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  • Rice Financial G37 Form, 1 July 2008 To 30 Sept 2008, Unamended

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    Texas Watchdog
    9 tayangan3 halaman
    333 Clay Street Suite 3010 Houston, TX 77002 (713) 650-1122 (ph) (713) 650-0237 (fx) FORM G-37 Name of dealer: . Report period: Apex Securities, Inc. dba Rice Financial Products Company July 1, 2008- September 30, 2008 . I. State CONTRIBUTIONS made to issuer officials (list by state) Contributions by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled PAC, municipal finance professionals and non-MFP executive officers). For each contribu

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    Rice Financial G37 Form, 1 July 2008 to 30 Sept 2008, unamended

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    333 Clay Street Suite 3010 Houston, TX 77002 (713) 650-1122 (ph) (713) 650-0237 (fx) FORM G-37 Name of dealer: . Report period: Apex Securities, Inc. dba Rice Financial Products Company July 1, 2008- September 30, 2008 . I. State CONTRIBUTIONS made to issuer officials (list by state) Contributions by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled PAC, municipal finance professionals and non-MFP executive officers). For each contribu

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    Attribution Non-Commercial (BY-NC)
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    9 tayangan3 halaman

    Rice Financial G37 Form, 1 July 2008 To 30 Sept 2008, Unamended

    Diunggah oleh

    Texas Watchdog
    333 Clay Street Suite 3010 Houston, TX 77002 (713) 650-1122 (ph) (713) 650-0237 (fx) FORM G-37 Name of dealer: . Report period: Apex Securities, Inc. dba Rice Financial Products Company July 1, 2008- September 30, 2008 . I. State CONTRIBUTIONS made to issuer officials (list by state) Contributions by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled PAC, municipal finance professionals and non-MFP executive officers). For each contribu

    Hak Cipta:

    Attribution Non-Commercial (BY-NC)
    Unduh sebagai PDF, TXT atau baca online dari Scribd
    Tandai sebagai konten tidak pantas
    dari 3

    333 Clay Street

    Suite 3010
    Houston, TX 77002

    (713) 650-1122 (ph)


    (713) 650-0237 (fx)

    FORM G-37

    Name of dealer: Apex Securities, Inc. dba Rice Financial Products Company
    .

    Report period: July 1, 2008- September 30, 2008 .

    I. CONTRIBUTIONS made to issuer officials (list by state)


    State Complete name, title (including any Contributions by each contributor category (i.e.,
    city/county/state or other political dealer, dealer controlled PAC, municipal finance
    subdivision) of issuer official professional controlled PAC, municipal finance
    professionals and non-MFP executive officers). For
    each contribution, list contribution amount and
    contributor category. (For example, $500 contribution
    by non-MFP executive officer).

    If any contribution is the subject of an automatic


    exemption pursuant to Rule G-37(j), list amount of
    contribution and date of such automatic exemption.

    CA Maxine Waters $1,100.00 contribution by a municipal finance


    National Campaign professional

    IL Barack Obama $2,300.00 contribution by a municipal finance


    Victory Fund professional

    IL Barack Obama $ 200.00 contribution by a municipal finance


    Victory Fund professional

    IL Barack Obama $ 750.00 contribution by a municipal finance


    Democratic Nominee professional
    For President National Campaign

    NY William C. Thompson $175.00 contribution by a municipal finance


    Democratic Candidate for professional
    Mayor of the City of New York

    NY William C. Thompson $175.00 contribution by a municipal finance


    Democratic Candidate for professional
    Mayor of the City of New York
    II. PAYMENTS made to political parties of states of political subdivisions (list by state)

    State Complete name (including any Payments by each contributor category (i.e., dealer,
    city/county/state or other political dealer controlled PAC, municipal finance
    subdivision) of political party professional controlled PAC, municipal finance
    professionals and non-MFP executive officers). For
    each payment, list payment amount and contributor
    category. (For example, $500 payment by non-MFP
    executive officer)

    NONE

    III. ISSUERS with which dealer has engaged in municipal securities business (list by state)

    State Complete name of issuer Type of municipal securities business


    and city/county (negotiated underwriting, agency offering,
    financial advisor, or remarketing agent)

    CT State of Connecticut Negotiated Underwriting


    Hartford/ Hartford County

    FL Miami Dade County Negotiated Underwriting


    Miami/ Dade County

    IL Chicago Illinois Transit Authority Negotiated Underwriting


    Chicago/ Cook County

    MA Massachusetts housing Finance Authority Negotiated Underwriting


    Boston/ Suffolk County

    MS Mississippi Development Bank Negotiated Underwriting


    Jackson/ Jackson County

    NJ New Jersey Transportation Trust Fund Authority Negotiated Underwriting


    Newark/ Essex County

    TX Lone Star College System Negotiated Underwriting


    The Woodlands/ Montgomery County

    TX City of Houston Commercial Paper


    Houston/ Harris County (Rollover)
    Signature: ____________________________ Date: October 31, 2008 .
    Michael C. Murray, CEO

    Name: Rice Financial Products Company .

    Address: 333 Clay Street, Suite 3010 .

    Houston, Texas 77002 .

    Phone: (713) 650-1122 .

    Submit two completed forms quarterly by


    due date (specified by the MSRB) to:

    Municipal Securities Rulemaking Board


    1900 Duke Street
    Suite 600
    Alexandria, Virginia 22314

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