BCRUA_R-15-11-18-7A RESOLUTION NO. R-15-11-18-7A
WHEREAS, the Brushy Creek Regional Utility Authority (BCRUA) desires to approve
an update to the "Brushy Creek Regional Utility Authority Authorized Broker/Dealer List" in
accordance with the requirements of the Investment Policy,Now Therefore
BE IT RESOLVED BY THE BRUSHY CREEK REGIONAL UTILITY
AUTHORITY,
That the Board of Directors hereby approves an update to the "Brushy Creek Regional
Utility Authority Authorized Broker/Dealer List," a copy of same being attached hereto as
Exhibit"A" and incorporated herein for all purposes.
The Board hereby finds and declares that written notice of the date, hour, place and
subject of the meeting at which this Resolution was adopted was posted and that such meeting
was open to the public as required by law at all times during which this Resolution and the
subject matter hereof were discussed, considered and formally acted upon, all as required by the
Open Meetings Act, Chapter 551, Texas Government Code, as amended.
RESOLVED this 18th day of November, 2015.
RON ABRU`Z;ESE, Presidt
Brushy Creek RegionalI/Utility Authority
ATTEST:
KRIS WHI TFIELD, Secretary
Z:\BCRUA\Board Packets\Packet Documents\2015\I 11815\Res.BCRUA-authorized broker-dealer list(0034659NA08P8)Aoc -
Brushy Creek Regional Utility Authority (BCRUA)
Authorized Broker/Dealer List
November 2015
The authorized broker/dealer list for Brushy Creek RUA is shown below. Each of these firms, and the
individual covering the account,are sent the current Investment Policy. In accordance with the Public Funds
Investment Act(TX Gov't Code 2256.005(k))before any broker/dealer transacts business with the Authority
it will have had to certify in writing to a review of the BCRUA Policy and have certified that procedures are
in place to assure compliance with that Policy.
The Authority's Policy establishes specific criteria for the brokers and requires that the list of broke/dealers
be approved annually by the Board. Patterson & Associates maintains the brokerage compliance files for
the Authority.
When any material changes are made to the Investment Policy the new Policy is sent out for re-certification.
International FT Stone
Mizuho Securities
Morgan Stanley
Mutual Securities
Piper Jaffray
Raymond James
RBC Securities
Stifel Nicolaus
Wells Fargo
EXHIBIT "A"