SEC Municipal Advisor Rule - IRMA Exemption Notice

 

The following notice has been prepared and made available by OCII in light of the Securities and Exchange Commission's (SEC) "Municipal Advisor Rule".

Pursuant to SEC Rule 15Ba1-1(d)(3)(vi)(B), OCII will rely on the advice of its registered municipal financial advisors for any bond issuances or other financial activities.

Bond issuance-related proposals or any other financial proposal prepared by broker-dealers for presentation to OCII are required to be provided to at least one registered municipal financial advisor.  OCII has designated Public Financial Management, Inc. to review copies of bond issuance-related proposals or any other financial proposal prepared by broker-dealers for presentation to OCII.

Independent Registered Municipal Advisor (IRMA) Exemption Contact(s):

Public Financial Management

Contact: Bob Gamble

415.982.5544

gambler@pfm.com