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Agmt21 William Euphrat Municipal Finance, Inc.
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Agmt21 William Euphrat Municipal Finance, Inc.
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Last modified
1/27/2021 4:08:29 PM
Creation date
1/27/2021 4:06:37 PM
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Agreement
Contractor Name
William Euphrat Municipal Finance, Inc.
PROJECT NAME
SVCW loans and bonds municipal advisor
RMP File Number
304.5
Date
1/15/2021
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EXHIBIT "B" <br />REGULATORY DISCLOSURES REQUIRED OF MUNICIPAL ADVISORS <br />PURSUANT TO MUNICIPAL SECURITIES RULEMAKING BOARD ("MSRB") RULES <br />The only compensation to be received by William Euphrat Municipal Finance, Inc. <br />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 William <br />Euphrat Municipal Finance, Inc. to any other party in connection with this 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 any <br />criminal actions, regulatory actions, investigations, terminations, judgments, liens, <br />civil judicial actions, customer complaints, arbitrations and civil litigation in which a <br />registered municipal advisor (form MA) or municipal advisor representative (form <br />MA -1) employed by such municipal advisor has been involved. For free access to <br />the forms MA and MA -1 filed by William Euphrat Municipal Finance, Inc. visit the <br />SEC 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 Public <br />Financing Authority Water Revenue Refunding Bonds, Series 2015 or until such <br />time as the City of Redwood City notifies William Euphrat Municipal Finance, Inc. <br />in writing that the agreement is terminated, whichever shall first 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 authority. <br />The brochure may be accessed at the following web address: <br />http://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-10- <br />10-13-2017.aspx?tab=oi. <br />REV: 12-10-2020 EI <br />ATTY/AGR.2020.292/William Euphrat Municipal Finance, Inc. (Page 14 of 16) <br />
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