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APPENDIX A <br /> CITY OF SAN MARCOS <br /> BROKER/DEALER QUESTIONNAIRE <br /> Name of Firm: <br /> Address: <br /> Telephone: <br /> Ownership/affiliation, if appropriate: <br /> Primary Representative on account: <br /> Telephone: <br /> Fax: <br /> E-Mail: <br /> Backup representative or trading assistant: <br /> Telephone: <br /> Branch Manager: <br /> Telephone: <br /> Fax: <br /> E-Mail: <br /> Is the firm designated as a Primary Dealer by the Federal Reserve? <br /> How long has the firm had Primary Dealer status? <br /> Is the firm registered with the Texas State Securities Board? <br /> Is the firm and representative registered with the NASD? CRD#: <br /> How long has the designated representative been an institutional fixed income broker at this <br /> firm? In total? <br /> In what market sectors does the account representative specialize? <br /> City of San Marcos Investment Policy Page 8 <br />