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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 <br />Date <br />Signature Title Date <br />2 <br />City of San Marcos, vMarch 2018 <br />