HomeMy WebLinkAboutFirst Southwest CIQ~~- I First Southwest Company
~ Investment Bankers Since 1946
325 North St. Paul Street
Suite 800
Dallas, TX 75201-3852
214-953-4037 Direct
214-953-4050 Fax
Date: January 9, 2007
To: Mr. Jack Keller
City of Plainview, Texas
Subject: CIQ Form
Mr. Keller,
Memorandum
Tanya Calvit
tcalvit@firstsw.com
As you know, Chapter 176 of the Texas Local Government Code went into effect on January 1,
2006. Please find attached our "Form CIQ" that is required to be filed with you in accordance
with the statute. Please submit a copy to the City Secretary to post on the City's official website.
6~i Year's v~"
~u.ldin~ Trued Financial Relaticrnshi~-s
This communication is for information only, not an offer, solicitation or recommendation, nor an official confirmation
of any financial transaction. It is not to be considered research. The information is considered to be reliable, but First
Southwest Company does not warrant its completeness or accuracy, prices and availability are subject to change
without notice. We may trade, have long or short positions, or act as a market maker in any financial instrument
discussed herein. Clients should consult their own advisors regarding any accounting, legal or tax aspects. Investors
are instructed to read the entire Official Statement to obtain information essential to the making of an informed
investment decision.
CONFLICT OF INTEREST QUESTIONNAIRE FORM CIQ.
For vendor or other person doing business with local governmental entity
This questionnaire is being filed in accordance with chapter 176 of the Local OFFICEUSEONLY
Government Code by a person doing business with the governmental entity. Date Re~e;,,ed
By law this questionnaire must be filed with the records administrator of the
local government not later than the 7th business day after the date the person
becomes aware of facts that require the statement to be filed. See Section
176.006, Local Government Code.
A person committs an offense if the person violates Section 176.006, Local
Government Code. An offense under this section is a Class C misdemeanor.
~ Name of person doing business with local governmental entity.
FSC Disclosure Services, a division of First Southwest Company
z
^ Check this box if you are filing an update to a previously filed questionnaire.
(The law requires that you file an updated completed questionnaire with the appropriate filing authority not later than
September 1 of the year for which an activity described in Section 176.006(a), Local Government Code, is pending and
not later than the 7th business day after the date the originally filed questionnaire becomes incomplete or inaccurate.)
3 Describe each affiliation or business relationship with an employee or contractor of the local governmental entity who makes
recommendations to a local government officer of the local governmental entity with respect to expenditure of money.
FSC Disclosure Services, is a Division of First Southwest Company, which currently serves as financial
advisor to the City of Plainview. First Southwest Asset Management, an affiliate of First Southwest
Company, currently serves as arbitrage rebate advisor to the City of Plainview. The Company has no
affiliation or business relationship other than that with with the City of Plainview.
4 Describe each affiliation or business relationship with a person who is a local government officer and who appoints or
employs a local government officer of the local governmental entity that is the subject of this questionnaire.
FSC Disclosure Services, is a Division of First Southwest Company, which currently serves as financial
advisor to the City of Plainview. First Southwest Asset Management, an affiliate of First Southwest
Company, currently serves as arbitrage rebate advisor to the City of Plainview. The Company has no
affiliation or business relationship other than that with with the City of Plainview.
Atlopletl 01/13/2606
CONFLICT OF INTEREST QUESTIONNAIRE FORM CIQ
For vendor or other person doing business with local governmental entity Page 2
5 Name of local government officerwith whom filer has affilitation or business relationship. (Complete this section only if the
answer to A, B, or C is YES.)
This section, item 5 including subparts A, B, C & D, must be completed for each officer with whom the filer has affiliation or
business relationship. Attach additional pages to this Form CIQ as necessary.
A. Is the local government officer named in this section receiving or likely to receive taxable income from the filer of the
questionnaire?
Yes ~ No
B. Is the filer of the questionnaire receiving or likely to receive taxable income from or at the direction of the local govemment
officer named in this section AND the taxable income is not from the local governmental entity?
Yes ~ No
C. Is the filer of this questionnaire affiliated with a corporation or other business entity that the local government officer serves
as an officer or director, or holds an ownership of 10 percent or more?
Yes ~ No
D. Describe each affiliation or business relationship.
6 Describe any other affiliation or business relationship that might cause a conflict of interest.
FSC Disclosure Services does not believe that the Company's relationship with the City of Plainview will
create a conflict of interest.
FSC Disclosure Services, a division of First Southwest Company
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Signature of person doing business with the governmental entity Date
Atloptetl 01/13/2006