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<br />10) Which of the above-mentioned personnel (question #4) have received and <br />thoroughly reviewed the investment policy for the City of San Marcos? <br />(Everyone listed in question 4 should sign the acknowledgment in the back of <br />this questionnaire.) <br /> <br />11) Please indicate which agent(s) of you firm is/are currently licensed, <br />certified or registered, and by whom. <br /> <br />12) Please provide a list of three (3) most directly compatible public-sector <br />clients in our geographical area. <br /> <br />13) Have any of your public-sector clients ever sustained a misrepresentation <br />of the risk characteristics of an instrument? If yes, explain. <br /> <br />14) Have any of your public-sector clients ever reported to your firm, <br />officers or employees, orally or in writing, that they sustained a loss (in <br />a single year) exceeding ten (10%) percent of the original purchase price on <br />any individual security purchased through your firm? If yes, explain. <br /> <br />15) Has your firm, or any of your employees, ever been subject to a regulatory <br />agency, state of federal, investigation for alleged improper, disreputable, <br />unfair, [or] fraudulent activities related to the sale of securities or money <br />market instruments? If yes, please explain. <br /> <br />630 East Hopkins. San Marcos, Texas 78666. Phone 512/393/8170. Fax 512/392-4612 <br /> <br />City of San Marcos Cash Management and Investment Policy <br />Page 15 of 24 <br />