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Cont. (Part 3)
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Vol. 1- City of Santa Ana Financing Authority (Police Admin. and Holding Facility)
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Cont. (Part 3)
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(vii) the Auction Date for the next succeeding Auction. <br /> (b) On each Auction Date, each Broker-Dealer that submitted an Order on behalf of any <br /> Existing Holder or Potential Holder shall: <br /> (i) advise each Existing Holder and Potential Holder on whose behalf such <br /> Broker-Dealer submitted a Bid or Sell Order in the Auction on such Auction Date <br /> whether such Bid or Sell Order was accepted or rejected, in whole or in part; <br /> (ii) in the case of a Broker-Dealer that is a Buyer's Broker-Dealer, advise <br /> each Potential Holder on whose behalf such Broker-Dealer submitted a Bid that <br /> was accepted, in whole or in part, to instruct such Potential Holder's Participant <br /> to pay to such Broker-Dealer(or its Participant)through the Securities Depository <br /> the amount necessary to purchase the principal amount of ARS to be purchased <br /> pursuant to such Bid against receipt of such ARS; <br /> (iii) in the case of a Broker-Dealer that is a Seller's Broker-Dealer, <br /> instruct each Existing Holder on whose behalf such Broker-Dealer submitted a <br /> Sell Order that was accepted, in whole or in part, or a Bid that was accepted, in <br /> whole or in part, to instruct such Existing Holder's Participant to deliver to such <br /> Broker-Dealer (or its Participant) through the Securities Depository the principal <br /> amount of ARS to be sold pursuant to such Order against payment therefor; <br /> (iv) advise each Existing Holder on whose behalf such Broker-Dealer <br /> submitted an Order and each Potential Holder on whose behalf such <br /> Broker-Dealer submitted a Bid of the Auction Rate for the next Auction Period; <br /> (v) advise each Existing Holder on whose behalf such Broker-Dealer <br /> submitted an Order of the next Auction Date; and <br /> (vi) advise each Potential Holder on whose behalf such Broker-Dealer <br /> submitted a Bid that was accepted, in whole or in part, of the next Auction Date. <br /> (c) On the basis of the information provided to it pursuant to paragraph (a) above, each <br /> Broker-Dealer that submitted a Bid or Sell Order in an Auction is required to allocate any funds <br /> received by it in connection with such Auction pursuant to paragraph (b)(ii)above, and any ARS <br /> received by it in connection with such Auction pursuant to paragraph (b)(iii) above among the <br /> Potential Holders, if any, on whose behalf such Broker-Dealer submitted Bids, the Existing <br /> Holders, if any on whose behalf such Broker-Dealer submitted Bids or Sell Orders in such <br /> Auction, and any Broker-Dealers identified to it by the Auction Agent following such Auction <br /> pursuant to paragraph (a)(v) or (a)(vi) above. <br /> (d) On each Auction Date: <br /> IAt-69760.2 A-2 <br />
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