Disclosures
At Nickel Hayden, we are a registered municipal advisor under the purview of the U.S. Securities and Exchange Commission ("SEC") and operate in accordance with the regulations established by the Municipal Securities Rulemaking Board ("MSRB"). Our operations are overseen by the SEC and guided by the rules of the MSRB, ensuring compliance in our municipal advisory activities. To access more information about the SEC, kindly visit www.sec.gov, and to learn more about the MSRB, please explore www.msrb.org. For insights into the safeguards provided by MSRB rules and procedures for raising concerns with the MSRB or the SEC, you can consult a comprehensive brochure available on the MSRB website.
01
Conflict of Interest
Nickel Hayden affirms that in conjunction with the issuance of municipal securities, it may receive compensation from an Issuer or Obligated Person for services rendered. This compensation may be contingent upon the successful closure of a transaction and/or proportional to the transaction's size. Adhering to the stipulations of MSRB Rule G-42, Nickel Hayden hereby acknowledges that such contingent and/or transactional compensation could introduce a potential conflict of interest with regards to providing impartial advice on entering into such transactions. Despite this potential conflict, Nickel Hayden assures that its capacity to offer impartial and capable guidance remains intact, along with fulfilling its fiduciary obligation to the Issuer. Should Nickel Hayden become aware of any additional potential or actual conflicts of interest after this disclosure, comprehensive details will be communicated in writing to the Issuer in a timely manner.
02
Legal Disclosure
Nickel Hayden affirms its unblemished record, free from any legal events or disciplinary history on NHA's Form MA and Form MA-I. This comprehensive record includes criminal actions, regulatory investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations, and civil litigation. You can conveniently access the most recent Form MA and each Form MA-I filed with the SEC by Nickel Hayden at www.sec.gov/edgar/searchedgar/companysearch.html. No substantial modifications have occurred in the disclosure of legal or disciplinary events on any submitted Form MA or Form MA-I. In the event of any significant legal or regulatory action against Nickel Hayden, a thorough and detailed disclosure will be furnished to the Issuer, empowering them to conduct a comprehensive evaluation of Nickel Hayden, its management, and its personnel.