Certain items in Part I of Form MA require additional information on Schedule D. Use this Schedule D to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.
This is an: INITIAL or AMENDED Schedule D or ANNUAL UPDATE
SECTION 1-B Other Names under which Municipal Advisor-Related Business is Conducted
List the applicant's other business names and the jurisdictions in which they are used. A separate Schedule D must be completed for each business name, and the jurisdictions where that name is used.
SECTION 1-D Additional Registrations of the Applicant
Indicate any additional registrations with federal or state regulators, and the relevant registration number. A separate Schedule D must be completed for each such registration.
Name:
National Futures Association
Registration No.:
0086118
SECTION 1-E Additional Offices at which the Applicant's Municipal Advisor-Related Business is Conducted
Provide the location of the largest five additional offices (in terms of numbers of employees) at which the applicant's municipal advisor-related business is conducted other than applicant's principal office and place of business. A separate Schedule D must be completed for each such office.
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
TEXAS �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
MASSACHUSETTS �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
NEW YORK �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
ARIZONA �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
Select only one: AddDelete Amend
Street Address 1:
Street Address 2:
City:
State/Country:
COLORADO �
Is this address a private residence?
A private residential address will not be included in publicly available versions of this registration form.
Telephone number at this location:
Fax number (if any) a this location:
SECTION 1-F Additional Website Addresses
List any additional website addresses of the applicant. A separate Schedule D must be completed for each such website address.
SECTION 1-I Location of Books and Records
Complete the following information for each location at which the applicant keeps books and records, other than its principal office and place of business. A separate Schedule D must be completed for each location.
Select only one: AddDelete Amend
Name of entity where books and records are kept:
My Compliance Technologies (MCT) / My Compliance Office (MCO)
Street Address 1:
Street Address 2:
City:
State/Country:
NEW YORK �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
HILLTOP SECURITIES UTILIZES MCT and MCO APPLICATIONS AND PLATFORMS FOR THE PURPOSE OF FIRM COMPLIANCE AND DOCUMENTING AND RECORDING VARIOUS INFORMATION INCLUDING BUT NOT LIMITED TO EMPLOYEE DISCLOSURES, ATTESTATIONS, TRADE RELATED MATTERS AND REG REQUESTS.�
Select only one: AddDelete Amend
Name of entity where books and records are kept:
Iron Mountain
Street Address 1:
Street Address 2:
City:
State/Country:
MASSACHUSETTS �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
HILLTOP SECURITIES UTILIZES IRON MOUNTAIN FOR THE PURPOSE OF STORING GENERAL BUSINESS RECORDS THAT ARE ELIGIBLE FOR STORAGE OFF-SITE.�
Select only one: AddDelete Amend
Name of entity where books and records are kept:
SAI Global
Street Address 1:
Street Address 2:
City:
State/Country:
ILLINOIS �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
HILLTOP SECURITIES UTILIZES SAI GLOBAL'S SERVICES TO PUBLISH, UPDATE AND STORE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES.�
Select only one: AddDelete Amend
Name of entity where books and records are kept:
SMARSH
Street Address 1:
Street Address 2:
City:
State/Country:
OREGON �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
HILLTOP SECURITIES INC. HAS CONTRACTED WITH SMARSH FOR ELECTRONIC EMAIL COMMUNICATION RETENTION.�
Select only one: AddDelete Amend
Name of entity where books and records are kept:
PROOFPOINT, INC.
Street Address 1:
Street Address 2:
City:
State/Country:
CALIFORNIA �
Is this address a private residence?
Telephone number at this location:
Fax number (if any) at this location:
For non-US telephone and fax numbers, include country code with area code and local number.
This is (Select only one):
one of applicant's branch offices or affiliates.
a third-party unaffiliated record keeper.
Other
Briefly describe the books and records kept at the location(s) you checked. If you checked "other," describe additionally all such location(s).
HILLTOP SECURITIES HAS CONTRACTED WITH PROOFPOINT FOR ELECTRONIC EMAIL COMMUNICATION RETENTION.�
SECTION 1-J Registration with Foreign Financial Regulatory Authorities
List the full name, in English, of each foreign financial regulatory authority, provide the foreign registration number (if any), and list the full name, in English, of the country with which the applicant is registered. A separate Schedule D must be completed for each foreign financial regulatory authority with whom the applicant is registered.
SECTION 1-K Business Affiliates of the Applicant
Provide the name of any domestic or foreign business affiliate of the applicant and any federal, state, or foreign registration of such affiliate and the registration number. A separate Schedule D must be completed for each such affiliate.
Name of Affiliate:
MOMENTUM INDEPENDENT NETWORK INC.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
SEC
(b) Registration No., if any:
8-35475, 801-60812
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
HILLTOP SECURITIES INSURANCE AGENCY INC.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
Texas Department of Insurance
(b) Registration No., if any:
6171
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
TEXAS �
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
SOUTHWEST FINANCIAL INSURANCE AGENCY, INC.
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
FIRST SOUTHWEST HOLDINGS, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
FIRST SOUTHWEST LEASING COMPANY
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
SEC
(b) Registration No., if any:
801-40189
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
PLAINSCAPITAL BANK
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
Name of Affiliate:
FSC ASSET ADMINISTRATOR, LLC
1. Does the affiliate have an applicable federal, state, or foreign registration?
Yes No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):
US Federal
US State or Other US Jurisdiction:
(specify):
�
Foreign Country Name (in English):
(specify):
�
SECTION 3 Successions
Complete the following information if succeeding to the business of a currently-registered municipal advisor. If the applicant succeeded more than one municipal advisory firm in the succession being reported on this Form MA, a separate Schedule D must be completed for each predecessor firm. See Instruction 1 of the Specific Instructions for Certain Items in Form MA included in the General Instructions.
SECTION 4-D Firms and Other Persons that Solicit Municipal Advisor Clients on the Applicant's Behalf
Provide the name, address, and phone number of any firm or other person that is not otherwise an associated person of the applicant that solicits municipal advisor clients on the applicant's behalf. A separate Schedule D must be completed for each such firm or natural person.
SECTION 4-E Employees That Also Do Business Independently on the Applicant's Behalf as Affiliates of the Applicant
SECTION 5-B Description of Primary Business (for businesses not listed in Part A of Item 5)
If you checked Item 5-B.2 describe the applicant's primary business (not the applicant's municipal advisor-related business):
�
SECTION 6 Financial Industry and Other Activities of Associated Persons
The following information must be completed for each associated person in every category you checked in Item 6-A. A separate Schedule D must be completed for each such associated person.
SECTION 8 Control Persons (on a basis other than 25% ownership or executive officer status)
Section 8-A. A separate Schedule D must be completed for each control person not named in Item 1-A. or Schedules A, B, or C that directly or indirectly controls the applicant's management or policies.
Section 8-B. If any person named in Schedules A, B, or C or in Section 8-A of this Schedule D is a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934, provide the information below. A separate Schedule D must be completed for each public reporting company.
(1) Full legal name of the public reporting company:
Hilltop Holdings Inc.
(2) The public reporting company's EDGAR CIK number:
0001265131
(3) The Schedules where the public reporting company was reported: Check all that apply.
Schedule A
Schedule B
Schedule C, Section 4
Schedule C, Section 5
Schedule D, Section 8-A
Schedule D: MISCELLANEOUS
The space below may be used to explain a response to an Item or to provide any other information.
�
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
SWS Financial Services, Inc.�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
�
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
SWS Financial Services, Inc.�
Name on Registration
CRD No.
1448513�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
SWS Financial Services, Inc.�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
�
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
SWS Financial Services, Inc.�
Name on Registration
CRD No.
1420717�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
SWS Financial Services, Inc.�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
�
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
SWS Financial Services, Inc�
Name on Registration
CRD No.
1415300�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
SWS Financial Services, Inc.�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
�
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
SWS Financial Services, Inc.�
Name on Registration
CRD No.
1356813�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
SWS Financial Services, Inc.�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
�
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
SWS Financial Services, Inc.�
Name on Registration
CRD No.
1180757�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
SWS Financial Services, Inc.�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
�
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
SWS Financial Services, Inc.�
Name on Registration
CRD No.
874524�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc�
Name on Registration
CRD No123.
1711690�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, inc.�
Name on Registration
CRD No123.
1683746�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc�
Name on Registration
CRD No123.
1670666�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1651368�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
�
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Daniel Roger Leland�
Name on Registration
CRD No.
1237888�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1634119�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, inc.�
Name on Registration
CRD No123.
1610125�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1596258�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1559909�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1554276�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1551778�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1548764�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1502892�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1501746�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1484418�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1515123�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1412327�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
M.L. Stern & Co., LLC.�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
�
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
M.L. Stern & Co., LLC.�
Name on Registration
CRD No.
1399197�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
M.L. Stern & Co., LLC.�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
�
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
M.L. Stern & Co., LLC.�
Name on Registration
CRD No.
1399196�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
M.L. Stern & Co., LLC.�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
�
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
M.L. Stern & Co., LLC.�
Name on Registration
CRD No.
1399195�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
M.L. Stern & Co., LLC.�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
�
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
M.L. Stern & Co., LLC.�
Name on Registration
CRD No.
1399194�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
M.L. Stern & Co., LLC.�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
�
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
M.L. Stern & Co., LLC.�
Name on Registration
CRD No.
1399193�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
M.L. Stern & Co., LLC.�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
�
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
M.L. Stern & Co., LLC.�
Name on Registration
CRD No.
1399192�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
M.L. Stern & Co., LLC.�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
�
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
M.L. Stern & Co., LLC.�
Name on Registration
CRD No.
1399191�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1399190�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1391908�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1369405�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1311653�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1305995�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1276052�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
�
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
William Norman Thompson�
Name on Registration
CRD No.
1265080�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Entry
�Firm
Full name of the
associated person:
�
The associated person is: registered with the SECnot registered with the SEC
SEC Registration No.
CRD No., if any
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor
The DRP was filed in error. Explain the circumstances:
Natural person
Full name of the associated person:
Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.
First Name
Middle Name
Last Name
Suffix
The associated person is:
registered with the SEC
SEC Registration No.:
not registered with the SEC
CRD No., if any:
Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?
Yes No
If "Yes," the reason the DRP should be removed is:
The associated person(s) is no longer associated with the advisor.
The event or proceeding was resolved in the associated person's favor.
The DRP was filed in error. Explain the circumstances:
�
Associated Person(s)
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
YES NO
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
James Harrell Ross�
Name on Registration
CRD No.
84364�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
MA-I Registration Number
Date of Filing that contains the disclosure
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1257908�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1237911�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1236936�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1180771�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1174436�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1163876�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1135146�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1098286�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1096578�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1052773�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1019547�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
735988�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
570678�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
570659�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
570598�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
182419�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
113221�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
113219�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
113218�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
113217�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
113216�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
113215�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
113214�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Southwest Securities, Inc.�
Name on Registration
CRD No123.
1729428�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
HILLTOP SECURITIES INC.�
Name on Registration
CRD No123.
1864063�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
HILLTOP SECURITIES INC.�
Name on Registration
CRD No123.
1864063�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
HILLTOP SECURITIES INC.�
Name on Registration
CRD No123.
1884520�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
HILLTOP SECURITIES INC.�
Name on Registration
CRD No123.
1887690�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
HILLTOP SECURITIES INC�
Name on Registration
CRD No123.
1909750�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Hilltop Securities, Inc.�
Name on Registration
CRD No123.
2139984�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Hilltop Securities Inc. �
Name on Registration
CRD No123.
2353465�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP MA) is an INITIALOR AMENDEDresponse used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.
Check item(s) being responded to:�
�9-C(1)����
�9-C(2) ���
�9-C(3)��
�9-C(4)
�9-C(5)
9-D(1)
9-D(2)
9-D(3)�
�9-D(4)��
�9-D(5)
��9-E(1)�
�9-E(2)�
�9-E(3)��
�9-E(4)
�
How to Report an Event or Proceeding on a Regulatory Action DRP: � Use a separate DRP for each event or proceeding .� The same event or proceeding may be reported for more than one person or entity using one DRP.�One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. �If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
REGULATORY ACTION DRP PART 1
Check all that apply, except where noted
A.��� The person(s) or entity(ies) for whom this DRP is being filed is (are) the: ��
Applicant (the municipal advisory firm)
Applicant and one or more of the applicant's associated person(s)
One or more of applicant's associated person(s)
1. Applicant
(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?
YES��� NO
(b) If "Yes," the reason the DRP should be removed is:
The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.
The DRP was filed in error.
Explain the circumstances:
�
2. Associated Person(s)
(a) Does this DRP concern one or more associated persons?
Yes��� No
����(i) If "Yes," indicate the total number of such associated person(s):
(b) Identify each such associated firm and/or natural person in the space below:
Applicant
B.�DRP Filed Elsewhere for This Event:
����Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?
Yes No
If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.
1. Form ADV, BD, or U4 Filing
2. Form MA Filing
3. Form MA-I Filing
1. Form ADV, BD, or U4 Filing:
For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:
Hilltop Securities Inc.�
Name on Registration
CRD No123.
2139984�
Disclosure Occurrence No.
2. Form MA Filing:
For a DRP filed on EDGAR with a Form MA, provide the following information:
MA Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing
3. Form MA-I Filing:
For a DRP filed on EDGAR with a Form MA-I, provide the following information:
�
Name on Registration3123
MA-I Registration Number
Date of Filing that contains the DRP (MM/DD/YYYY)
Accession number of the filing