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

)

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

April 1, 2009 to June 30,2009

.

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

NC NC

Kenneth Lewis for US Senate (NC) Kenneth Lewis for US Senate (NC)

$2,300 by a municipal finance professional $500 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)

CA

State Public Works Board of State of California Long Beach/ Los Angeles County School Board of Broward County Ft Lauderdale/ Broward County City of Atlanta Atlanta/Fulton County Regional Transportation Authority Chicago/ Cook County Massachusetts State Housing Finance Authority Boston/Suffolk County St. Louis Municipal Finance Authority St Louis/ St Louis County State of New Jersey Trenton/Mercer County

Negotiated Underwriting

FL

Negotiated Underwriting

GA

Negotiated Underwriting

IL

Negotiated Underwriting

MA

Negotiated Underwriting

MO

Negotiated Underwriting

NJ

Negotiated Underwriting

NJ

New Jersey Building Authority Trenton/ Mercer County

Negotiated Underwriting

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) Negotiated Underwriting

NJ

Hudson County Improvement District Jersey City/Hudson County Nassau County Mineloa/Nassau County Dormitory Authority of the State Of New York Albany/Albany County City of Cleveland Cleveland/Cuyahoga County Columbus City School District Columbus/Franklin County City of Memphis Memphis/Shelby County Metropolitan Transit Authority of Harris County Texas Houston/Harris County Lower Colorado River Authority Austin/Travis County Lower Colorado River Authority Austin/Travis County Houston Independent School District Houston/ Harris County Virgin Island Public Finance Authority St. Thomas/Virgin Islands

NY

Negotiated Underwriting

NY

Negotiated Underwriting

OH

Negotiated Underwriting

OH

Negotiated Underwriting

TN

Negotiated Underwriting

TX

Negotiated Underwriting

TX

Negotiated Underwriting

TX

Negotiated Underwriting

TX

Financial Advisor

VI

Negotiated Underwriting

Signature:

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

Date:

July 27, 2009

.

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