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What are the market sectors in which you and your firm are involved? Please feel free to <br /> provide additional information regarding specialization in any of the following market <br /> sectors. <br /> Firm Involvement Broker Involvement <br /> US Treasuries <br /> US Agencies <br /> Repo <br /> MBS <br /> CP/BA <br /> Corporate <br /> CD <br /> Other? <br /> Has this firm, or the representatives assigned to this account,been subject to a regulatory <br /> agency, state or federal investigation for alleged improper, disreputable, unfair or <br /> fraudulent activities related to the sale of securities or money market instruments that <br /> resulted in a suspension or censure? <br /> Is there outstanding litigation which would materially affect your financial stability? <br /> If yes to either,please explain <br /> Do you provide any fixed income research and economic commentary? <br /> Please attach sample. <br /> Please provide the firm's most recent audited financial statement. <br /> Describe the precautions taken by your firm to protect the interests of the public when <br /> dealing with a local public entity. <br /> The Business Organization listed on this broker/dealer form and its representatives <br /> assigned to the City account must certify they have thoroughly reviewed and have an <br /> understanding to preclude from investment transactions not authorized in accordance to <br /> the Texas PFIA, Chapter 2256, TX Government Code and the City's investment policy by <br /> signing below. All transactions will be completed delivery versus payment. <br /> Signature Title Date <br /> Signature Title Date <br /> 2 <br /> City of San Marcos, $Warob 2017 <br />