Most Recent Filings with the SEC of Form MA and Forms MA-I.
[Rule G-42(c)(iii) and (iv)]
Form MA. As registered municipal advisor, cfX is obligated to file and update a Form MA, pursuant to which cfX provides information to the SEC about cfX, including identifying information and additional information related to, among other matters: (i) our form of organization, (ii) our municipal advisory business activities, (iii) our other business activities (if any), (iv) the financial industry affiliations of our associated persons, (v) our role and relationships to other parties in soliciting municipal advisory business, (vi) our owners, officers, and control persons, (vii) our disciplinary history of any criminal, regulatory, and civil judicial actions, and (viii) the disciplinary history of each of our associated persons.
Form MA-I. In addition, cfX is obligated to file and update a Form MA-I with respect to each of our associated persons, pursuant to which cfX provides the SEC with information about each such association person (including each cfX employee who undertakes municipal advisory activities other than in a ministerial capacity), including identifying information and additional information related to, among other matters: (i) the employment history of the associated person, (ii) the other business activities of the associated person, and (iii) the disciplinary history of such associated person. Among other matters, the disciplinary history of each associated person will include appropriate: (i) criminal action disclosures, (ii) regulatory action disclosures, (iii) disclosure of investigations, (iv) civil judicial action disclosure, (v) disclosure of customer complaints, arbitration, or civil litigation, (vi) termination disclosure, (vii) financial disclosure, and (viii) judgment or lien disclosure.