Taking Care of Business

Our Continuing Disclosure Services help issuers and obligated persons to handle the practical effect of SEC Rule 15c2-12. This rule states that the issuer and obligated persons are responsible for the following requirements:

• To prepare the annual reports and any material event notices
• To file annual reports by the deadline contained in the CDA
• If any of the eleven events specified in SEC Rule 15c2-12 occur and is material, you must file a notice about it as soon as practical
• To file the annual reports and material event notices with each of the required repositories
• To be certain that in addition to the information you specifically agreed in the CDA to provide the annual report (and any material event notice) does not omit any information necessary to make the included information not misleading in any material respect
• To keep for at least six years an accurate record of the information that was disseminated

We’ve established practices and procedures to ensure that issuers meet their continuing disclosure requirements as set forth in their CDA’s. As with our arbitrage rebate practice, which provides annual rebate services to more than 8000 bond issuers, BLX expertise in continuing disclosure has allowed us to continue to provide issuers and obligated persons with a quality product that meets continuing disclosure obligations at a cost effective price.

To find out more about Continuing Disclosure Services, please contact us at:
Phone: 213.612.2209
Email: jhiggins@blxgroup.com