&... Financial Products Company 230 et ar Howson, TH 700? sy es0.122 68) eyes) Form G-37 Name of dealer: Apex Securities, Ine. dba Rice Financial Products_Company Report period: January 1. 2009 to March 31, 2009 T oge 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 ach contribution, list contribution amount and contributor category, (For example, $500 contribution by non-MEP executive officer). If any contribution isthe subject of an automatic ‘exemption pursuant to Rule G-37(), lst amount of Contribution and date of such automatic exemption None 1. PAYMENTS made to political parties of states of political subdivisions (lst by state) State Complete name (including any Payments by each contributor category (Le, 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, lst payment amount and contributor category. (For example, $500 payment by non-MEP executive officer) NONE&.. Financial Products Company TL ISSUERS with which dealer has engaged in municipal securities business (Ist 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 California State University Negotiated Underwriting Long Beach’ Los Angeles County cA State of California Los Angeles/ Los Angeles County cr State of Connecticut Hartford/ Hartford County cr State of Connecticut Hartford/ Hartford County FL Miami-Dade County Miami/Dade County IL City of Chicago Chicago/ Cook County IL Chicago Park District Chicago/Cook County MA State of Massachusetts Boston/Suffolk County Mo of Kansas Kansas City/ Jackson County NY NYS Environmental Corporation Albany/ Albany County OH Ohio State University Columbus/Franklin OH Ohio State Water Development Authority Columbus/Franklin OH State of Ohio Columbus/Franklin ‘Negotiated Underwriting Negotiated Underwriting ‘Negotiated Underwriting, Negotiated Underwriting Negotiated Underwriting Negotiated Underwriting Negotiated Underwriting, Negotiated Underwriting Negotiated Underwriting Negotiated Underwriting Negotiated Underwriting Negotiated Underwriting&.... Financial Products Company HI ISSUERS with which dealer has engaged in mu ™™ Shelby County ‘Memphis/ Shelby County 1 City of Austin ‘Austin / Travis 1x City of Houston Texas Fort Worth’ Tarrant County signtoe: “Gace ifpetinespm Ai 27,2009 Name: Rice Financial Produets Company eet, Suite 3010 ichael Address: 333.Clay Houston, Texas 77002 Phone: (713) 650-1122 ipal securities business (list by state) Negotiated Underwriting Negotiated Underwriting Negotiated Underwriting ‘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