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<br /> Ig~ <br /> 22) Has your firm consistently complied with the Federal Reserve Bank's capital adequacy <br /> guidelines? As a broker/dealer registered under the Securities Exchange Act of 1934, the Firm is <br /> subject to rule 15c-1 promulgated by the United States Securities and Exchange Commission. <br /> -As of the date, does your firm comply with the guidelines? <br /> - <br /> -Has you capital position ever fallen short? <br /> -By what factor does your firm currently exceed the capital adequacy guidelines? <br /> As of November 1992, the capital adequacy guidelines? <br /> 23) Do you participate in the SIPC insurance program? <br /> . <br /> 24) What portfolio information do you require form your clients? <br /> 25) What reports, transactions, confirmations and paper trail will we receive? <br /> 26) Please provide a complete schedule of fees and charges for various transaction. <br /> 27) How many and what percentage of your transactions failed during the last month? <br /> 630 East Hopkins -San Marcos, Texas 78666 -512/393-8000 -FAtX 512/392-4612 <br /> 22 <br />