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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: <br />In total years: <br />Indicate the approximate sales volume in the following sectors for the previous year. <br />US Treasuries <br />US Agencies <br />CP <br />BA <br />Repo <br />MBS <br />Other? <br />Has your firm, or this account representative, been subj ect to a regulatory agency, state of federal, <br />investigation for alleged improper, disreputable, unfair, [or] fraudulent activities related to the sale <br />of securities or money market instruments in the past five years?Are there any outstanding claims? If <br />yes, please explain. <br />Have any of your public-sector clients ever reported to your firm, its officers of employees, orally or <br />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 to <br />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 />City of San Marcos Investment Policy Page 15 <br />