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Agmt17 William Euphrat Municipal Finance, Inc.
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Agmt17 William Euphrat Municipal Finance, Inc.
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Last modified
12/6/2017 11:07:54 AM
Creation date
12/6/2017 11:07:34 AM
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Agreement
Contractor Name
William Euphrat Municipal Finance, Inc.
PROJECT NAME
SVC 2018 Bonds - Silicon Clean Valley Water (sic)
RMP File Number
304.5
Date
11/21/2017
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Exhibit B <br />Regulatory Disclosures Required of Municipal Advisors Pursuant to Municipal <br />Securities Rulemaking Board ("MSRB") Rules <br />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 Securities and Exchange Commission ("SEC") requires that that registered <br />municipal advisors disclose legal and disciplinary events on forms MA and MA -1 <br />and files such forms with the SEC. These forms include information regarding <br />any criminal actions, regulatory actions, investigations, terminations, judgments, <br />liens, civil judicial actions, customer complaints, arbitrations and civil litigation in <br />which a registered municipal advisor (form MA) or municipal advisor <br />representative (form MA -1) employed by such municipal advisor has been <br />involved. For free access to the forms MA and MA -1 filed by William Euphrat <br />Municipal Finance, Inc. visit the SEC web page, <br />httos://www.sec.oov/edaar/searchedciar/comi)anvsearch.htmi and search the <br />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 />7. William Euphrat Municipal Finance, Inc. is registered as a Municipal Advisor with <br />the SEC and with the MSRB. <br />8. The MSRB has prepared a brochure for municipal advisory clients that is posted <br />on the MSRB website and which describes the protections that may be provided <br />by MSRB rules and how to file a complaint with an appropriate regulatory <br />authority. The brochure may be accessed at the following web address: <br />htto://www.msrb. oro/Rules-and-I nterpretations/MS RB-Rules/General/Rule-G-10- <br />10-13-2017. as ox?ta b=o i . <br />9. The MSRB web address is htto://www.msrb.orq/. <br />10. A municipal advisor must, at or prior to the inception of a municipal advisory <br />relationship, provide the client with a document making full and fair disclosure of <br />all material conflicts of interest, including disclosure of: <br />Page 11 of 15 <br />REV: 11-20-17 VR <br />ATTY/AGR.2017.234/W.Euphrat SVC 2018 Bonds <br />
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