BCRUA_R-19-09-25-6B RESOLUTION NO. R-19-09-25-613
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 BOARD OF DIRECTORS OF 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 Iaw 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 25th day of September, 2019.
ANNE Y, President
Brushy Creek Regional Ut I y Authority
ATTEST:
/S0SIIAW, Secretary
Z g1CM)MBOard Packcts.Packet Ekwuments%-10I9091$2019'Res.llCRUA-authunnd broker-dealer list 2019(00431702xA08F8)doc
Brushy Creek Regional Utility Authority(BCRUA)
Authorized Broker/Dealer List
2019
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. When any material
changes are made to the Investment Policy the new Policy is sent out for re-certification.
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.
BOK Financial
Cantor Fitzgerald
FTN Financial
Great Pacific Securities
InCapital
International FC Stone
Merrill Lynch/BOA
Mizuho Securities
Morgan Stanley
Mutual Securities
Oppenheimer
Piperlaffray
Raymond James
RBC Securities
Stifei Nicolaus
DATE: September 23,2019
SUBJECT: BCRUA Board Meeting—September 25, 2019
ITEM: 6B. Consider a resolution approving the amended Authorized Broker Dealer List.
PRESENTER: Karen Bondy,General Manager
Lorie Lankford,Deputy CFO,City of Round Rock