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RAMIRLZ <br />A. Within the post 36 months, has your firm and/or any of its principals been the subject of any investigntion relating <br />to the rmunicipal spcuritiPs industry by rho SEC, FINRA, NYSE, or any nther State or Federal organizntion shot nvprspps, <br />regulates, licenses or is otherwise responsible for the municipal securities industry? <br />Neither the Firm nor any partner or employee of the Firm, have been the subject of any investigation, <br />litigation, arbitration, disciplinary or other actions by the SEC, FINRA, IRS, MSRB, or any other state or <br />federal organization that oversees, regulates, licenses or is otherwise responsible for the municipal <br />securities industry within the past 12 months. <br />S. Within the post 36 months, has your firm and/or any of its principals been involved in any litigation, arbitration, <br />disciplinary or other actions arising from the firm's underwriting, management or bundling of municipal securities? <br />Neither the Firm nor any partner or employee of the Firm, have been the subject of any <br />investigation, arbitration, disciplinary or other actions by the SEC, FINRA, IRS, MSRB, or any other state <br />or federal organization that oversees, regulates, licenses or is otherwise responsible for the municipal <br />securities industry within the past 36 months. <br />C. Does there exist any relationship between your firm and any other non-affiliated firmis) or individuals involving <br />any compensation arrangement that may be associated with your possible engagement to assist with the City's <br />proposed debt issue? <br />Ramirez & Co. does not have any such relationship or arrangement, with any other non-affiliated firm(s); <br />with respect to any compensation arrangement that may be associated with this proposed engagement <br />with the City's debt issuance program. <br />City Council <br />23 — 262 5/18/2021 <br />