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

October 1, 2008 – December 31, 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

IL

Barack Obama Victory Fund Barack Obama Democratic Candidate For President National Campaign Barack Obama Democratic Candidate For President National Campaign Barack Obama Democratic Candidate For President National Campaign

$ 500.00 contribution by a municipal finance professional $ 2,300.00 contribution by a municipal finance professional

IL

IL

$ 1,000.00 contribution by a municipal finance professional

IL

$ 100.00 contribution by a municipal finance professional

OH

Edward Leonard Franklin County Treasurer Campaign

$ 250.00 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)

AZ

Phoenix City Civic Improvement Corporation Phoenix/ Maricopa County Lower Colorado River Authority Austin/ Travis County State of Connecticut Hartford/ Hartford County Miami-Dade County Miami/Dade County Illinois State Toll Highway Authority Springfield/Sangamon County Chicago City Chicago/Cook County Chicago City Chicago/Cook County Massachusetts Housing Fin Agcy Boston/Suffolk County Massachusetts Housing Fin Agcy Boston/Suffolk County

Negotiated Underwriting

CO

Negotiated Underwriting

CT

Negotiated Underwriting

FL

Negotiated Underwriting

IL

Negotiated Underwriting

IL

Negotiated Underwriting

IL

Negotiated Underwriting

MA

Negotiated Underwriting

MA

Negotiated Underwriting

III. MI

ISSUERS with which dealer has engaged in municipal securities business (list by state) State of Michigan Lansing/ Ingham County Michigan State Building Authority Lansing/ Ingham County Missouri State Environmental Improvement Authority Jefferson City/Callaway County St Louis Municipal Finance Corp St Louis/ St Louis County NYS Dormitory Authority Albany/ Albany County Nassau County Mineloa/Nassua County State of Ohio Columbus/Franklin State of Ohio Columbus/Franklin Central Ohio Solid Waste Authority Grove City/Franklin County City of Houston Texas Houston/ Harris County Negotiated Underwriting

Formatted: Bullets and Numbering

MI

Negotiated Underwriting

MO

Negotiated Underwriting

MO

Negotiated Underwriting

NY

Negotiated Underwriting

NY

Negotiated Underwriting

OH

Negotiated Underwriting

OH

Negotiated Underwriting

OH

Negotiated Underwriting

TX

Negotiated Underwriting

Signature:

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

Date:

January 30, 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