Continuing Disclosure Services Sample Clauses

The Continuing Disclosure Services clause outlines the obligations of a party, typically a financial advisor or dissemination agent, to provide ongoing disclosure of certain information after a financial transaction, such as a municipal bond issuance. This clause specifies the types of information that must be disclosed, the frequency and method of disclosure, and the parties to whom the information must be provided, such as investors or regulatory bodies. Its core practical function is to ensure transparency and compliance with legal or regulatory requirements, thereby maintaining investor confidence and market integrity.
Continuing Disclosure Services. In addition to the services provided in Appendix A, Municipal Advisor will provide Continuing Disclosure Services to Client as set forth in Appendix C (“Continuing Disclosure Agreement”) hereto.
View SourceView Similar (3)
Continuing Disclosure Services. Upon receipt of written authorization by the Client to proceed, BTMA shall, based on information supplied by Client, provide continuing disclosure services with respect to specified Debt Obligations for the period of time designated for any such Debt Obligation. In carrying out its duties, BTMA shall do the following:
View SourceView Similar (2)
Continuing Disclosure Services.  Annually review District's Continuing Disclosure requirements  Compile and prepare information for annual Continuing Disclosure requirements, if required  Disseminate to Municipal Securities Rulemaking Board the necessary filings and documentation in order to remain compliant with Continuing Disclosure requirements, if required  Prepare annual California Debt and Investment Advisory Commission (CDIAC) filings required under S.B. 1029, if required Compensation for the Services to be provided to the District by Eastshore Consulting LLC shall be in the amounts detailed below:
View Source
Continuing Disclosure Services. DISSEMINATION AGENT
View Source
Continuing Disclosure Services. In connection with the sale and delivery of certain bonds, notes, certificates, or other municipal obligations (the “Bonds”), Client has made certain undertakings to disclose to the investing public, on a periodic and continuing basis, certain information, as more fully set forth in such undertakings and as contemplated by the provisions of Securities and Exchange Commission Rule 15c2-12, as amended (the “Rule”). Client has agreed to engage Post Oak Municipal Advisors LLC (“Post Oak”) to assist with these continuing disclosure obligations, for the consideration and on the terms and conditions set forth herein, including the preparation and submission of annual reports (the “Annual Reports”) and the reporting of certain specified events (the “Events”), which are set forth in the Client’s undertakings, the Rule and in Subsection 2c. below. The parties agree as follows:
View Source
Continuing Disclosure Services. Consultant shall provide the information and perform the duties relating to continuing disclosure as set forth below:
View Source
Continuing Disclosure Services. 1. Will serve as the Dissemination Agent for the District, prepare and file the Annual Reports, with the Municipal Securities Rulemaking Board ("MSRB") through the MSRB’s Electronic Municipal Market Access system ("EMMA"), pursuant to the District’s Continuing Disclosure Certificate for each General Obligation Bond or other financing obligations issued on or after July 3, 1995. 2. Should the District conclude that a “significant event” has occurred under the terms of an applicable Continuing Disclosure Certificate, file a report of that event with ▇▇▇▇ on behalf of the District. 3. Certify to the District that the annual report was submitted as required to EMMA, and provide the District with a copy of the annual report itself.
View Source
Continuing Disclosure Services. I. The Issuer’s Disclosure Agent will assist the Issuer in meeting the secondary market disclosure obligations delineated in relevant CDAs as specified under the Rule, including any required posting of material event (“Event”) notice. The Issuer understands and acknowledges that its full cooperation is requisite to the Disclosure Agent’s success assisting the Issuer in maintaining compliance with its CDAs and requirements of the Rule. The Issuer agrees that it will: i. Supply all documents required to be filed under its CDAs to the Disclosure Agent promptly, when available. ii. Notify the Disclosure Agent immediately of any Event requiring the filing of a notice under the Rule or its CDAs.
View Source
Continuing Disclosure Services. I. The Issuer's Disclosure Agent will assist the Issuer in meeting the secondary market disclosure obligations delineated in relevant CDAs and as specified under the Rule, including any required posting of any material event ("Event") notices. The Issuer understands and acknowledges that its full cooperation is requisite to the Disclosure Agent's success assisting the Issuer in maintaining compliance with its CDAs and requirements of the Rule. The Issuer agrees that it will: i. Supply all documents required to be filed under its CDAs to the Disclosure Agent promptly, when available. ii. Notify the Disclosure Agent immediately of any Event requiring the filing of a notice under the Rule or its CDAs. II. This Agreement applies to bonds issued since the effective date of the secondary market disclosure requirements of the Rule, unless said bonds are exempt under the Rule. III. Phoenix Advisors will perform such services relating to its role as the Issuer's Disclosure Agent to a professional standard. Described below is the scope of the Disclosure Agent services and methodology: i. Codify Issues That Are Subject to Continuing Disclosure
View Source

Related to Continuing Disclosure Services

  • CONFIDENTIALITY AND NON-DISCLOSURE; SECURITY BREACH REPORTING 2.1 For purposes of this Contract, confidential information will not include information or material which (a) enters the public domain (other than as a result of a breach of this Contract); (b) was in the receiving party’s possession prior to its receipt from the disclosing party; (c) is independently developed by the receiving party without the use of confidential information; (d) is obtained by the receiving party from a third party under no obligation of confidentiality to the disclosing party; or (e) is not exempt from disclosure under applicable State law.

  • Continuing Disclosure The City hereby covenants and agrees that it will comply with and carry out all of the provisions of its Continuing Disclosure Certificate (the “Continuing Disclosure Certificate”) to be executed and delivered on the date of issuance and delivery of the Bonds. Notwithstanding any other provision of this Contract, failure of the City to comply with the Continuing Disclosure Certificate shall not be considered an Event of Default hereunder; however, any Bondholder may take such actions as may be necessary and appropriate, including seeking specific performance by court order, to cause the City to comply with its obligations under this Section 10.07.

  • Transactions Requiring Disclosure to FINRA 2.17.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or to the Company’s knowledge, assuming reasonable inquiry, any Insider that may affect the Underwriters’ compensation, as determined by FINRA.

  • Transactions Affecting Disclosure to Nasd 2.18.1 Finder’s Fees. There are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Existing Stockholder with respect to the sale of the Securities hereunder or any other arrangements, agreements or understandings of the Company or any Existing Stockholder that may affect the Underwriters’ compensation, as determined by the NASD.

  • Disclosure to FERC its Staff, or a State. Notwithstanding anything in this Article 22 to the contrary, and pursuant to 18 C.F.R. section 1b.20, if FERC or its staff, during the course of an investigation or otherwise, requests information from one of the Parties that is otherwise required to be maintained in confidence pursuant to this Agreement or the NYISO OATT, the Party shall provide the requested information to FERC or its staff, within the time provided for in the request for information. In providing the information to FERC or its staff, the Party must, consistent with 18 C.F.R. section 388.112, request that the information be treated as confidential and non-public by FERC and its staff and that the information be withheld from public disclosure. Parties are prohibited from notifying the other Parties to this Agreement prior to the release of the Confidential Information to the Commission or its staff. The Party shall notify the other Parties to the Agreement when it is notified by FERC or its staff that a request to release Confidential Information has been received by FERC, at which time the Parties may respond before such information would be made public, pursuant to 18 C.F.R. section 388.112. Requests from a state regulatory body conducting a confidential investigation shall be treated in a similar manner if consistent with the applicable state rules and regulations. A Party shall not be liable for any losses, consequential or otherwise, resulting from that Party divulging Confidential Information pursuant to a FERC or state regulatory body request under this paragraph.