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Annual Financial Disclosure Filing Joseph P. Cuetara, Senior Vice President (617) 314-0258

Annual Financial Disclosure Filing Joseph P. Cuetara, Senior Vice President (617) 314-0258 www.moorscabot.com. The Rule

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Annual Financial Disclosure Filing Joseph P. Cuetara, Senior Vice President (617) 314-0258

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  1. Annual Financial Disclosure Filing Joseph P. Cuetara, Senior Vice President (617) 314-0258 www.moorscabot.com

  2. The Rule The Securities Exchange Commission’s Rule 15c2-12 (the “Rule”) requires municipal issuers for issues sold after July 3, 1995 to covenant to provide certain financial information and operating data relating to the Rule by not later than 270 days after the end of each fiscal year and/or to provide notices of the occurrence of certain enumerated events, if material. Note that as of on and after July 1, 2009 these filings: (a) No longer go to a NRMSIR (nationally recognized municipal securities information repository) or state information depository (“SID”); (b) Are filed to the Municipal Securities Rulemaking Board (“MSRB”) through its Electronic Municipal Market Access System (“EMMA”), a facility of the MSRB; and (c)Continuing disclosure documents will only be accepted electronically as “pdf”, word-searchable files.

  3. Hint #1! • Submitters to the continuing disclosure service must be registered in the MSRB Gateway (see http://www.msrb.org/msrb1/emma/pdfs/EMMACDManual.pdf EMMA) or the website at www.emma.msrb.org. • “unconfirmed” indicates that the filer (you) had not (and continue to not) be confirmed by a sponsor (e.g., your FA) when you set up your initial registration. Once you are “confirmed” the “unconfirmed” updates and goes away. • Go to LOGIN; login; click on “account & organizational management”; click on “add/remove roles”; look for and click “restart confirmation process …”; put your FA’s email address in as a “confirmed” user; a confirmation comes to them; they accept; and you are now among the “confirmed”!

  4. Hint #2 -Reference base CUSIP (first six alpha-numeric symbols (ONLY!) in the assignment) in all correspondence.

  5. Hint #3!–  “Select all issues for issuer”

  6. Hint #4 – Hit “Preview” (or it won’t go any further!)

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