September 9, 2019
By publicly posting the following written statement, the North Carolina Housing Finance Agency (the “Agency”) intends that market participants receive and use it for purposes of the independent registered municipal advisor exemption to the SEC Municipal Advisor Rule.
The Agency has retained Caine Mitter & Associates Incorporated (“Caine Mitter”) to act its independent registered municipal advisor to the Agency. The Agency is represented by and will rely on Caine Mitter to provide advice on proposals from financial services firms concerning the issuance of municipal securities and municipal financial products (including investments of bond proceeds and escrow investments). Caine Mitter has advised the Agency that it is registered as a municipal advisor with the US Securities and Exchange Commission and the Municipal Securities Rulemaking Board.
Any proposals may be addressed to the Agency at 3508 Bush Street; Raleigh, NC 27609; Attention: Brett Warner. If the proposal received will be seriously considered by the Agency, the Agency will share the document with its municipal advisor. Please note that aside from correspondence mandated by regulatory requirements, any person wishing to make a proposal should not speak directly with or send documents directly to the municipal advisor unless specifically directed to by the Agency.
This notice may be relied upon until June 1, 2024.
North Carolina Housing Finance Agency
