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<br />22) Has your firm consistently complied with the Federal Reserve Bank's <br />capital adequacy guidelines? As a broker/dealer registered under the <br />Securities Exchange Act of 1934, your Firm is subject to rule 15c-1 <br />promulgated by the United States Securities and Exchange Commission. <br /> <br />. As of the date, does your firm comply with the guidelines? <br /> <br />. Has you capital position ever fallen short? <br /> <br />.By what factor does your firm currently exceed the capital adequacy <br />guidelines? As of November 1992, the capital adequacy guidelines? <br /> <br />23) Do you participate in the SIPC insurance program? <br /> <br />24) What portfolio information do you require form your clients? <br /> <br />25) What reports, transactions, confirmations and paper trail will we receive? <br /> <br />26) Please provide a complete schedule of fees and charges for various <br />transactions. <br /> <br />27) How many and what percentage of your transactions failed during the last <br />month? <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 17 of 24 <br />