Name of Regulated Entity: Merrill Lynch, Pierce, Fenner Report Period: First Quarter of 2018 I. CONTRIBUTIONS made to officials of a municipal entity (list by state) Complete name, title (including any city/county/state or other political subdivision) of municipal entity official Contributions by each contributor category (i.e., for purposes of this form, dealer, dealer controlled PAC, municipal finance professional, municipal finance professional controlled PAC, non-mfp executive officer, municipal advisor, municipal advisor controlled PAC, municipal advisor professional, municipal advisor professional controlled PAC, and non-map executive officer). For each contribution, list contribution amount and contributor category (disclose all applicable categories for each contributor). (For example, $500 contribution by non-mfp executive officer) If any contribution is the subject of an automatic exemption pursuant to Rule G-37(j), list amount of contribution and date of such automatic exemption. II. PAYMENTS made to political parties of states or political subdivisions (list by state) Complete name (including any city/county/state or other political subdivision) of political party Payments by each contributor category
III. CONTRIBUTIONS made to bond ballot campaigns (list by state) A. Contributions Official name of bond ballot campaign and jurisdiction (including city/county/state or other political subdivision) for which municipal securities would be issued and the name of the entity issuing the municipal securities Contributions, including the specific date the contributions were made, by each contributor category B. Reimbursement for Contributions List below any payments or reimbursements, related to any disclosed bond ballot contribution, received by each dealer, municipal finance professional, non-mfp executive officer, municipal advisor, municipal advisor professional, or non-map executive officer from any third party, including the amount paid and the name of the third party making such payments or reimbursements.
IV. MUNICIPAL ENTITIES with which the regulated entity has engaged in municipal securities business or municipal advisory business (list by state) A. Municipal Securities Business See Attachment Complete name of municipal entity and city/county Type of municipal securities business (negotiated underwriting, private placement, financial advisor, or remarketing agent) B. Municipal Advisory Business Complete name of municipal entity and city/county Type of municipal advisory business (advice or solicitation) (and in the case of municipal advisory business engaged in by a municipal advisor third-party solicitor, the name of the third party on behalf of which business was solicited and the nature of the business solicited (municipal securities business, municipal advisory business or investment advisory services)) C. Ballot-Approved Offerings Full name of the municipal entity and full issue description of any primary offering resulting from the bond ballot campaign to which each contributor category has made a contribution and the reportable date of selection on which the regulated entity was selected to engage in the municipal securities business or municipal advisory business. Full Name of Municipal Entity Full Issue Description Reportable Date of Selection
Signature: electronic Date: Apr 26, 2018 Name (must be officer of regulated entity): LEONARD GICAS Address: One Bryant Park, New York, NY 10036 Phone: 212-670-3025 Submit to the Municipal Securities Rulemaking Board a completed form quarterly by due date (specified by the MSRB)
Merrill Lynch, Pierce, Fenner & Smith Incorporated 01/01/2018 through 03/31/2018 County Issuer Bid AL Jefferson Jefferson Co Board of Education N AZ Maricopa Arizona Board of Regents N AZ Maricopa Arizona Board of Regents N AZ Maricopa Arizona Board of Regents N CA Alameda Alameda Co-California N CA California N CA California N CA Authority California Health Facs Fin Auth N CA Authority California Infrstr & Eco Dev Bank N CA Los Angeles Los Angeles USD N CA Los Angeles Los Angeles USD N CA Los Angeles Manhattan Beach City-California N CA Orange Orange Co (Fullerton) SD N CA Riverside Riverside Co Transportation Comm N CA San Diego San Diego Tobacco Settlement N CA San Diego San Diego Tobacco Settlement N CO Denver Colorado Hsg & Fin Auth (CHFA) N CO Denver Colorado Hsg & Fin Auth (CHFA) N CT Connecticut N CT Connecticut N CT Connecticut N CT Connecticut N CT Connecticut N CT Hartford Connecticut Housing & Finance Auth (CHFA) N CT Hartford Connecticut Housing & Finance Auth (CHFA) N CT Hartford Connecticut Housing & Finance Auth (CHFA) N CT Hartford Connecticut Housing & Finance Auth (CHFA) Remarketing DE Delaware N DE Delaware N FL Broward Deerfield Beach City-Florida N FL Dade Miami-Dade Co Educational Facs Auth N FL Dade Miami-Dade Co Educational Facs Auth N FL Palm Beach Palm Beach Co School Board N FL Palm Beach Palm Beach Co School Board N FL Leon Tallahassee City-Florida N GA Fulton Fulton Co Development Authority N HI Hawaii N HI Hawaii N HI Hawaii N HI Honolulu Hawaii Dept of Budget & Finance N HI Honolulu Honolulu City & Co-Hawaii N HI Honolulu Honolulu City & Co-Hawaii N IL Cook Illinois Finance Authority N IL Cook Illinois Finance Authority N IL McLean Illinois Univ Bd of Trustees N MA Suffolk Massachusetts Dev Finance Agcy N MA Suffolk Massachusetts School Bldg Auth N MA Suffolk Massachusetts School Bldg Auth N MD Authority Maryland Stadium Authority N
ME Cumberland Maine Turnpike Authority N MI Authority Michigan St Housing Dev Auth N MI Muskegon Muskegon Co Building Authority N MI College or Univ Regents of the University of Michigan N MI College or University Wayne St Univ Bd of Governors N MI College or University Wayne St Univ Bd of Governors N MO Jackson Kansas City-Missouri N MT Authority Montana Board of Housing N NJ Mercer New Jersey Economic Dev Auth N NJ Mercer New Jersey Economic Dev Auth N NJ College or University Rutgers University N NJ College or University Rutgers University N NY New York/Bronx/Kings New York City-New York N NY New York/Bronx/Kings New York City-New York N NY Kings NYC Transitional Finance Auth N NY Kings NYC Transitional Finance Auth N NY Kings NYS Housing Fin-Mortgage Agcy N NY Kings NYS Housing Fin-Mortgage Agcy N NY Authority Port Authority of NY & NJ N NY Authority Port Authority of NY & NJ N OH Franklin Franklin Co (Upper Arlington City) SD N OH Franklin Franklin Co (Upper Arlington City) SD N OH Cuyahoga Ohio Turnpike & Infrastructure Comm N OK Oklahoma Oklahoma City Economic Dev Trust N OK Authority Oklahoma Dev Finance Auth N OK Authority Oklahoma Dev Finance Auth N OK Authority Oklahoma Water Resources Bd N OR Marion Oregon N OR College or Univ University of Oregon N PA Centre Centre Co ( College) ASD N PA Centre Centre Co Hospital Authority N PA Centre Centre Co Hospital Authority N PA Dauphin PA Commonwealth Financing Auth N PA Philadelphia Philadelphia SD N TX Harris Houston City-Texas N TX Harris Houston City-Texas N UT Authority Intermountain Power Agency N UT Authority Intermountain Power Agency N UT Salt Lake Utah N VA Norfolk Hampton Roads Trans Account Comm N WA Direct Issuer Energy Northwest N WA Direct Issuer Energy Northwest N WA Authority Washington Health Care Facs Au N WI Authority Wisconsin Hsg & Econ Dev Auth N WI Authority Wisconsin Hsg & Econ Dev Auth N WI Dane Wisconsin Pub Pwr (WPPI) Energy N WI Dane Wisconsin Public Finance Auth N