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<br />!¡LA. <br /> <br /> <br /> <br />10) Which of the above-mentioned personnel (question #4) have received and thoroughly reviewed <br />the investment policy for the City of San Marcos? (Everyone listed in question 4 should sign the <br />acknowledgment in the back of this questionnaire.) <br /> <br /> <br /> <br /> <br /> <br />11) Please indicate which agent(s) of you firm is/are currently licensed, certified or registered, and by <br />I whom. <br /> <br /> <br /> <br /> <br />12) Please provide a list of three (3) most directly compatible public-sector clients in our geographical <br />area. . . <br /> <br /> <br /> <br /> <br /> <br /> <br />13) Have any of your public-sector clients ever sustained a misrepresentation of the risk <br /> <br />characteristics of an instrument? If yes, explain. <br />. <br /> <br /> <br /> <br /> <br /> <br /> <br /> <br />14) Have any of your public-sector clients ever reported to your firm, officers or employees, orally or in <br />writing, that they sustained a loss (in a single year) exceeding ten (10%) percent of the original <br />purchase price on any individual security purchased through your firm? If yes, explain. <br />, <br />I <br /> <br />'- <br /> <br /> <br /> <br /> <br /> <br /> <br />15) Has your firm, or any of your employees, ever been subject to a regulatory agency, state of <br />federal, investigation for alleged improper, disreputable, unfair, [or] fraudulent activities related to <br />the sale of securities or money market instruments? If yes, please explain. <br /> <br /> <br /> <br /> <br /> <br /> <br />630 East Hopkins -San Marcos, Texas 78666 -512/393-8000 -FA,'{ 512/392-4612 <br /> <br /> <br />20 <br /> <br /> <br /> <br />I <br />