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(1)Hourly charges <br /> (2)Fixed fees(not contingent on the success of solicitations) <br /> L-i(3)Contingent fees <br /> 10(4)Subscription fees(for a newsletter or other publications) <br /> 10(5)Other:(specify) <br /> 9(6)Not applicable;applicant only serves clients;does not engage In solicitation as part of its municipal advisory activities <br /> K.Does the applicant receive compensation,in the context of its municipal <br /> advisory activities,from anyone other than clients? <br /> OYES®NO <br /> If"Yes",please explain: <br /> Applicant's Business Relating to Municipal Securities <br /> L.Applicant Is engaged In the following types of activities: <br /> Check all that apply. <br /> ® (1)Advice concerning the issuance of municipal securities(Including,without limitation,advice concerning the structure,timing,terms and other <br /> similar matters,such as the preparation of feasibility studies,tax rate studies,appraisals and similar documents,related to an offering of municipal <br /> securities) <br /> C0 (2)Advice concerning the investment of the proceeds of municipal securities(including,without limitation,advice concerning the structure,timing, <br /> terms and other similar matters concerning such Investments) <br /> M (3)Advice concerning municipal escrow investments(including,without limitation,advice concerning their structure,timing,terms and other similar <br /> matters) <br /> ® (4)Advice concerning the investment of other funds of a municipal entity(including,without limitation,advice concerning the structure,timing, <br /> terms and other similar matters concerning such investments) <br /> G�! (6)Advice concerning guaranteed Investment contracts(Including,without limitation,advice concerning their structure,timing,terms and other <br /> similar matters) <br /> (6)Advice concerning the use of municipal derivatives(including,without limitation,advice concerning their structure,timing,terms and other <br /> similar matters) <br /> M (7)Solicitation of investment advisory business from a municipal entity or obligated person(including,without limitation,municipal pension plans) <br /> on behalf of an unaffiliated broker,dealer,municipal advisor or investment adviser(e.g.,third party marketers,placement agents,solicitors,and <br /> finders) <br /> M (8)Solicitation of business other than investment advisory business from a municipal entity or obligated person on behalf of an unaffiliated person <br /> or firm(e.g.,third party marketers,placement agents,solicitors,and finders) <br /> 9 (9)Advice or recommendations concerning the selection of other municipal advisors or underwriters with respect to municipal financial products or <br /> the issuance of municipal securities <br /> n (10)Brokerage of municipal escrow investments <br /> 11 Other. s eci <br /> Advice regarding economic developmenibudget-- --piing and developmeni and financial planning. <br /> item 5 Other Business Activities <br /> A.Applicant is actively engaged in business in or as a: <br /> Is Applicant Actively Is this Applicant's <br /> Engaged? Primary <br /> Check all that apply. Business(es)? <br /> Check all that apply. <br /> 1.Broker-dealer,municipal securities dealer or El <br /> government securities broker or dealer <br /> 2.Registered representative of a broker-dealer CK p <br /> 3.Commodity pool operator(whether registered El D <br /> or exempt from registration) <br /> 4.Commodity trading advisor(whether Iq EJ <br /> registered or exempt from registration) <br /> 5.Futures commission merchant El In <br /> 6.Major swap participant 0 ITI <br /> 7.Major security-based swap participant 0 Cl <br /> 8.Swap dealer C7 <br /> 9.Security-based swap dealer p !� <br /> 10.Trust company 173 <br />