333 Clay Street Suite 3010 Houston, TX 77002 (713) 650-1122 (ph) (713) 650-0237 (fx

)

FORM G-37
Name of dealer: . Report period: Apex Securities, Inc. dba Rice Financial Products Company

July 1, 2008- September 30, 2008

.

I.
State

CONTRIBUTIONS made to issuer officials (list by state)
Contributions by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance 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.

Complete name, title (including any city/county/state or other political subdivision) of issuer official

CA

Maxine Waters National Campaign Barack Obama Victory Fund Barack Obama Victory Fund Barack Obama Democratic Nominee For President National Campaign William C. Thompson Democratic Candidate for Mayor of the City of New York William C. Thompson Democratic Candidate for Mayor of the City of New York

$1,100.00 contribution by a municipal finance professional $2,300.00 contribution by a municipal finance professional $ 200.00 contribution by a municipal finance professional $ 750.00 contribution by a municipal finance professional

IL

IL

IL

NY

$175.00 contribution by a municipal finance professional

NY

$175.00 contribution by a municipal finance professional

II. State

PAYMENTS made to political parties of states of political subdivisions (list by state) Complete name (including any city/county/state or other political subdivision) of political party Payments by each contributor category (i.e., dealer, dealer controlled PAC, municipal finance 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. State

ISSUERS with which dealer has engaged in municipal securities business (list by state) Complete name of issuer and city/county Type of municipal securities business (negotiated underwriting, agency offering, financial advisor, or remarketing agent)

CT

State of Connecticut Hartford/ Hartford County Miami Dade County Miami/ Dade County Chicago Illinois Transit Authority Chicago/ Cook County Massachusetts housing Finance Authority Boston/ Suffolk County Mississippi Development Bank Jackson/ Jackson County

Negotiated Underwriting

FL

Negotiated Underwriting

IL

Negotiated Underwriting

MA

Negotiated Underwriting

MS

Negotiated Underwriting

NJ

New Jersey Transportation Trust Fund Authority Newark/ Essex County Lone Star College System The Woodlands/ Montgomery County

Negotiated Underwriting

TX

Negotiated Underwriting

TX

City of Houston Houston/ Harris County

Commercial Paper (Rollover)

Signature:

____________________________ Michael C. Murray, CEO Rice Financial Products Company . 333 Clay Street, Suite 3010 Houston, Texas 77002 . . .

Date:

October 31, 2008

.

Name: Address:

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