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.
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.
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.
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:
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, 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:
801-62585
(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:
DELAWARE DISTRIBUTORS, L.P.
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:
8-29755
(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:
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
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:
801-32108
(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:
MACQUARIE AUSTRALIAN INFRASTRUCTURE MANAGEMENT 2 LIMITED
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE ALTERNATIVE ASSETS MANAGEMENT LIMITED
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE AGRICULTURAL FUNDS MANAGEMENT LIMITED
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:
802-76320
(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:
MACQUARIE CAPITAL (EUROPE) LIMITED
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):
Financial Conduct Authority (FCA)
(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):
UNITED KINGDOM �
Name of Affiliate:
MACQUARIE CAPITAL (SINGAPORE) PTE LTD
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):
Monetary Authority of Singapore (MAS)
(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):
SINGAPORE �
Name of Affiliate:
MACQUARIE INFRASTRUCTURE AND REAL ASSETS (EUROPE) LIMITED
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:
802-76319
(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):
UNITED KINGDOM �
Name of Affiliate:
MACQUARIE INVESTMENT MANAGEMENT GLOBAL LTD
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE AUSTRALIAN INFRASTRUCTURE MANAGEMENT 1 LIMITED
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE CAPITAL SECURITIES (JAPAN) LIMITED
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):
Financial Services Agency (FSA)
(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):
JAPAN �
Name of Affiliate:
MACQUARIE CAPITAL SECURITIES (MALAYSIA) SDN. BHD.
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):
Bursa Malaysia
(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):
MALAYSIA �
Name of Affiliate:
MACQUARIE CAPITAL SECURITIES (PHILIPPINES) 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):
Philippines Securities and Exchange Commission (SEC)
(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):
PHILIPPINES �
Name of Affiliate:
MACQUARIE CAPITAL LIMITED
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):
Securities and Futures Commission (SFC)
(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):
HONG KONG �
Name of Affiliate:
MACQUARIE FINANCIAL PRODUCTS MANAGEMENT LTD
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE ADVSORY & CAPITAL MARKETS SOUTH AFRICA (PTY) LTD
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):
Financial Services Board (FSB)
(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):
SOUTH AFRICA �
Name of Affiliate:
MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED
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):
State Administration of Foreign Exchange (SAFE)
(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):
HONG KONG �
Name of Affiliate:
MACQUARIE INFRASTRUCTURE MANAGEMENT (ASIA) PTY LIMITED
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE REAL ESTATE MANAGEMENT (AUSTRALIA) LTD
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE PRISM PTY LIMITED
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE SECURITIES (AUSTRALIA) LIMITED
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE SECURITIES (NZ) LIMITED
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):
New Zealand Financial Markets Authority (NZFMA)
(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):
NEW ZEALAND �
Name of Affiliate:
MACQUARIE SECURITIES (THAILAND) LIMITED
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):
Thai Securities and Exchange Commission (SEC)
(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):
THAILAND �
Name of Affiliate:
MACQUARIE SECURITIES KOREA LIMITED
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):
Financial Services Commission (FSC)
(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):
KOREA, DEMOCRATIC PEOPLE'S REPUBLIC OF �
Name of Affiliate:
MACQUARIE SECURITIES MANAGEMENT PTY LTD
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE SPECIALISED ASSET MANAGEMENT 2 LIMITED
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE SPECIALISED ASSET MANAGEMENT LIMITED
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE INVESTMENT MANAGEMENT AUSTRALIA LIMITED
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE SPECIALIST INVESTMENT MANAGEMENT LIMITED
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
PT MACQUARIE SEKURITAS INDONESIA
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):
Otoritas Jasa Keuangan (OJK)
(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):
INDONESIA �
Name of Affiliate:
MACQUARIE BANK LIMITED
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):
Thai Securities and Exchange Commission (SEC)
(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):
THAILAND �
Name of Affiliate:
MACQUARIE GIG FUNDS MANAGEMENT LIMITED
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE INVESTMENT SERVICES LTD
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE FUTURES USA 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):
Commodity Futures Trading Commission
(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:
MACQUARIE CAPITAL (AUSTRALIA) LTD
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
FINANCIAL INDEX AUSTRALIA PTY LIMITED
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):
Australian Securities & Investments Commission (ASIC)
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE KOREA ASSET MANAGEMENT CO LTD
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):
Financial Supervisory Service (FSS)
(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):
KOREA, REPUBLIC OF �
Name of Affiliate:
MACQUARIE CAPITAL SECURITIES (INDIA) PRIVATE LIMITED
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):
National Stock Exchange of India (NSE)
(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):
INDIA �
Name of Affiliate:
MACQUARIE CAPITAL SECURITIES (SINGAPORE) PTE LIMITED
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):
MAS
(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):
SINGAPORE �
Name of Affiliate:
AMERRA CAPITAL 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:
(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:
MACQUARIE INFRASTRUCTURE AND REAL ASSETS (SALES) CANADA LTD
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):
Ontario Securities Commission
(b) Registration No., if any:
37360
(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):
CANADA (FEDERAL LEVEL) �
Name of Affiliate:
MACQUARIE INFRASTRUCTURE PARTNERS 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):
U.S. Securities and Exchange Commission
(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:
MAM AMERICAS, 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):
U.S. Securities and Exchange Commission
(b) Registration No., if any:
801-108008
(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:
MACQUARIE AUSTRALIA SECURITIES LTD
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):
AUSTRALIAN SECURITIES & INVESTMENTS COMMISSION
(b) Registration No., if any:
ACN 074 453 286
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE EQUITIES LTD
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):
AUSTRALIAN SECURITIES & INVESTMENTS COMMISSION
(b) Registration No., if any:
ACN 002 574 923
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE FUTURES (SINGAPORE) PTE. LIMITED
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):
Singapore Stock Exchange
(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):
SINGAPORE �
Name of Affiliate:
MACQUARIE ASIA SECURITIES LIMITED
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):
SECURITIES AND FUTURES COMMISSION
(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):
HONG KONG �
Name of Affiliate:
MACQUARIE MARKETS TRADING LIMITED
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):
Securities and Futures Commission
(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):
HONG KONG �
Name of Affiliate:
MACQUARIE ASSET MANAGEMENT JAPAN CO. LTD
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:
MACQUARIE FUND ADVISERS PTY LTD
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:
MACQUARIE CAPITAL FRANCE (MCF)
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:
GREEN INVESTMENT GROUP MANAGEMENT LIMITED
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):
Financial Conduct Authority
(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):
UNITED KINGDOM �
Name of Affiliate:
MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED
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:
MACQUARIE ASSET MANAGEMENT EUROPE S.A.R.L. (MAMES)
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):
Commission de Surveillance du Secteur Financier
(b) Registration No., if any:
A00002436
(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):
LUXEMBOURG �
Name of Affiliate:
MACQUARIE INVESTMENT MANAGEMENT EUROPE S.A. (MIMESA)
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):
Australian Transaction Reports and Analysis Centre
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE INVESTMENT MANAGEMENT AUSTRIA KAPITALANLAGE AG
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:
MACQUARIE FUND ADVISERS PTY LTD
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):
Australian Securities & Investments Commission
(b) Registration No., if any:
318123
(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):
AUSTRALIA �
Name of Affiliate:
DELAWARE INVESTMENTS FUND SERVICES 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):
SEC
(b) Registration No., if any:
084-06512
(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:
WADDELL & REED SERVICES 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):
SEC
(b) Registration No., if any:
801-40372
(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:
DELAWARE SERVICE COMPANY, 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:
(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:
MACQUARIE INVESTMENT MANAGEMENT LTD
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):
Australian Securities & Investments Commission
(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):
AUSTRALIA �
Name of Affiliate:
MACQUARIE ALLIANCE PARTNERS MANGEMENT, 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):
FINRA
(b) Registration No., if any:
324742
(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:
MACQUARIE REAL ESTATE MANAGEMENT (US), 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:
(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:
CENTRAL PARK ADVISERS, 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):
Securities and Exchange Commission
(b) Registration No., if any:
801-67480
(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:
MACQUARIE INFRASTRUCTURE AND REAL ASSETS 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):
SECURITIES AND EXCHANGE COMMISSION
(b) Registration No., if any:
297846
(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:
MACQUARIE PRIVATE DEBT 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):
SECURITIES AND EXCHANGE COMMISSION
(b) Registration No., if any:
801-108243
(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.
Schedule D: MISCELLANEOUS
The space below may be used to explain a response to an Item or to provide any other information.
As of the reporting date of this filing, June 17, 2024, no natural person(s) owned more than 25% of the entities listed in Schedule B-1.�
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:
MACQUARIE EQUITIES LIMITED (MEL)�
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:
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No123.
1718802�
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
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1718802�
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:
MACQUARIE BANK LIMITED (MBL)�
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:
Entry
�Firm
Full name of the
associated person:
MACQUARIE FUTURES USA LLC (MFUSA)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1711172�
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
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1711172�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No123.
1691210�
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:
DELAWARE MANAGEMENT BUSINESS TRUST�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1619761�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC�
Name on Registration
CRD No.
1575509�
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:
MACQUARIE FUNDS MANAGEMENT�
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:
MACQUARIE CAPITL (USA) INC.�
Name on Registration
CRD No.
1566996�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1566995�
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:
MACQUARIE CAPITAL SECURITES (MALAYSIA) SDN BHD (MCSM)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1551284�
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:
MACQUARIE INC (MINC)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1533100�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1533099�
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:
DELAWARE DISTRIBUTORS, L.P.�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1492695�
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:
DELAWARE SERVICE COMPANY, 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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1492696�
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:
MACQUARIE EQUITIES LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1484823�
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:
MACQUARIE SECURITIES (AUSTRALIA) LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1477872�
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:
MACQUARIE SECURITIES (AUSTRALIA) LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1477871�
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:
MACQUARIE EQUITIES (ASIA) LTD.�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1449010�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1415530�
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:
MACQUARIE EQUITIES LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1415527�
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:
MACQUARIE BANK LIMITED (MBL)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1354113�
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:
MACQUARIE EQUITIES (NEW ZEALAND) LIMITED (MENZ)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1344913�
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:
MACQUARIE EQUITIES LIMITED (MEL)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1344912�
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:
MACQUARIE BANK LIMITED (MBL)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1334312�
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:
MACQUARIE BANK LIMITED (MBL)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1334311�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1334310�
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:
MACQUARIE BANK LIMITED (MBL)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1334309�
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:
MACQUARIE BANK LIMITED (MBL)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1334308�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1334307�
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:
MACQUARIE BANK LIMITED (MBL)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1334305�
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:
MACQUARIE FUNDS MANAGEMENT�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1334304�
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:
MACQUARIE BANK LIMITED (MBL)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1334302�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No123.
1726147�
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:
MACQUARIE INVESTMENT MANAGEMENT KOREA (MIMK)�
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:
MACQUARIE CAPITAL (USA) INC�
Name on Registration
CRD No.
1746892�
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:
DELAWARE DISTRIBUTORS, L.P.�
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:
Entry
�Firm
Full name of the
associated person:
FOUR CORNERS CAPITAL MANAGEMENT, 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:
Entry
�Firm
Full name of the
associated person:
MACQUARIE CAPITAL INVESTMENT MANAGEMENT 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:
Entry
�Firm
Full name of the
associated person:
MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED�
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:
DELAWARE DISTRIBUTORS, L.P.�
Name on Registration
CRD No.
1809368�
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
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:
DOURCORNERS CAPITAL MANAGEMENT, LLC�
Name on Registration
CRD No.
1809368�
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
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:
MACQUARIE CAPITAL INVESTMENT MANAGEMENT LLC�
Name on Registration
CRD No.
1809368�
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
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:
MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED�
Name on Registration
CRD No.
1809368�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No123.
1857045�
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:
MACQUARIE EQUITIES LTD�
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:
MACQUARIE CAPITAL�
Name on Registration
CRD No.
1860064�
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:
MACQUARIE FUTURES USA 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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1860065�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1880860�
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:
MACQUARIE SECURITIES (NZ) LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1880861�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1889287�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1889289�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1889290�
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:
MACQUARIE FUTURES USA 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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1993399�
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:
MACQUARIE FUTURES USA 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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2012012�
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:
MACQUARIE SECURITIES (NZ) LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2024678�
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:
MACQUARIE SECURITIES (AUSTRALIA) LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2034299�
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:
MACQUARIE FUTURES USA 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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2047791�
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:
MACQUARIE FUTURES USA 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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2047792�
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:
MACQUARIE BANK LIMITED (MBL)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2063601�
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:
MACQUARIE FUTURES USA 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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2067677�
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:
MACQUARIE FUTURES USA 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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2086643�
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:
MACQUARIE SECURITIES KOREA LIMITED (MSKL)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2094844�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2123953�
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:
Macquarie Securities Australia Limited�
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:
Macquarie Capital (USA) Inc.�
Name on Registration
CRD No.
2130795�
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:
MACQUARIE EQUITIES LIMITED�
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:
MACQUARIE CAPITAL (USA), INC.�
Name on Registration
CRD No.
2168860�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2202676�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL USA INC.�
Name on Registration
CRD No.
2202860�
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:
MACQUARIE BANK LIMITED (MBL)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
1354113�
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:
MACQUARIE FUTURES USA 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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2280045 �
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:
MACQUARIE BANK LIMITED (MBL)�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2251165�
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:
MACQUARIE FUTURES USA 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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2298270�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2298272�
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:
MACQUARIE BANK LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2298271�
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:
MACQUARIE CAPITAL SECURITIES (INDIA) PRIVATE LIMITED�
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:
MACQUARIE CAPITAL (USA) INC.�
Name on Registration
CRD No.
2322852�
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