First Southwest Company is one of the only financial advisory firms in the nation to offer a separate, full-time staff dedicated to helping municipal clients meet the industry’s increasingly important continuing disclosure requirements.

With one of the most experienced continuing disclosure staffs in the industry, First Southwest Disclosure Services professionals are well versed in all aspects of the municipal bond industry. First Southwest files nearly 600 reports for more than 500 clients annually.

First Southwest is one of the few practices in the industry to actively help clients meet the requirements set forth in U.S. Securities and Exchange Commission Rule 15c2-12. First Southwest works closely with clients to prepare and file the appropriate reports, while most other services only disseminate the required information.

First Southwest Disclosure Service’s timely and accurate filings help ensure issuers continued access to capital markets, and more importantly, a low cost of financing.

Scope of Services

First Southwest Disclosure Services:
• Reviews past continuing disclosure filings and obligations
• Advises on issuer disclosure undertakings
• Monitors certain material events
• Prepares and files material event notices
• Prepares and files annual reports
• Stays abreast of industry regulations

First Southwest uses superior proprietary software to track:
• Compliance status of each issuer
• Annual filing requirements and due dates
• Material events such as rating changes and refunded bonds
• Issuances through conduit issuers

Frequently Asked Questions