuring compliance with the disclosure requirements under the Municipal Securities Rulemaking Board (MSRB).

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

Under Rule 15c2-12, underwriters of municipal securities are required to file the cover, along with the issuer or obligated person, to ensure proper disclosure of material information to investors.

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

To fill out the Rule 15c2-12 filing cover, one must provide details such as the name of the issuer, a description of the security, relevant dates, and any financial or operational information pertinent to investors, following the MSRB guidelines.

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

The purpose of the Rule 15c2-12 filing cover is to ensure that municipal securities dealers and investors receive critical and timely information about the securities offered, aiding transparency and informed decision-making.

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

Key information that must be reported on the Rule 15c2-12 filing cover includes the issuer's identity, security description, names of the underwriters, and any material events that could affect the securities.

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