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APPENDIX A <br />CITY OF SAN MARCOS <br />Name of Firm: <br />Address: <br />BROKER /DEALER QUESTIONNAIRE <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 />finn? In total? <br />In what market sectors does the account representative specialize? <br />City of San Marcos Investment Policy Page 13 <br />