Laserfiche WebLink
Exhibit B <br />Regulatory Disclosures Required of Municipal Advisors Pursuant to MSRB Rule <br />G-42 <br />1. The only compensation to be received by William Euphrat Municipal Finance, <br />Inc. in connection with this engagement shall be that specified in section 6 of this <br />Agreement. No compensation, either direct or indirect, shall be charged by <br />William Euphrat Municipal Finance, Inc. to any other party in connection with this <br />financing. <br />2. A statement of conflicts of interest is attached as Exhibit "C" to this Agreement <br />3. The SEC requires that that registered municipal advisors disclose legal and <br />disciplinary events on forms MA and MA -1 and files such forms with the SEC. <br />These forms include information regarding any criminal actions, regulatory <br />actions, investigations, terminations, judgments, liens, civil judicial actions, <br />customer complaints, arbitrations and civil litigation in which a registered <br />municipal advisor (form MA) or municipal advisor representative (form MA -1) <br />employed by such municipal advisor has been involved. For free access to the <br />forms MA and MA -1 filed by William Euphrat Municipal Finance, Inc. visit the SEC <br />web page, https://www.sec.gov/edgar/searchedgar/companysearch.htmI and <br />search the name, William Euphrat Municipal Finance. <br />4. There have been no changes or additions to the legal or disciplinary event <br />disclosures on the forms MA and MA -1 on file with the SEC. <br />5. The scope of municipal advisory services to be performed under this agreement <br />are included as Exhibit "A" to this Agreement. <br />6. The term of this agreement is specified in section 3 of this Agreement. This <br />Agreement shall remain in effect until the closing of the City of Redwood City <br />Public Financing Authority Water Revenue Refunding Bonds, Series 2015 or until <br />such time as the City of Redwood City notifies William Euphrat Municipal <br />Finance, Inc. in writing that the agreement is terminated, whichever shall first <br />occur. <br />REV: 12-07-16 JS <br />ATTY/AGR/2016.324 EUPHRAT PFA WATER BOND REFUNDING 2017 <br />Page 11 of 14 <br />