Scribd Logo
Hochladen

Willkommen bei Scribd!

  • Rice Financial G-37 Form, 1 January 2008 To 31 March 2008

    Hochgeladen von

    Texas Watchdog
    29 Ansichten3 Seiten
    FORM G-37 name of dealer: Report period: January 1, 2008 - March 31, 2008. List CONTRIBUTIONS by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled pac, municipal finance professionals and non-MFP executive officers) If any contribution is subject of an automatic exemption pursuant to Rule G-37(j), list amount of contribution and date of such automatic exemption.

    Originalbeschreibung:

    Originaltitel

    Rice Financial G-37 Form, 1 January 2008 to 31 March 2008

    Copyright

    © Attribution Non-Commercial (BY-NC)

    Verfügbare Formate

    PDF, TXT oder online auf Scribd lesen

    Stufen Sie dieses Dokument als nützlich ein?

    Sind diese Inhalte unangemessen?

    Dieses Dokument melden
    FORM G-37 name of dealer: Report period: January 1, 2008 - March 31, 2008. List CONTRIBUTIONS by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled pac, municipal finance professionals and non-MFP executive officers) If any contribution is subject of an automatic exemption pursuant to Rule G-37(j), list amount of contribution and date of such automatic exemption.

    Copyright:

    Attribution Non-Commercial (BY-NC)
    Als PDF, TXT herunterladen oder online auf Scribd lesen
    Markieren Sie unangemessene Inhalte
    29 Ansichten3 Seiten

    Rice Financial G-37 Form, 1 January 2008 To 31 March 2008

    Hochgeladen von

    Texas Watchdog
    FORM G-37 name of dealer: Report period: January 1, 2008 - March 31, 2008. List CONTRIBUTIONS by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled pac, municipal finance professionals and non-MFP executive officers) If any contribution is subject of an automatic exemption pursuant to Rule G-37(j), list amount of contribution and date of such automatic exemption.

    Copyright:

    Attribution Non-Commercial (BY-NC)
    Als PDF, TXT herunterladen oder online auf Scribd lesen
    Markieren Sie unangemessene Inhalte
    von 3

    333 Clay Street

    Suite 3010
    Houston, TX 77002

    (713) 650-1122 (ph)


    (713) 650-0237 (fx)

    FORM G-37

    Name of dealer: Rice Financial Products Company .

    Report period: January 1, 2008 – March 31, 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.

    TN Nikki Timker $250.00 contribution by a municipal finance professional


    Federal Congressional Primary
    House District 9-
    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)

    CA State of California Negotiated Underwriting


    Sacramento/Sacramento County

    FL City of Orlando Negotiated Underwriting


    Orlando/Orange County

    IL City of Chicago Negotiated Underwriting


    Chicago/Cook County

    IL City of Chicago Negotiated Underwriting


    Chicago/Cook County

    OH City of Columbus Negotiated Underwriting


    Columbus/Franklin County

    OH Ohio Building Authority Negotiated Underwriting


    Columbus/Franklin County

    TX City of Austin Negotiated Underwriting


    Austin/Harris County

    TX Harris County Flood Control District Negotiated Underwriting


    Houston/Harris County

    TX Harris County Negotiated Underwriting


    Houston/Harris County

    TX Harris County Independent School District Negotiated Underwriting


    Houston/Harris County
    Signature: ____________________________ Date: April 29, 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

    Das könnte Ihnen auch gefallen