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Registration Requirements Guide for Issuers, Obligors and Agents

Organization Definition

  • Issuer - A state, political subdivision, municipality, or governmental agency or authority that raises funds through the sale of Municipal Securities.
  • Obligor - A party having a financial obligation or arrangement to make the payment of all or part of debt service on municipal securities.
  • Agent - An organization that intends to make data or disclosure submissions on behalf of a Dealer, Issuer or Obligor.

Registration Requirements

Issuer or Obligor

Agent

Organization Name

You must register under your Issuer or your Obligor organization name

You must register under your organization name

 

 

 

Documents Required to Register

Document 1
Your organization's federal tax EIN number on your company's letterhead.

Document 2
The first page of the official statement listing your organization as the issuer or obligor.

Or

State tax document (i.e., Form W-9.) for your organization.

Note: Do NOT submit sensitive documentation when registering (i.e., driver's license, banking information, documents with social security number, personal tax return, etc.)

 

Document 1
Your organization's federal tax EIN number on your company's letterhead.

Document 2
A document on letterhead from the issuer/Obligor's organization, stating that you will be filing on their behalf. The document must also list the following contact information from the issuer/obligor, a person's full name, title, telephone number, email address, and their signature.

Or

A signed continuing disclosure agreement with the issuer/obligor.

Note: Do NOT register under the name of the Issuer or the Obligor that you will be filing on behalf of.

 

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