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<br />I <br /> <br />I <br /> <br />I <br /> <br />APPENDIX A <br />CITY OF SAN MARCOS <br />BROKER I DEALER QUESTIONNAIRE <br /> <br />Name of Finll: <br />Address: <br /> <br />Telephone: <br /> <br />Ownership/affiliation, if appropriate: <br />PrJmary Representative on account: <br />Telephone: <br />Fax: <br />E-Mail: <br />Backup representative or trading assistant: <br />Telephone: <br />Branch Manager: <br />'feJephone: <br />Fax: <br />E.Mail: <br />Is the finn designated as a Primary Dealer hy the Federal Reserve? <br />How long has thetirm had Primary Dealer status? <br />Is the finn registered wIth the Texas Stale Securities Board'1 <br />Is the finn and representative registered wIth the NASD? _ . m m,__"_ CRD#: <br />How long has the designated representative been an institutional fixed income broker at this <br />finn? In tOlal'! <br />In what market sectors does the account representative specialize? <br /> <br />City of San Marcos [nvestmcnl Polley <br /> <br />Page 13 <br />