HomeMy Public PortalAbout2021.12.01 G-10 Letter 2021 ZBPF
One South Main Street 18th Floor • Salt Lake City UT • 84133-1109 • Telephone: 801.844.7373 • Fax: 801.844.4484
December 1, 2021
G-10 Disclosure Letter
The Municipal Securities Rulemaking Board (“MSRB”), adopted a revision of its Rule G-10 in which
all Municipal Advisors are now required to send their clients a notice annually which provides
you with information of where you can make formal complaints. You will find our notice below:
Notice Regarding Formal Complaints
Zions Bank Public Finance is registered as a municipal advisor with the SEC (Securities Exchange
Commission) and the MSRB, as required by section 15B of the Securities Exchange Act. The MSRB
protects investors, state and local governments and other municipal entities, and the public
interest, by regulating municipal securities firms, banks and municipal advisors that engage in
municipal securities and advisory activities.
Additional information about the protections provided by MSRB Rules as well as procedures to
file a formal complaint surrounding any suspected violation or unfair practice by a regulated
entity, may be found in the MSRB’s Investor Brochure located at www.msrb.org.
Zions Bank Public Finance appreciates being able to serve you in the capacity of Municipal
Advisor. If there is anything we can do to improve our service to you, please don’t hesitate to
contact me directly at (801) 844-8680 or james.livingston@zionsbancorp.com.
We wish you the very best this holiday season. Thank you, again.
Sincerely,
James Livingston
Director of Municipal & Institutional Services