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<br />I <br /> <br />I <br /> <br />I <br /> <br />CITY O:F SAN MARCOS <br /> <br />BROKER I DEALER QUESTIONNAIRE <br /> <br />(111is section completed only by Non-Primary Dealers) <br /> <br />Name of Firm: <br />Years in business at this location: <br /> <br />CRD#: <br /> <br />In total years: <br /> <br />Indicate the approximate sales volume in the following sectors for the previous year. <br /> <br />US Treasuries <br /> <br />Repo <br />MBS <br /> <br />US AgenCies <br /> <br />CP <br />BA <br /> <br />Other? <br /> <br />Has YOllr firm, or this account representative. been subject to a regulatory agency, state of federal, <br />investigation for alleged improper, disreputable, unfair. [or] fraudulent activlties related to thesa.le <br />of securities or money market instruments in the past five years? Are there any out,>tanding claims? If <br />yes, please explam, <br /> <br />Have any of your public-sector clients ever reported to your firm, its oflicers of employees, orally or <br />in writing, that your firm, was responsible for investment losses? If yes, please explain. <br /> <br />Please attach a sample of standard research rep()fts and your standard conflnnariorl to be provided to <br />the City_ <br /> <br />Please prov ide the finn's most recent audl ted tlnancial statements, The City will reqUIre an annual <br />[wandal statement be provided, <br /> <br />City of San Marcos Investment Policy <br /> <br />Page 15 <br />