The Florida Housing Finance Corporation (FHFC) is posting this written announcement with the intent that market participants may provide advice and information to FHFC regarding municipal financial products or the issuance of municipal securities and utilize the independent registered municipal advisor (IRMA) exemption from the municipal advisor definition in Securities and Exchange Commission rules.
FHFC has engaged the services of Caine Mitter Associates Incorporated (Caine Mitter) to act as financial advisor to FHFC in considering proposals and information that market participants provide to FHFC regarding municipal financial products or the issuance of municipal securities (including, but not limited to, investment of bond proceeds and escrow investments). To the extent deemed appropriate by FHFC, FHFC will seek and consider the advice, analysis and perspective of Caine Mitter regarding any information or proposals received by FHFC that FHFC determines to consider. Caine Mitter has advised FHFC that it is registered as a municipal advisor with both the Securities and Exchange Commission and the Municipal Securities Rulemaking Board and that no "Associated Individual" (within the meaning of the SEC Staff's FAQ No. 3.6) at Caine Mitter providing municipal advisory services to FHFC was employed within the last two years as an Associated Individual by a broker-dealer firm. FHFC will update this announcement from time to time as necessary if Caine Mitter advises FHFC that the circumstances regarding such personnel have changed.
Any advice or information that you wish FHFC to consider should be sent to FHFC per the following contact information:
FloridaHousing Finance Corporation
227 North Bronough Street, Suite 5000
In no event should any proposal or advice regarding FHFC be sent directly to Caine Mitter without the express direction of FHFC. FHFC will forward to Caine Mitter any information or proposals from market participants that it receives and wishes to consider. Caine Mitter has been instructed to inform FHFC if any advice or information is sent directly to it. The initial sentence of this paragraph does not refer to the disclosures that are required to be sent to the financial advisor pursuant to 17 CFR 240.15Ba1-1(d)(3)(vi)(C)(1), which may be directed to Ansel Caine; Caine Mitter & Associates, Incorporated; 225 West 35th Street, Suite 900; New York, NY10001 (Email:firstname.lastname@example.org).
Date: October 7, 2014