529 College Savings Plan Submission Manual
Contents
1. ay Lee Rulenoking Board EMMA Electronic Municipal Market Access The Official Source for Municipal Disclosures and Market Data EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Version 1 2 August 2015 http emma msrb org EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Revision History Version Date Description of Changes 1 1 May Updated manual to reflect the voluntary submissions by 2011 Issuers of Preliminary Official Statements and Pre Sale Documents as well as the submission of Issuer Voluntary Official Statements 1 2 August Updated the Resources and Support section to reflect the 2015 change in hours of operation for Email Support Municipal Securities Rulemaking Board 2 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Resources and Support MSRB Website www msrb org EMMA Website emma msrb org For assistance contact MSRB Support at 202 838 1330 or MSRBsupport msrb org Live Support 7 30 a m 6 30 p m ET Email Support 7 00 a m 7 00 p m ET Municipal Securities Rulemaking Board 1300 Street NW Suite 1000 Washington DC 20005 Tel 202 838 1500 Fax 202 898 1500 Municipal Securities Rulemaking Board 3 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Table of Contents NTE OCU CUION p PAn AEA E E AE bese esea lives teeete E EE E E 5 Part 1 Submission Rights a2. Municipal Securities Rulemaking Board 15 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions EMMA Dataport 529 College Savings Plan You are currently acting on behalf of Select another state Select State Eel The plans shown as modifiable have been disclosed by a dealer or underwriter and may be modified by the same Other plans are listed for reference only Commonwealth of Virginia VA Add New Plan 529 Plan Description State STATE COLLEGE SAVINGS PLAN STATE SAVINGS TRUST FUND Click on the 529 Plan Description to view the Issue Information and Continuing Disclosure Information The Plan tab is pre populated with information from prior 529 plan submissions If the plan description is incorrect change the plan description information EMMA Dataport 529 College Savings Plan You are currently acting on behalf of Dealer XYZ Pee eee ees ae eee OUDMISSION ote IUS plisned pees aay a ade i H Issue Information Please provide the following details CHECK LIST All fields required if applicable for a complete submission For a successful submission you must complete the required State VA information on each of the following tabs Full Issuer Name COMMONWEALTH OF VIGINIA Plan Description STATE COLLEGE SAVINGS PLAN E v Plan Closing Date 08 31 2012 mmiddiyyyy V Document Y Offering Continuing Disclosure Information All fields required if applicable
3. select one im Issuers may submit on a voluntary basis primary market documents and information including Official statements and advance refunding documents These documents may be submitted to update posted documents or add missing documents to the EMMA database Issue related information Information may be reported to remedy certain errors or omissions as well as add plain English descriptions of issues prior to June 1 2009 For issues underwritten after June 1 2009 issuers may report errors by telephone or email to the MSRB Submissions made using this service do not relieve underwriters of their submission obligations relating to official statements and advance refunding documents under MSRB Rule G 32 Municipal Securities Rulemaking Board 29 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Click Create Update next to 529 College Savings Plan When making a submission of a 529 college savings plan disclosure document you use the same link for creating and updating a submission EMMA Dataport Submission Portal BOB DOE email bdoe issuenyz com Continuing Disclosure Voluntary Financial Information Preliminary Official Statement EMMA Rule 15c2 12 amp voluntary Timing GAAP Undertaking amp URL and Pre Sale Documents Trade Monitor Select Organization Issuer XYZ P000258 Submit official statement or related information to make
4. 2014 MSRB Publishes 2013 Annual Report and Audited Financial Statements Wednesday January 08 2014 State and Local Goverments MSRB Seeks Applicants for Board of Directors ae ae Monday January 06 2014 Municipal Securities Dealers MSRB Requests Comment on Continuing Education Proposal for Municipal Securities Dealers bins aia a Friday December 13 2013 ses Municipal Advisors MSRB Engages Market Participants to Improve the EMMA Website and Better Understand Information Needs Wednesday December 11 2013 Log into MSRB Gateway From the MSRB Gateway landing page enter your User ID and Password and click Login Municipal Securities Rulemaking Board MSRB Home Contact and Support Tii MSRB Log into MSRB Gateway Welcome to MSRB Gateway the secure access point for all MSRB applications including EMMA Click here for guidance on user account management and information about the MSRB s Gateway To return to MSRB org from within the MSRB Gateway application click on the MSRB Home link at the top right corner of the page If you are experiencing log in or other system related problems please check the MSRB Systems Status Page for more information If you need additional help please contact the MSRB via email at GatewaySupport msrb org or by phone at 703 797 6668 Password F The MSRB recommends not bookmarking this page Don t have an account Register gt MSRB Gateway Manual Munic
5. Gateway or by their designated agents Individual users must then have the appropriate right assigned to them by their organization s Master Account Administrator in MSRB Gateway For information on how to establish and maintain an organization account assign rights and designate agents see the MSRB Gateway User Manual for Issuers Obligated Persons and Agents Primary market submissions of 529 college savings plan disclosure documents by underwriters under MSRB Rule G 32 and by their designated agents can only be made by users who have had the primary market submission right assigned to them by their organization s Master Account Administrator within MSRB Gateway For information on how to establish and maintain the primary market submission right see the EMMA Dataport Manual for Primary Market Submissions Continuing disclosure on 529 college savings plan documents made by issuers and their designated agents can only be made by users who have created a continuing disclosure submission account in MSRB Gateway For information on how to establish continuing disclosure submission access see the EMMA Dataport Manual for Continuing Disclosure Submissions Dealer staff seeking to make continuing disclosure submissions on behalf of an issuer need not establish a new account they can have the continuing disclosure submission right assigned to them by their organization s Master Account Administrator within MSRB Gateway For any submi
6. Operating Data Enter the document title or other descriptive information in the free text box labeled Description to provide additional details about the contents of the disclosure Below the free text box enter the period covered by the disclosure All dates including the year ended must be in the format mm dd yyyy You may type the date or select a date from the calendar next to the date field Both the text and date fields will appear in the EMMA public website in connection with the uploaded document EMMA Dataport Continuing Disclosure Submission You are currently acting on behalf of Issuer XYZ m oo oo oo Select Type of Continuing Disclosure Submission FINANCIAL OPERATING DATA DISCLOSURES indicates required fields Expected date format for all date fields including year ended mm dd yyyy RULE 15C2 12 DISCLOSURE lAnnual Financial Information and Operating Data Rule 15c2 12 Consisting of Year Ended Flaudited Financial Statements or CAFR Rule 15c2 12 Failure to Provide Annual Financial Information as Required Municipal Securities Rulemaking Board 23 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Associating Issues or Securities to the Disclosure Next you need to associate issues or securities to the disclosure Select 529 college savings plan EMMA Dataport Continuing Disclosure Submission You are currently acting on behalf of Issuer XYZ m oo
7. UPDATE Also known as Escrow Deposit Agreement Refunding Agreement etc From the drop down menu select the state for wish you would like to create a new submission If a state has not previously submitted a plan disclosure document to EMMA a message will indicate that no plans were found To submit a new 529 college savings plan disclosure document for a selected state click Add New Plan EMMA Dataport 529 College Savings Plan You are currently acting on behalf of Dealer XYZ Select another state seecstate ee The plans shown as modifiable have been disclosed by a dealer or underwriter and may be modified by the same Other plans are listed for reference only storia No plans found Municipal Securities Rulemaking Board 11 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions On the Plan tab complete the Issue Information and Continuing Disclosure Information sections Since this is a new plan submission the following notation will appear on your screen Submission Status Not Published which indicates that the 529 college savings plan disclosure document has not been published and cannot be viewed on EMMA EMMA Dataport 529 College Savings Plan Document Offering Issue Information Please provide the following details All fields required if applicable for a complete submission You are currently acting on behalf of Dealer XYZ CHECK LIST For a successful subm
8. a p a Issuers may submit on a voluntary basis primary market documents and information voluntary primary market submission including Bond Note Variable Rate CREATE UPDATE Official statements and advance refunding documents These documents may be Standard EMMA Submission 9 digit CUSIP number required submitted to update posted documents or add missing documents to the EMMA database Issue related information Information may be reported to remedy certain errors or Commercial Paper CREATE UPDATE omissions as well as add plain English descriptions of issues prior to June 1 2009 6 digit CUSIP number required For issues underwritten after June 1 2009 issuers may report errors by telephone or email Ineligible for CUSIP Number Assignment CREATE UPDATE to the MSRB Submissions made using this service do not relieve underwriters of their submission 529 College Savings Plan SORES obligations relating to official statements and advance refunding documents under MSRB Rule G 32 Other Municipal Fund Security CREATE UPDATE Advance Refunding Document CREATE UPDATE Also known as Escrow Deposit Agreement Refunding Agreement etc Select the state for which you are making the 529 college plan disclosure and then click the arrow button EMMA Dataport 529 College Savings Plan Voluntary Official Statement You are currently acting on behalf of Select State If information about a 529 college saving
9. displays the following screen which includes the Submission ID You will need this ID to make updates later Save the email confirmation from EMMA which contains the submission ID or save the submission ID separately EMMA Dataport 529 College Savings Plan Voluntary Official Statement SUBMISSION ID U2409337 PUBLISHED SUCCESSFULLY Print Submission Start new submission A confirmation email has been sentto your email address on file To send a duplicate confirmation email to a secondary email address click here Municipal Securities Rulemaking Board 36 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Updating or Canceling a Voluntary Submission To modify a voluntary submission click the 529 College Savings Plan tab then click Update Select the state and find the 529 College Savings Plan disclosure document you wish to modify EMMA Dataport 529 College Savings Plan Voluntary Official Statement You are currently acting on behalf of Select another state Select State oc The plans shown as modifiable have been disclosed by an issuer and may be modified by the same Other plans are listed for reference only State of Utah UT Add New Plan 529 Plan Description State STATE COLLEGE SAVINGS PLAN Modify STATE COLLEGE SAVINGS PLAN During the update process you may change anything you or your organization previously submitted You can add replace or delete documents Your de
10. for 529 College Savings Plan Disclosure Submissions EMMA Dataport Continuing Disclosure Submission Submission Status Not Published You are currently acting on behalf of Issuer XYZ Co SS oo A E Upload Disclosure Document Disclosure Type Annual Financial Information and Operating Data Rule 15c2 12 for the year ended 12 31 2011 CONTINUING DISCLOSURE DOCUMENT Manage Documents amp Files Options Financial Operating Filing i BS j 529 Plan Disclosure Document pdf posted 10 05 2012 View Publishing a Submission The uploaded document is not yet disclosed to the public You must click Preview to disclose the document This is a two step process Click the red Preview button The following screen appears which allows you to preview all the information you are about to publish Continuing Disclosure Preview Submission Status Not Published You are currently acting on behalf of Issuer XYZ Publish PREVIEW FINANCIAL OPERATING FILING 529 PLAN Rule 15c2 12 Disclosure VIEW DOCUMENTS Annual Financial Information and Operating Data Annual Financial Information and Operating Data for the year ended 12 31 2011 Financial Operating Filing E Unconfirmed 529 Plan Disclosure Document pdf posted 10 05 2012 View Issuer Name Plan Description STATE OF UTAH STATE COLLEGE SAVINGS PLAN SUBMITTER S CONTACT INFORMATION Company Issuer XYZ Name BOB DOE Address 101 MAIN STREET City State Zip CITY ST 12345 Phon
11. for a complete submission Issuer or other obligated persons have agreed to undertake to provide Continuing Disclosure Information as contemplated under Exchange Rule 15c2 12 Yes No Issuer Information Continuing Disclosure Undertaking Information as Contemplated under Exchange Rule 15c2 12 is select one Date Month Day by which annual financial information is contractually due to be submitted each calendar year D Number of days months Select after the end of fiscal year end on Month Day by which the annual financial information is contractually due to be submitted Add Obligated Person gt Since 529 college savings plans are sold through a continuous offering and do not have a specific closing date as do other municipal securities the closing date represents the date the 529 college savings plan is first sold to an investor lf no other modifications are needed click on the Document tab to upload the primary market disclosure documents Municipal Securities Rulemaking Board 16 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions EMMA Dataport 529 College Savings Plan Submission Status Published You are currently acting on behalf of Dealer XYZ Plan Document Offering et CHECK LIST For a successful submission you must complete the required information on each of the following tabs DISCLOSURE DOCUMENTS UPLOAD DOCUMENT Currently no do
12. from the issuer or 2 the issue closing dste Underwriters should submit official statements to EMMA ss quickly as possible after receipt Be advised that large files can take several minutes to uplosd depending on your connection speed and the level of trafficon EMMA Upload Multiple Files lt is recommended that the plan disclosure document comprise a single file If it is necessary to upload multiple files to provide the complete plan document click the Upload Multiple Files link After you upload the 529 college savings plan document the following screen will show the file s Click the document name to display the options to add a file edit file information such as the description replace one file with another or remove a file Municipal Securities Rulemaking Board 33 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions EMMA Dataport 529 College Savings Plan Voluntary Official Statement Submission Status Not Published You are currently acting on behalf of Issuer XYZ Plan Document Offering DISCLOSURE DOCUMENTS Manage Documents amp Files Options L Manage Documents amp Files Options CHECK LIST ADD UMENT gt gt For a successful submission you must complete the required MES Disclosure Document information on each of the following tabs Y Plan Document Offering Next click on the Offering tab The Offering tab displays your 529 College Savings Plan sum
13. inform investors about the plan EMMA Dataport 529 College Savings Plan MSRB Submission Status Not Published You are currently acting on behalf of Dealer XYZ Plan Document Offering Issue Information Exit Please provide the following details CHECK LIST All fields required if applicable for a complete submission For a successful submission you must complete the required State WY information on each of the following Full Issuer Name STATE OF WYOMING tabs Plan Description State College Savings Plan v Plan Closing Date 09 15 2012 mmidd yyyy this field required to publish Document v Offering Since 529 college savings plans are sold through a continuous offering and do not have a specific closing date as other municipal securities do the closing date represents the date the 529 college savings plan is first sold to an investor Municipal Securities Rulemaking Board 13 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Continuing Disclosure Information Section Identify whether the issuer has agreed to undertake to provide continuing disclosure information as contemplated by Securities and Exchange Commission SEC Rule 15c2 12 If the issuer has agreed to undertake to provide continuing disclosure information and such agreement includes an undertaking to provide annual financial information also enter information relating to the timing set forth in the continuing disclosure undertaking
14. Interest Rate Price Yield Number of how to use EMMA to make informed decisions Dan DG Aa kouf Tuka PENNSYLVANIA ECONOMIC DEV FING AUTH PKG gt SYS REV CAPITOL REGION PKG SYS SR SER 01 01 2034 5 99 195 5 004 70 12 23 2013 What s New on EMMA PORT AUTH N Y amp N CONS ONE HUNDRED FORTY Q Learn about EMMA s enhanced navigation NEW JERSEY ST TPK AUTH TPK REV SER A EMMA 101 Video 04 04 2013 01 01 2038 5 102 9 4 465 32 Watch the EMMA 101 video and learn how i l s gt zc EMMA can help investors NEW JERSEY ECONOMIC DEV AUTH REV REF SCH 03 01 2028 5 107 456 3 887 32 FACS CONSTR SER NN 01 31 2013 Municipal Securities Rulemaking Board 7 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Then click the Login to MSRB Gateway button MyEMMA EMMA Dataport Contact Us EMMA Electronic Municipal Market Access Enter CUSIP or Name A service of the MSRB AUS IG for assistance call 703 797 6668 EMMA Dataport Municipal Securities Document Submission Chesed Municipal securities dealers issuers obligated persons and their Access EMMA Dataport designated agents provide the Municipal Securities Rulemaking to Submit Documents Submissions by Dealers Board MSRB with electronic documents to be posted on EMMA Submissions by Issuers EMMA Dataport is the utility through which submissions of a documents and related information are made to MSRB Market U I Transparency Pro
15. a 6 Associate Issues Securities to the Disclosure Disclosure Type Annual Financial Information and Operating Data Rule 15c2 12 for the year ended 09 30 2012 SELECT ONE OF THE OPTIONS FOR ASSOCIATING ISSUES SECURITIES CUSIP 9 Based What is a CUSIP know my CUSIP 9s Select to input individual CUSIP 9s or use existing Group s dont know my CUSIP 9s Select to search for CUSIP 9s or to input a CUSIP 6 Non CUSIP 9 Based Commercial Paper CUSIP 6 Based Ineligible for CUSIP Number Assignment 529 College Savings Plan Other Municipal Fund Security Click Next to search for the state that you are associating to the submission and then select the plan description s that you are associating to the submission EMMA Dataport Continuing Disclosure Submission You are currently acting on behalf of Issuer XYZ So oo Associate Issues Securities to the Disclosure Disclosure Type Annual Financial Information and Operating Data Rule 15c2 12 for the year ended 09 30 2012 NON CUSIP 9 BASED 529 COLLEGE SAVINGS PLANS UT Ly State of Utah Select Issue s Issuer Name Plan Description E STATE OF UTAH STATE COLLEGE SAVINGS PLAN Municipal Securities Rulemaking Board 24 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Associating Contacts to the Disclosure A submitter may provide contact information of persons whom the public can ask for further informati
16. an Disclosure Submissions Part 2 Submissions of Primary Market Disclosures The following screen appears after logging in to EMMA Dataport To create a new submission for a 529 College Savings Plan click the Create Update link next to 529 College Savings Plan EMMA Dataport Submission Portal JOHN DOE email jdoe dealerxyz com Select Company Dealer XYZ a7243 gt Invite Continuing Disclosure Users Make a primary market submission under MSRB Rule G 32 tan Pending Submissions Underwriting Remarketing Submission CREATE UPDATE Access completed or partial submissions with expected closing dates on or after today s date Standard EMMA Submission 9 digit CUSIP number required Commercial Paper CREATE UPDATE 99999B A42 B41 ISSUER DESCRIPTION ISSUE NAME VA closing 10 10 2012 update 6 digit CUSIP number required 99999B B58 C57 ISSUER DESCRIPTION ISSUE NAME VA closing 10 10 2012 update Ineligible for CUSIP Number Assignment CREATE UPDATE 99999B C65 D64 ISSUER DESCRIPTION ISSUE NAME VA closing 10 10 2012 update 99999B A42 B41 ISSUE DESCRIPTION ISSUER NAME VA closing 10 12 2012 update 529 College Savings Plan CREATE UPDATE 5 A E a a 99999B B58 C57 ISSUE DESCRIPTION ISSUER NAME VA closing 10 12 2012 update Other Municipal Fund Security CREATE UPDATE 99999B C65 D64 ISSUE DESCRIPTION ISSUER NAME VA closing 10 12 2012 update Advance Refunding Document CREATE
17. archable MFS Disclosure Document Document Description 75 max 529 Plan Disclosure Document Date Received from Issuer 9 28 2012 Document Effective Date 9 28 2012 No file chosen NOTE The deadline for submission of the official statement to EMMA is the earlier of 1 one business day after receipt of the official statement from the issuer or 2 the issue closing date Underwriters should submit official statements to EMMA as quickly as possible after receipt Be advised that large files can take several minutes to upload depending on your connection speed and the level of traffic on EMMA Upload Multiple Files Municipal Securities Rulemaking Board 17 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions There are certain constraints on documents that can be uploaded into EMMA Each plan disclosure document must be a portable document format PDF file configured to be saved viewed printed and retransmitted by electronic means The document must also be word searchable that is allowing the user to search for specific terms used within the document through a search or find function available in most standard software packages Diagrams images and other non textual elements are not required to be word searchable If the submitted file is a reproduction of the original document the submitted file must maintain the graphical and textual integrity of the original document Click Choose F
18. cuments exist Only PDFs accepted B Effective 1 1 2010 all PDF s need to be word searchable Select Document Type z Plan Document Description 75 max Document Y Offering Date Received from Issuer Document Effective Date NOTE The deadline for submission of the official statement to EMMA is the earlier of 1 one business day after receipt of the official statement from the issuer or 2 the issue closing date Underwriters should submit official statements to EMMA as quickly as possible after receipt Be advised that large files can take several minutes to upload depending on your connection speed and the level of traffic on EMMA Browse Upload Multiple Files Uploading a Document select the Document tab to add a 529 college savings plan disclosure document or a 529 college savings plan disclosure document supplement Documents on this screen are displayed with the most recently submitted at the top Select document type as a MFS Municipal Fund Security Disclosure Document or a MFS Municipal Fund Security Disclosure Document Supplement Enter the Document Effective Date The Effective Date is the date on which the 529 college savings plan disclosure document or supplement takes effect or the effective date of the document being filed Plan Document Offering DISCLOSURE DOCUMENTS UPLOAD DOCUMENT Currently no documents exist F Only PDFs accepted H Effective 1 1 2010 all PDF s need to be word se
19. curring financial disclosures Municipal Securities Rulemaking Board 28 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Part 4 Submissions by Issuers on a Voluntary Basis EMMA Dataport provides the capability for issuers of municipal securities to submit primary market documents and related information on a voluntary basis such documents include 529 college savings plan disclosure documents voluntarily submitted by issuers of state 529 plans These 529 College Savings Plans may be submitted to EMMA so that a state issuer can disclose 529 College Savings Plan sold directly to investors without the assistance of a dealer Voluntary submissions made by issuers of 529 College Savings Plan disclosure documents do not relieve underwriters of their submission obligations related to plan disclosure documents under MSRB Rule G 32 to the extent applicable To submit a 529 college savings plan disclosure document go to EMMA Dataport and click the tab labeled Issuer Voluntary Official Statement Next select the organization your State 529 Plan name as it appears in your Gateway account for which you will be submitting from the drop menu EMMA Dataport Submission Portal BOB DOE email bdoe issuenyzcom Continuing Disclosure Voluntary Financial Information Preliminary Official Statement EMMA Rule 15c2 12 amp voluntary Timing GAAP Undertaking amp URL and Pre Sale Documents Trade Monitor Select Organization
20. e Number 111 222 3333 Email bdoe issuenyzcom If any information on the Preview screen needs to be changed click Back until you reach the screen where the data was input Once all information is correct click Publish a second time The following screen appears Municipal Securities Rulemaking Board 27 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Are you sure you want to publish YES Publish NO Edit Submission You may resume editing the document by clicking NO Edit Submission or publish it by clicking YES Publish When you publish a submission a confirmation email will be sent to the submitter The confirmation screen gives the submitter a submission ID as well as a chance to send a duplicate confirmation email by selecting the link and entering a separate email address This screen also gives the submitter a print preview screen to allow the submitter to view their published submission The submitter should select the print preview tab to retain a hard copy record of the submission Continuing Disclosure Preview SUBMISSION ID U2409336 PUBLISHED SUCCESSFULLY Print Submission Start new submission Click here to create a Group with this list of Securities A confirmation email has been sent to your email address on file To send a duplicate confirmation email to a secondary email address click here Schedule and manage email reminders for a Se Ge ae an oe ee ACT Om ce le ee ea re
21. eceseeeeseeeeseeeseeeenees 37 Municipal Securities Rulemaking Board 4 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Introduction The Municipal Securities Rulemaking Board MSRB protects investors issuers of municipal securities entities whose credit stands behind municipal securities and public pension plans by promoting a fair and efficient municipal market The MSRB fulfills this mission by regulating securities firms banks and municipal advisors that engage in municipal securities and advisory activities To further protect market participants the MSRB promotes disclosure and market transparency through its Electronic Municipal Market Access EMMA website provides education and conducts extensive outreach The MSRB has operated under Congressional mandate with oversight by the Securities and Exchange Commission since 1975 The EMMA website Is a centralized online database operated by the MSRB that provides free public access to official disclosure documents and trade data associated with municipal bonds issued in the United States In addition to current credit rating information the EMMA website also makes available real time trade prices and primary market and continuing disclosure documents for over one million outstanding municipal bonds as well as current interest rate information liquidity documents and other information for most variable rate municipal securities This EMMA Dataport Manual
22. for 529 College Savings Plan Disclosure Submissions provides instructions for dealers on how to submit Primary Market documents and for issuers on how to submit Continuing Disclosure documents and how to voluntarily submit 529 college savings plan disclosure documents provided under the state s 529 savings plan This manual only provides instructions on submissions made via the EMMA website through EMMA Dataport Submitters seeking to make automated continuous submissions through a computer to computer interface should consult the appropriate specifications document The EMMA website makes available to the public at no charge voluntary submissions of 529 college savings plans by issuers 529 college savings primary market plan disclosure documents by underwriters and continuing disclosure plan documents submitted by issuers on 529 college savings plans Municipal Securities Rulemaking Board 5 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Part 1 Submission Rights and Access to EMMA Dataport All submitters to the MSRB Primary Market Continuing Disclosure and Voluntary Issuer Submission Services must be registered in MSRB Gateway a single secure access point for making submissions to EMMA Each user must also accept the terms and conditions for making submissions Voluntary submissions of 529 college savings plan disclosure documents can only be made by issuers with an organization account established in MSRB
23. for the submission of annual financial information each year for the issuer HI Continuing Disclosure Information All fields required if applicable for a complete submission Issuer or other obligated persons have agreed to undertake to provide Continuing Disclosure Information as contemplated under Exchange Rule 15c2 12 Yes No Issuer Information Continuing Disclosure Undertaking Information as Contemplated under Exchange Rule 1502 12 is select one Date by which annual financial information is contractually due to be submitted each calendar year Number of days months after the end of fiscal year end on Month Day by which the annual financial information is contractually due to be submitted Add Obligated Person gt For an issuer enter such information either as a specific date or as the number of days or months after a specified end date of the issuer s fiscal year Municipal Securities Rulemaking Board 14 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Modify Existing Submission To submit a new plan disclosure document or a supplement to an existing plan disclosure document click the Create Update link next to the 529 College Savings Plan option on the Primary Market Submission screen EMMA Dataport Submission Portal JOHN DOE email jdoe dealerxyz com Select Company Dealer XYZ A7243 gt gt Invite Continuing Disclosure Users Make a primary ma
24. grams For information about how to make specific submissions please click on the applicable link below gt Submissions by Obligated Persons MSRB Subscription Services Don t have an account Register gt MSRB System Status Submissions by Dealers thie Access Online Training about Submitting to EMMA gt Submissions by Issuers g MSRB Gateway Manual gt Submissions by Obligated Persons EMMA Tools for State and Local Governments sI Iy EMMA Trade Monitor Getting to Know EMMA m UE State and Local Government Toolkit Municipal Securities Rulemaking Board 8 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Log in from the MSRB Home Page From the MSRB homepage at www msrb org click Login VN RB Login About MSRB Publications Careers Email Updates Contact Us Systems Status File a Complaint gt a Epis peut Rulemaking Board Advanced Search Municipal Bond Market Rules Disclosures and Data Market Leadership News Events and Training Resources for H ON Protecting investors state MSRB 2013 Annual f and local governments and Report the public interest O Login gt to MSRB systems Don t have an account Register here Resources for What s New View All News Investors MSRB Advances Cornerstone of Regulatory Framework for Municipal Advisors with Proposed Rule on Standards of Conduct Thursday January 09
25. ial Information and Operating Data Rule 15c2 12 for the year ended 09 30 2012 SUBMITTER S CONTACT ISSUER S CONTACT INFORMATION OBLIGOR S CONTACT INFORMATION INFORMATION Select Contact gt gt Enter New Contact Select Contact z gt gt Enter New Contact Company Issuer XYZ Name BOB DOE Address 101 MAIN STREET City State Zip CITY ST 12345 Phone 414 222 3333 Number Email bdoe issuenyzcom If no issuer obligor s contact information is provided then submitter information will be posted on EMMA You must enter the contact s name and either the phone number or email address The drop down menus also enable you to select among contacts you have previously associated with any one of the 529 college savings plans in the current submission If you do not enter an issuer s contact information then EMMA will display the submitter s information t i The contacts you enter will not be visible to other submitters Each submitter Municipal Securities Rulemaking Board 25 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions must enter its own contact information Uploading a Document When your security and issue selections have been made click Next The document upload screen appears EMMA Dataport Continuing Disclosure Submission Submission Status Not Published You are currently acting on behalf of Issuer XYZ m m Upload Disclosure Document Disclosure Type Annual F
26. ile to select the file on your computer Click Open then click Upload to transfer the file to EMMA It is important that prior to and subsequent to submission the submitter review each page of the PDF to ensure that it is clear readable and word searchable Then click Publish EMMA shows that the document has been uploaded by displaying the document name on the left side of the screen Plan Document Offering DISCLOSURE DOCUMENTS Manage Documents amp Files Options ADD DOCUMENT gt 5 529 Plan Disclosure Document H 529 Plan Disclosure Document pdf posted 09 28 2012 Received From Issuer 08 26 2012 View Municipal Securities Rulemaking Board 18 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Publishing a Submission The uploaded document is not yet available to the public The submission indicator located in the upper left corner of the page indicates whether the submission has been previously published You must click Preview to disclose the document This is a two step process Click the red Preview button The following screen appears which allows you to preview all the information you are about to publish EMMA Dataport 529 College Savings Plan Submission Status Not Published You are currently acting on behalf of Dealer XYZ Ei ES Eo PLAN DOCUMENTS State WY Full Issuer Name STATE OF WYOMING G 529 Plan Disclosure Document 529 Plan Disclosure Document pdf posted Plan Descriptio
27. ilure to provide annual financial municipal securities information under Rule 15c2 12 b 5 i D and other financial or operating information Submitting an Annual or Periodic Filing To submit an annual or periodic filing select the disclosure type as shown below You may select multiple types of disclosure An annual or periodic filing may be made pursuant to SEC Rule 15c2 12 or may be made voluntarily Municipal Securities Rulemaking Board 22 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions EMMA Dataport Continuing Disclosure Submission You are currently acting on behalf of Issuer XYZ m oo 6S 6 Select Type of Continuing Disclosure Submission FINANCIAL OPERATING DATA DISCLOSURES indicates required fields Expected date format for all date fields including year ended mm dd yyyy RULE 15C2 12 DISCLOSURE lannual Financial Information and Operating Data Rule 15c2 12 audited Financial Statements or CAFR Rule 15c2 12 Failure to Provide Annual Financial Information as Required ADDITIONAL VOLUNTARY DISCLOSURE lauarterly Monthly Financial Information Ichange in Fiscal Year Timing of Annual Disclosure Ichange in Accounting Standard interim Additional Financial Information Operating Data F Budget investment Debt Financial Policy information Provided to Rating Agency Credit Liquidity Provider or Other Third Party Iconsultant Reports lother Financial
28. inancial Information and Operating Data Rule 15c2 12 for the year ended 12 31 2011 CONTINUING DISCLOSURE DOCUMENT UPLOAD CONTINUING DISCLOSURE DOCUMENT Currently no documents exist A Only PDFs accepted i Effective 1 1 2010 all PDF s need to be word searchable Choose File No file chosen Upload Multiple Files There are certain constraints on documents that can be uploaded into EMMA Each continuing disclosure document must be a portable document format PDF file configured to be saved viewed printed and retransmitted by electronic means The document must also be word searchable that is allowing the user to search for specific terms used within the document through a search or find function available in most standard software packages Diagrams images and other non textual elements are not required to be word searchable If the submitted file is a reproduction of the original document the submitted file must maintain the graphical and textual integrity of the original document Use Choose File to select the file on your computer Click Open then click Upload to transfer the file to EMMA It is important that prior to and subsequent to submission the submitter review each page of the PDF to ensure that it is clear readable and word searchable EMMA shows that the document has been uploaded by displaying the document name on the left side of the screen Municipal Securities Rulemaking Board 26 EMMA Dataport Manual
29. ion you must complete the required State UT information on each of the following Full Issuer Name STATE OF UTAH tabs Plan Description Plan Closing Date mmiddiyyyy Document V Offering Continuing Disclosure Information All fields required if applicable for a complete submission Issuer or other obligated persons have agreed to undertake to provide Continuing Disclosure Information as contemplated under Exchange Rule 15c2 12 Yes U No Issuer Information Continuing Disclosure Undertaking Information as Contemplated under Exchange Rule 15c2 12 is select one Date Month Day by which annual financial information is contractually due to be submitted each calendar year Number of days months Select after the end of fiscal year end on Month Day by which the annual financial information is contractually due to be submitted Add Obligated Person gt Enter the plan description information and the plan disclosure closing date The plan description describes the type of 529 college savings plan It is important to describe the plan accurately since this information appears on the public website and informs investors about the plan Since 529 college savings plans are sold Municipal Securities Rulemaking Board 31 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions through a continuous offering and do not have a specific closing date as other municipal securi
30. ipal Securities Rulemaking Board 9 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions From the MSRB Gateway Main Menu expand the Market Transparency Systems option and click EMMA Dataport The EMMA Dataport Submission screen appears Municipal Securities Rulemaking Board MSRB ll MSRB Gateway Main Menu Welcome to MSRB Gateway Your User Account has the following Access Rights Click on a section to expand Account and Organization Management Manage profile information for your User Account or for your organization Agent Relationship Management Invite and approve agent invitations to from organizations gt Manage Agent Relationships Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization Market Transparency Systems Access IV 5 systems tO submit documents and data related to municipal market activity and political contributions gt Dealer System Outage Reporting gt EMMA Dataport Submit documents and information to EMMA MSRB Home Contact and Support Logged in as JDOES5 for A7243 Logout My Profile User ID JDOE5 Master Account Ea reas User Name JOHN DOE Organization Name Desler XYZ MSRB ID A7243 Email Address jdoe dealerxyz com Change Password Municipal Securities Rulemaking Board 10 EMMA Dataport Manual for 529 College Savings Pl
31. ission you must complete the required State WY information on each of the following Full Issuer Name STATE OF WYOMING tabs Plan Description State College Savings Plan Closing Date 09 15 2012 mmidd yyyy this field required to publish f Plan Document Y Offering Continuing Disclosure Information All fields required if applicable for a complete submission Issuer or other obligated persons have agreed to undertake to provide Continuing Disclosure Information as contemplated under Exchange Rule 15c2 12 Yes O No Issuer Information Continuing Disclosure Undertaking Information as Contemplated under Exchange Rule 15c2 12 is select one Date Nov 1 x by which annual financial information is contractually due to be submitted each calendar year Number of days months after the end of fiscal year end on Month Day by which the annual financial information is contractually due to be submitted Add Obligated Person gt Municipal Securities Rulemaking Board 12 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Issue Information Section When adding a new 529 college savings plan the Plan Description and the Closing Date are required for a complete submission The plan description describes the type of 529 college savings plan It is important to describe the plan accurately since this information will appear on the public web portal and will
32. isting of information about the 529 college savings plan provided on the EMMA website the Submission ID and the date and time of submission for recordkeeping purposes Submitters are advised to print and save a copy of this screen Submission ID U2409338 10 05 2012 14 10 50 ull Issuer Name STATE OF UTAH Plan Description STATE COLLEGE SAVINGS PLAN losing Date 09 15 2012 ONTINUING DISCLOSURE INFORMATION issuer or other obligated persons have agreed to undertake to provide Continuing Disclosure Information as contemplated under Exchange Rule 15c2 12 DOCUMENTS 529 Plan Disclosure Document Supplement i 29 Plan Disclosure Document Supplement pdf posted 09 12 2012 Received From Issuer 09 12 2012 4 529 Plan Disclosure Document i529 Plan Disclousre Document pdf posted 09 12 2012 Received From Issuer 09 12 2012 The MSRB will send an electronic receipt to your email address The receipt contains a complete listing of the submission and a link to view the submission on the EMMA website Municipal Securities Rulemaking Board 21 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Part 3 Submissions of Continuing Disclosures As with primary market submissions a submitter must register through Gateway in order to make continuing disclosure submissions The Continuing Disclosure Submission screen shown below appears immediately after you log in Click Create to start a submission EMMA Dataport Submission Por
33. mary information EMMA Dataport 529 College Savings Plan Voluntary Official Statement Flan Document PLAN SUMMARY PLAN State UT Full Issuer Name STATE OF UTAH Plan Description STATE COLLEGE SAVINGS PLAN Closing Date Municipal Securities Rulemaking Board 34 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Publishing a Submission Information is not disclosed to the public until you publish your submission The Preview screen will display all the information you have entered for review before you Publish You may update the information entered by clicking the Edit button before you publish EMMA Dataport 529 College Savings Plan Voluntary Official Statement Submission Status Not Published You are currently acting on behalf of Issuer XYZ ca a ES PREVIEW 529 COLLEGE SAVINGS PLAN State UT Full Issuer Name STATE OF UTAH aS Disciosure Document DOCUMENTS Plan Description STATE COLLEGE SAVINGS PLAN Closing Date CONTINUING DISCLOSURE INFORMATION Issuer or other obligated persons have not agreed to undertake to provide Continuing Disclosure Information as contemplated under Exchange Rule 15c2 12 When the data files are satisfactory click Publish and then click YES Publish Are you sure you want to publish YES Publish NO Edit Submission Municipal Securities Rulemaking Board 35 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions EMMA
34. n STATE COLLEGE SAVINGS PLAN i a 09 28 2012 Received From Issuer 09 28 2012 Closing Date 09 15 2012 View If any information on the Preview screen needs to be changed click the Edit button Once all information is correct and the review is satisfactory click the Publish button The following screen appears Are you sure you want to publish YES Publish NO Edit Submission Municipal Securities Rulemaking Board 19 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Click Yes Publish and the following confirmation screen appears SUBMISSION ID U2409338 PUBLISHED SUCCESSFULLY Print Submission Start new submission A confirmation email has been sent to your email address on file To send a duplicate confirmation email to a secondary email address click here The confirmation screen contains the following e A submission ID which is your unique identifier and helpful for any future updates e A link to print your submission confirmation e A link to start new submission or to modify your existing submission e A link to send your submission confirmation to a secondary email address e A link to create an email reminder for a recurring financial or operating disclosure submission in advance of the next filing deadline Municipal Securities Rulemaking Board 20 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Print Preview This screen provides a complete l
35. nd Access to EMMA Dataport ccseeseee 6 Log in from the EMMA Home Page ccccscccseeceseceeeecseeceeeceeeesseeseusenseesseesees 7 Log in from the MSRB Home Page cccccececeeeeceeeeceeeeseeeeseueeseueeseeeeseeeesaeees 9 Log into MSRB Gateway ccccccceeccceeeeceeeeceeeeceeeeseeeseeesaueesegeeseueeseneesaneesaaees 9 Part 2 Submissions of Primary Market Disclosures c sseesseeeseeeeees 11 Modify Existing SUDMISSION I recreere eirinen nan EEEE E 15 Uploading a Document cccccccceeeeceeeeseeeeseeeeseueeseeeesaueeseueeseueeseeeseeeeseeeesaes 17 PUOIS NINOI a SURI SSO er a AE EEA 19 Part 3 Submissions of Continuing Disclosures sssnnnnnnnnnnnnnnnnnnnnnnnnnnnnne 22 Submitting an Annual or Periodic FIlling ccccceececeececeeeteeeeseseeseueeseneesenees 22 Associating Issues or Securities to the Disclosure ccccceeeceeeeceeeeeeeeeeees 24 Associating Contacts to the DISCIOSUIE cccsecccseeeceeeeeeeeeeaeeeeaeeesaeeesneeeeas 25 PIO GIN Gia DOCUMENT ae 26 FE OMS TANG a SUDMISSIO N arrien ann cictactate AEEA ERRAN 27 Part 4 Submissions by Issuers on a Voluntary Basis cssseseseeeeees 29 Adding a New 529 College Savings Plan ccccccccceecessseeeseeeeeseeeeesseeeesaees 31 IDI GING DOCUMEN arraira teceeaecneceneeces 33 PUDING A URIS SIO oee renee nee 35 Updating or Canceling a Voluntary SUDMISSION cccce
36. on After the issues or securities are selected the following screen appears EMMA Dataport Continuing Disclosure Submission Submission Status Not Published You are currently acting on behalf of Issuer XYZ Be BS ag Associate Contacts to the Disclosure Contact information will be posted on EMMA Disclosure Type Annual Financial Information and Operating Data Rule 15c2 12 for the year ended 12 31 2011 SUBMITTER S CONTACT ISSUER S CONTACT INFORMATION OBLIGOR S CONTACT INFORMATION z gt gt Enter New Contact INFORMATION gt gt Select Existing Contact Select Contact Company Issuer XYZ denotes required fields Name BOB DOE one of these fields is required Address 101 MAIN STREET Company City State Zip CITY ST 12345 First Name Phone 441 222 3333 oe Number Address Email bdoe issuenyz com City State Zip Code Phone Number Extension tEmsail gt gt Clear Contact Information If no issuer obligor s contact information is provided then submitter information will be posted on EMMA Click the Enter New Contact link to add the issuer s contact information The obligor may not be applicable to issuers of 529 college savings plans EMMA Dataport Continuing Disclosure Submission omission Status Not Published You are currently acting on behalf of Issuer XYZ Associate Contacts to the Disclosure Contact information will be posted on EMMA Disclosure Type Annual Financ
37. onths after the end of fiscal year end on Month by which the annual financial information is contractually due to be submitted Add Obligated Person gt Municipal Securities Rulemaking Board 32 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Uploading a Document Click on the Document tab From the drop down menu in the Upload Document box select the document type MFS Disclosure Document You may optionally enter a document description the current version of EMMA will not display the description Next enter the Document Effective Date and click Choose File to navigate to the location of the file on your computer d The file must be in word searchable PDF format EMMA Dataport 529 College Savings Plan Voluntary Official Statement Submission Status Not Published You are currently acting on behalf of Issuer XYZ DISCLOSURE DOCUMENTS Currently no documents exist Exit UPLOAD DOCUMENT Preview CHECK LIST For a successful submission you must complete the required information on each of the following tabs Only PDFs sccepted i Effective 1 1 2010 all PDF s need to be word searchable Select Document Type Plan Document Description 75 max Document V Offering Document Effective Date Choose File No file chosen NOTE The deadline for submission of the official statement to EMMA is the earlier of 1 one business day after receipt of the official statement
38. rket submission under MSRB Rule G 32 i ae Pending Submissions Underwriting Remarketing Submission CREATE UPDATE Access completed or partial submissions with expected closing dates on or after today s date Standard EMMA Submission 9 digit CUSIP number required Commercial Paper CREATE UPDATE 99999B A42 B41 ISSUER DESCRIPTION ISSUE NAME VA closing 10 10 2012 update 6 digit CUSIP number required 99999B B58 C57 ISSUER DESCRIPTION ISSUE NAME VA closing 10 10 2012 update Ineligible for CUSIP Number Assignment CREATE UPDATE 99999B C65 D64 ISSUER DESCRIPTION ISSUE NAME VA closing 10 10 2012 update 99999B A42 B41 ISSUE DESCRIPTION ISSUER NAME VA closing 10 12 2012 update 529 College Savings Plan CREATE UPDATE aay a ES 99999B B58 C57 ISSUE DESCRIPTION ISSUER NAME VA closing 10 12 2012 update Other Municipal Fund Security CREATE UPDATE 99999B C65 D64 ISSUE DESCRIPTION ISSUER NAME VA closing 10 12 2012 update Advance Refunding Document CREATE UPDATE Also known as Escrow Deposit Agreement Refunding Agreement etc From the drop down menu select the state that issued the 529 college savings plan then click the arrow button EMMA Dataport 529 College Savings Plan You are currently acting on behalf of A list of 529 plan descriptions for the selected state appears To update an existing 529 plan description click on the plan description or click Modify if applicable
39. s plan in this state has previously been submitted by an underwriter issuer or their designated agent the plan name will be displayed 529 College Savings Plans that are not listed as modifiable are listed for reference only and cannot be modified by an issuer To modify an existing plan click Modify Issuers can only modify plans submitted by issuers Municipal Securities Rulemaking Board 30 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Adding a New 529 College Savings Plan To create a new plan disclosure document click Add New Plan from the list of 529 plan descriptions You will be directed to the Plan tab EMMA Dataport 529 College Savings Plan Voluntary Official Statement You are currently acting on behalf of Select another state The plans shown as modifiable have been disclosed by an issuer and may be modified by the same Other plans are listed for reference only State of Utah UT 529 Plan Description State STATE COLLEGE SAVINGS PLAN View the issue information on the Plan tab The state and the full issuer name fields will be pre populated EMMA Dataport 529 College Savings Plan Voluntary Official Statement You are currently acting on behalf of Issuer XYZ re ee ee Document Offering i Exit Issue Information Exit Please provide the following details All fields required if applicable for a complete submission CHECK LIST For a successful submiss
40. signated agent can make the same changes on your behalf Be sure to Publish the updated submission to disseminate the results The update process also enables you to cancel a 529 College Savings Plan document that your organization has submitted To do so click on the Offering tab and select Cancel Offering at the bottom of the screen Canceling your submission will remove it from public view EMMA Dataport 529 College Savings Plan Voluntary Official Statement Submission Status Published You are currently acting on behalf of Issuer XYZ Plan Document Offering PLAN SUMMARY Notice of Cancellation PLAN Cancel Offering CHECK LIST State UT For a successful submission you Full Issuer Name STATE OF UTAH must complete the required Plan Description STATE COLLEGE SAVINGS PLAN information on each of the following Closing Date tabs V Plan Document Y Offering Municipal Securities Rulemaking Board 37
41. ssion to the EMMA Dataport the first step is to log into MSRB Gateway This can be done on either EMMA or the MSRB homepage Municipal Securities Rulemaking Board 6 EMMA Dataport Manual for 529 College Savings Plan Disclosure Submissions Log in from the EMMA Home Page From the EMMA homepage at http emma msrb org click the EMMA Dataport link at the top of the page EMMA Dataport Contact Us EMMA Electronic Municipal Market Access A service of the MSRB Enter CUSIP or Name g Are you new to EMMA gt y Welcome to EMMA EMMA is the official repository for information on virtually all municipal bonds providing free public access to Find prices disclosures and other official disclosures trade data and other information about the municipal securities market information for a specific municipal bond EMMA 101 EMMA for Investors EMMA for Issuers sickle en i Dee Explore our user guide Learn how state and oe PEETER video and learn how for investors local governments can Browse municipal securities information can help investors se EMMA by issuer L en vs Oe A ejz i4 Explore municipal market trends and 14 P data E il E f hy i Learn how the MSRB protects municipal r SZ market participants lS h F MUNICIPAL MARKET RECAP EMMA Education Center Most Actively Traded Fixed Rate Securities for 12 31 2013 Learn more about the municipal bond market and i mae Security Maturity
42. tal BOB DOE email bdoe issuenyzcom Voluntary Financial Information Preliminary Official Statement Issuer Voluntary EMMA Timing GAAP Undertaking amp URL and Pre Sale Documents Official Statement Trade Monitor Continuing Disclosure Submission SUBMISSION CONTROL DASHBOARD Organize Your Issues Securities Groupings Most Recent Submissions To organize your issues and securities into groupings to simplify future submissions of continuing disclosure documents click here Submission Date Disclosure Type Submission ID User ID 09 18 2012 Annual Financial Information and Operating Data U2409322 BDOE 08 20 2012 Annual Financial Information and Operating Data U2409305 BDOE Begin by selecting the type of continuing disclosure you will submit either a Financial Operating Filing or an Event Filing this manual assumes you are submitting a Financial Operating Filing an Event Filing is very similar Click Next to proceed EMMA Dataport Continuing Disclosure Submission You are currently acting on behalf of Issuer XYZ i 2 oo Select Type of Continuing Disclosure Submission FINANCIAL OPERATING FILING EVENT FILING Submit annual financial information under SEC Rule Submit notice of a event specified under SEC Rule 15c2 12 b S ip A and d 2 ii A audited 15c2 12 b 5 C and d 2 ii B and any other financial statements under Rule 15c2 12 b 5 i B voluntary notice or disclosure with respect to notice of fa
43. ties do the closing date represents the date the 529 college savings plan is first sold to an investor EMMA Dataport 529 College Savings Plan Voluntary Official Statement Document Offering H Issue Information Please provide the following details All fields required if applicable for a complete submission State UT Fulllssuer Name STATE OF UTAH Plan Description Closing Date mmiddiyyyy In the Continuing Disclosure Information section click the No button 529 plan disclosure documents that are voluntarily submitted by issuers are not subject to SEC Rule 15c2 12 and therefore the Yes option does not apply lf the issuer has agreed to undertake to provide continuing disclosure information as contemplated by SEC Rule 15c2 12 then the submission is not voluntary and the Continuing Disclosure information must be submitted using the Primary Market tab Refer to the Making a Primary Market Submission section H Continuing Disclosure Information All fields required if applicable for a complete submission ssuer or other obligated persons have agreed to undertake to provide Continuing Disclosure Information as contemplated under Exchange Rule 15c2 12 Yes No Issuer Information Continuing Disclosure Undertaking Information as Contemplated under Exchange Rule 15c2 12 is select one Date Month by which annual financial information is contractually due to be submitted each calendar year Number of days m
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