Beach Cities Health District
Broker/Dealer Questionnaire
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Beach Cities Health District
Broker/Dealer Questionnaire
Beach Cities Health District was established in 1955 by the County of Los Angeles under the Local Hospital District Law (Division 23 of Health and Safety Code of the State of California). The District manages an operational portfolio ranging in size from $20 to $30 million which is comprised mainly of U.S. Agency and obligations as well as a portion placed in the California State Treasurer’s Local Agency Investment Fund (LAIF). The District has adopted a written Investment Policy that regulates the standards and procedures used in its cash management activities. A current copy is available on request and should be reviewed prior to completing this form.
Firm Name:______
Year Founded:______
Corporate officeaddress:______
______
______
Telephone #s:______
______
Principal, Managing Director or Partner:
Name______
Title______
Direct phone______
E-mail address______
Is your firm a broker (does not own securities being offered)?______
Is your firm a dealer (does own securities being offered)?______
Local officeaddress:______
______
______
Please attach a bio or resumé of the primary and secondary representatives covering this account, including securities-related employment history, licensing, certificates, complaints, disciplinary action, arbitration, litigation:
Primary Representative:
Name______
Title______
Direct phone______
E-mail address______
Secondary Representative:
Name______
Title______
Direct phone______
E-mail address______
Provide proof of registration with NASDattachedna
Provide proof of registration with State of Californiaattachedna
Provide proof of Financial Industry Regulatory Authority (FINRA) attachedna
Provide documentation that your firm is qualified under SEC rule 15C3-1 (Uniform Net Capital Rule attached na
Provide most recent audited financials attachedna
Is your firm is examined by and subject to rules and regulations of:
FDIC YesNo
SEC YesNo
NYSE YesNo
Comptroller of CurrencyYesNo
Federal Reserve SystemYesNo
List three current comparable public client references (Los Angeles area preferred):
Entity Name______
Contact______
Address______
Phone / E-mail______
Entity Name______
Contact______
Address______
Phone / E-mail______
Entity Name______
Contact______
Address______
Phone / E-mail______
What market sectors are you and your firm currently involved? (Please feel free to provideadditional information regarding specialization in any of the following market sectors).
Firm InvolvementBroker Involvement
US Treasuries______
US Agency Bonds______
CaliforniaState Bonds______
Municipal Bonds______
Corporate Bonds______
Negotiable CDs______
Time CDs______
CDARS______
Repurchase Agreements______
Mutual Funds______
Other ______
______
Has this firm, or the representatives assigned to this account, been subject to a regulatory agency, state or federal investigation for alleged improper, disreputable, unfair or fraudulent activities related to the sale of securities or money market instruments that resulted in a suspension or censure?
Yes (attached)No
Is there outstanding litigation which would materially affect your financial stability?
Yes (attached)No
Do you provide any fixed income research and economic commentary?
Yes (attached)No
Describe the precautions taken by your firm to protect the interests of the public when dealing with a local public entity.
Attachedna
Has any client sustained a loss on a securities transaction engendered from a misunderstanding or misrepresentation of the risk characteristic of a financial instrument by your firm?
Yes (attached)No
Please confirm that you are (1) familiar with the Government Code Sections 53600, et seq, and (2) have read, understand and agree to comply with the provisions of Beach Cities Health District investment policy and by signing below.
Name:______Signature:______
Title:______Date:______
Name:______Signature:______
Title:______Date:______
Name:______Signature:______
Title:______Date:______
BCHD broker dealer questionnaire Rev 08-2008