BCRUA_R-20-11-18-8D RESOLUTION NO. R-20-11-18-8D
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 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, 2020.
REA FLORES, Pres
Brushy Creek Regional Utility Authority
ATTEST:
r�
ANN DU FY, cretary
bups:!lroundrocktexas shmepnim coWsites/AdministreuoWDepartment FilesBCRUA1Bosrd Packets/Packet PacumenW2020111182020/8D Res.RCRUA-authonud broker-dealer list 2020
(004597MA08F8).doc
Brushy Creek Regional Utility Authority(BCRUA)
Authorized Broker/Dealer List
Adopted .2020
2020
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. Potterson & Associates maintains the
brokerage compliance files for the Authority.
BOK Financial
Cantor Fitzgerald
F-=N Financial F,-,ttd-Font color,Red
Great Pacific Securities
InCapital _
F1Wd FIA U31al FC" ^^:StoneX Group Formatted:f=ont color.Red,Strikethrough
Merrill Lynch/BOA Formatted:font color Red
Mizuho Securities
Morgan Stanley i Formatted:Font color.Red
Mutual Securities
Oppenheimer
?1POOay .. Pi er andler&CO: Formatted:Font color Red,Strikethrough
Raymond James Formatted:Font color Red
RBC Securities
Stifel Nicolaus Formatted:Font color Red
Robert W.Baird
UBS
Brushy Creek Regional Utility Authority(BCRUA)
Authorized Broker/Dealer List
Adopted November 18,2020
2020
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
broker/dealers be approved annually by the Board. Patterson & Associates maintains the
brokerage compliance files for the Authority.
BOK Financial
Cantor Fitzgerald
FMN Financial
Great Pacific Securities
InCapital
StoneX Group
Merrill Lynch/BOA
Mizuho Securities
Morgan Stanley
Mutual Securities
Oppenheimer
Piper Sandler&Co.
Raymond James
RBC Securities
Stifel Nicolaus
Robert W. Baird
UBS
BCRUA R-20-11-18-8D
DATE: November 16, 2020
SUBJECT: BCRLIA Board Meeting—November 18,2020
ITEM: 8D. Consider a resolution approving the amended Authorized Broker Dealer list.
PRESENTER: Robert Powers, Finance Director(City of Leander)