Page 74 - Burleson FY22 City Budget

ATTACHMENT E - SECURITIES LAW COMPLIANCE AND DISCLOSURE POLICY©

TABLE OF CONTENTS
ARTICLE I
PURPOSE AND SCOPE

Section 1.01 Definitions 3
Section 1.02 Purpose of Policy 3
Section 1.03 Scope of Policy 3

ARTICLE II
DEFINITIONS
Section 2.01 Defined Terms 4

ARTICLE III
DISCLOSURE OFFICER; RECORD RETENTION; TRAINING

Section 3.01 Disclosure Officer 6
Section 3.02 Duties of Disclosure Officer 6
Section 3.03 Record Retention 8
Section 3.04 Training 8

ARTICLE IV
ANNUAL DISCLOSURE FILINGS

Section 4.01 Annual Disclosure Filings 8

ARTICLE V
DISCLOSURE FILINGS FOR EVENT NOTICES
Section 5.01 Disclosure Filings for Event Notices 1-14 9
Section 5.02 Event 15: Incurrence of a Material Financial Obligation or Terms Affecting Security Holders 10
Section 5.03 Event 16: Events Reflecting Financial Difficulties of the Obligated Person 14

ARTICLE VI
MISCELLANEOUS
Section 6.01 Annual Review 15
Section 6.02 Amendments to Policy 16

Exhibit A – Lease Agreements Operating as Vehicles to Borrow Money

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