Solicitation of Securities Brokers
Notification is hereby given that METRO accepts indications of interest from brokers wishing to be certified to do business with METRO. All brokers who submit evidence of appropriate National Association of Securities Dealers registrations, demonstrate compliance with Securities and Exchange Commission Rule 15C3-1 (Uniform Net Capital Rule) and audited financial statements demonstrating creditworthiness, experience and reputation are recommended to METRO’s Board of Directors for approval on an annual basis. Interested brokers should forward evidence of registration compliance with SEC Rule 15C3-1 and the most recent audited financial statements to METRO’s attention as follows:
Attn:
Lisa W. Oliver
Manager of Investments and Banking
Metropolitan Transit Authority
1900
