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CITY OF SAN MARCOS <br /> BROKER/DEALER QUESTIONNAIRE <br /> (This section completed only by Non-Primary Dealers) <br /> Name of Firm: CRD #: <br /> Years in business at this location: In total years: <br /> Indicate the approximate sales volume in the following sectors for the previous year. <br /> US Treasuries Repo <br /> US Agencies MBS <br /> CP Other? <br /> BA <br /> Has your firm, or this account representative, been subject to a regulatory agency, state of federal, <br /> investigation for alleged improper, disreputable, unfair, [or] fraudulent activities related to the <br /> sale of securities or money market instruments in the past five years? Are there any outstanding <br /> claims?If yes, please explain. <br /> Have any of your public-sector clients ever reported to your firm, its officers of employees, orally <br /> or in writing, that your firm, was responsible for investment losses? If yes, please explain. <br /> Please attach a sample of standard research reports and your standard confirmation to be provided <br /> to the City. <br /> Please provide the firm's most recent audited financial statements. The City will require an annual <br /> financial statement be provided. <br /> What portfolio information do you require form your clients? <br /> City of San Marcos Investment Policy Page 10 <br />