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Example "SEC PRODUCTION OF DOCUMENTS" Request

Below is an example documentation request by the Security and Exchange Commission (SEC) to the City of Miami, identifying what documents are to be delivered to the SEC as part of an on-going investigation:

A. All documents to or from the Marlins,1 David Samson, Jeffrey Loria, the MLB, 2 Irwin Raij, Robert A. DuPuy, or Allan H. (Bud) Selig, between January 1, 2007 and December 1, 2010.

B. All documents from after January 1, 2007, concerning deadspin.com and the Marlins.

C. All documents from after January 1, 2007, concerning (a) the Marlins’s ability to finance or contribute to the financing of a stadium, parking structure, or sports complex, (b) the Marlins’s profitability, revenues, assets, and liabilities, or (c) the Marlins’s debt or ability to borrow money.

D. All documents from after January 1, 2007, concerning any payments, loans, campaign contributions, or any offers of anything of value from the Marlins to any member of city, county, and/or state governments.

E. All written minutes, video and audio recordings and captioner’s notes of all Commission, committee, subcommittee and other meetings relating or referring to the stadium, parking facility, or sports complex being built for use by the Marlins from after January 1, 2007.

F. All documents concerning any meeting from after January 1, 2007, with the Marlins, MLB, David Samson, Jeffrey Loria, Robert A. DuPuy, or Allan H. (Bud) Selig.

G. All documents from after January 1, 2007, concerning any communication, oral or written, between the City of Miami’s commissioners, commission staff, officers, employees, agents, independent contractors and all persons acting on its behalf concerning the Marlins stadium, parking structure, or sports complex, including, but not limited to summaries, opinions, memoranda, notes, letters and c-mails.

H. All documents concerning rules, bylaws, contracts, or any other documents containing descriptions of the City Attorney Office’s responsibilities and duties regarding bonds issued by the City of Miami generally, and specifically, the Tax-Exempt Special Obligation Parking Revenue Bonds, Series 2010A and Taxable Special Obligation Parking Revenue Bonds, Series 2010B (collectively, the “Parking Facility Bonds”).

I. The name and title of all persons acting on behalf of the City of Miami who had a substantial role in the Martins stadium, parking structure, or sports complex-related bond offerings and financings after January 1, 2007.

J. All documents from after January 1, 2007, relating or referring to any agreement, oral or written, between the City of Miami and Marlins concerning the parking facility being built near the Marlins’ s stadium (the “Parking Facility”)4 and any amendments or successor agreements thereto, including, but not limited to, contracts, lease agreements, court orders, letters of understanding, memoranda, correspondence, notes and e-mails.

K. All documents from after January 1, 2007, concerning any tax matter or issue concerning the Parking Facility (including, but not limited to, whether the Parking Facility was subject to a property tax from Miami-Dade County, whether interest paid on the Parking Facility Bonds was exempt from federal income taxes, whether the Parking Facility was for public use or private business use, or the application of any Internal Revenue Service regulation or guidance to the Parking Facility Bonds) including, but not limited to memoranda, correspondence, notes, telephone logs and e-mails.

L. All documents from after January 1, 2007, exchanged between or among the City of Miami and (a) Banc of America Merrill Lynch (“Ranc of America”), (b) RBC Capital Markets Corp., (c) Raymond James & Associates, Inc., (d) Morgan Keegan & Co. Inc., (e) Goldman Sachs & Co., (I) Bryant Miller Olive PA, (g) Squire, Sanders & Dempsey LLP, (h) Akerman, Senterfitt, PA, (i) First Southwest Company, or (3) Miami-Dade County (or the related corporations, subsidiaries, partnerships, affiliates, controlling shareholders, officers, directors, general and limited partners, members, associates, employees, agents, independent contractors and all persons acting on the behalf of any of the foregoing), in connection with the issue, offer and sale of the Parking Facility Bonds.

M. All documents concerning continuing disclosures or other obligations relating to the Parking Facility Bonds.

N. All documents from after January 1, 2007, concerning any communication or meeting between the City of Miami and any individual or entity, concerning, or arising from, any tax matter or issue concerning the Parking Facility Bonds, including, but not limited to, legal and tax opinions, memoranda, correspondence, notes and telephone logs and e-mail.

Notes:

  1. “Marlins” refers to the Florida Marlins LP, its present or former parents, subsidiaries, related corporations (including, but not limited to Double Play Company), partnerships, affiliates, owners, principals, shareholders, officers, directors, partners, employees, public relations personnel or firms, agents, independent contractors, attorneys, advisors, consultants, investment bankers, persons acting on behalf of any of the foregoing, and any aliases, code names, or trade or business names used by any of the foregoing.
  2. “MLB” refers to the Major League Baseball, its present or former officers, directors, associates, employees, support personnel, public relations personnel or firms, agents, independent contractors, attorneys, advisors, consultants, investment bankers, persons acting on behalf of any of the foregoing, and any aliases, code names, or trade or business names used by any of the foregoing.
  3. “City, county, and/or state governments” means any employee of any government organization, including, but not limited to, all city, county, or state employees, elected officials, city commissioners, county commissioners, state legislative representatives, mayors, and the staffs or spouses of any of the foregoing.
  4. The “Parking Facility” refers to the garages the City of Miami financed with proceeds from the sale of the Parking Faculty Bonds and all matters related to the garages, including, but not limited to, the development, financing, construction and operation of the garages.

Source Link: http://www.fieldofschemes.com/documents/sec-marlins-city.pdf

Links:

ImageMAKER U.S. Securities and Exchange Commission Data Delivery Standards
ImageMAKER Discovery Assistant home page