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2016-006A
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2016-006A
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Last modified
12/9/2016 3:15:10 PM
Creation date
12/5/2016 9:56:12 AM
Metadata
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Template:
Official Documents
Official Document Type
Agreement
Approved Date
01/19/2016
Control Number
2016-006A
Agenda Item Number
8.D.
Entity Name
FirstSouthwest Division of Hilltop Securities
Subject
Financial Advisory Agreement
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become an obligation of FirstSouthwest, except to the extent <br />specifically provided otherwise in this Agreement or assumed <br />in writing by FirstSouthwest. <br />(3) Assist the staff of the Issuer in the safekeeping of any <br />good faith checks, to the extent there are any such, and <br />provide a cost comparison, for both expenses and interest <br />which are suggested by the underwriters, to the then current <br />market. <br />(4) Advise the Issuer as to the fairness of the price offered <br />by the underwriters. <br />2. Offering Documents. Coordinate the preparation of the notice of sale and <br />bidding instructions, official statement, official bid form and such other <br />documents as may be required and submit all such documents to the <br />Issuer for examination, approval and certification. After such examination, <br />approval and certification, FirstSouthwest shall provide the Issuer with a <br />supply of all such documents sufficient to its needs and distribute by mail <br />or, where appropriate, by electronic delivery, sets of the same to <br />prospective purchasers of the Debt Instruments. Also, FirstSouthwest <br />shall provide copies of the final Official Statement to the purchaser of the <br />Debt Instruments in accordance with the Notice of Sale and Bidding <br />Instructions. <br />3. Credit Ratings. Make recommendations to the Issuer as to the advisability <br />of obtaining a credit rating, or ratings, for the Debt Instruments and, when <br />directed by the Issuer, coordinate the preparation of such information as <br />may be appropriate for submission to the rating agency, or agencies. In <br />those cases where the advisability of personal presentation of information <br />to the rating agency, or agencies, may be indicated, FirstSouthwest will <br />arrange for such personal presentations, utilizing such composition of <br />representatives from the Issuer as may be finally approved or directed by <br />the Issuer. <br />4. Trustee, Paying Agent, Registrar. Upon request, counsel with the Issuer <br />in the selection of a Trustee and/or Paying Agent/Registrar for the Debt <br />Instruments, and assist in the negotiation of agreements pertinent to these <br />services and the fees incident thereto. <br />5. Financial Publications. When appropriate, advise financial publications of <br />the forthcoming sale of the Debt Instruments and provide them with all <br />pertinent information. <br />4 <br />
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