Dormitory Authority of the State of New York. Broker/Dealer. Broker Dealer Questionnaire: MWBE Participation: Maximum # of firms qualified: 10 to 12
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1 Dormitory Authority of the State of ew ork s Questionnaire: 10 to 12 (s) Selected: MWBE / Raymond James UBS Financial Services Mizuho Securities Fidelity Investments Jefferies & Co. Citigroup First Tennessee Wells Fargo Cantor Fitzgerald Morgan Keegan RBC Capital Markets Total 3, ,334,411, Total $ value of trades by bids as % of Total bids solicited executed $ $ 0.00% 0.00%
2 ew ork State Environmental Facilities Corporation s Questionnaire: 13 (s) Selected: MWBE / Banc of America Cabrera Capital Markets Citigroup Jeffries First Albany JP Morgan Loop Capital Markets Morgan Keegan MR Beal Purshe Kaplan Sterling Ramirez & Co. Siebert Brandford Shank Rice Financial Products Wachovia Securities Secondary Market Purchases trades by MWBE firms bids as % of Total bids solicited executed Total /A /A $ 11,000, $ /A 0.00% Original Purchase Designations $ Total # of s # of MWBE firms designations to value of designations as % of Total designations as % of Total Designated designated bonds purchased designations designations Total 21 8 $ 89,635, $ 15,617, % 28.00% Selected s are utilized for secondary market and new issue purchases for State Revolving Fund long term investments. All SRF short term securities investments are delegated to the SRF trustee. Any investments of bond proceeds are handled by the respective bond trustee. EFC's current broker dealer list was selected as part of the 2009 Underwriter RFP. The broker dealer list consists of all firms that presented their qualifications to provide these services. It is important that EFC have a deep stable of firms that can provide these services to assure sufficient access to suitable investment product and to assure a liquid market for securities marked for sale. EFC will agree to transact investment business only with those firms listed that do not require EFC to maintain balances with the firm.
3 EMPIRE STATE DEVELOPMET CORPORATIO (ESDC) s Questionnaire: 10 (s) Selected: MWBE / Bank of America o Blaylock Robert Van LLC es First Tennessee Bank,.A. o Loop Capital Markets es Oppenheimer & Co. Inc. o Rice Financial es American Express o Chevron o General Electric o Toyota o bids as 11/1/2009 Total # of trades by MWBE % of Total bids Bids firms solicited executed Total $ 6,728,219, $ 3,975,756, % 59.90% Dealer data does not include deals by the Trustees or C.D.'s for the Excelsior Linked Deposit Program. Date range data collection period is 11/1/2009 due to required program changes.
4 S HFA,SOMA, AHC, MBBA, TSFC s Questionnaire: 18 (s) Selected: MWBE / Banc of America Securities Corp. Cantor Fitzgerald & Co. Ciitigroup Global Markets Inc. Daiwa Securities America, Inc. HSBC Securities (USA) Inc. J.P. Morgan Securities Inc. Mizuho Securities USA Inc. Morgan Stanley & Co. Inc. Total $ value bids trades of trades by as % of Total bids executed solicited executed Total 5,271 0 $ 13,738,256, $ 0.00% 0.00% The Agencies Board approved Investment Guidelines require use of Primary Dealers, of which none are MWBE.
5 ew ork Local Government Assistance Corporation s Questionnaire: 17 (s) Selected: MWBE / Bank of America Dealer CS First Boston Dealer Deutsche Bank Sec Dealer UBS Dealer Total $ value of trades by bids as % of Total bids solicited executed Total 292 0* $ 1,451,000, $ 0.00% 0.00% * The majority of the ew ork Local Government Assistance Corporation's (LGAC's) investments are in Repurchase Agreements. LGAC's investment guidelines limit the investment in repurchase agreement to Primary Fed Dealers only. Since none of the Corporation's approved are Primary Fed Dealers, they are not eligible to bid.
6 insert logo ew ork State Thruway Authority s Questionnaire: 14 (s) Selected: BP Paribas Cantor Fitzgerald Castle Oaks Citigroup First Tennessee ational HSBC JP Morgan Securities KeyBanc Capital Markets Loop Capital Merrill Lynch Morgan Stanley (MSDW) Muriel Siebert & Co., Inc. Rice Financial Toussaint Capital Partners MWBE / MWBE firms* trades by MWBE firms bids as % of Total bids solicited executed Total 3, $ 7,935,314, $ 2,287,774, % 28.34% * This number is estimated based upon review of a sample of four months of investment activity.
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