Name of Regulated Entity: Merrill Lynch, Pierce, Fenner Report Period: Third Quarter of 2017 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: Oct 31, 2017 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 07/01/2017 through 09/30/2017 County Issuer Bid AK Authority Alaska Housing Finance Corp N CA Los Angeles Los Angeles Dept of Airports N CA Los Angeles Los Angeles Dept of Airports N CA Riverside Riverside Co Transportation Comm N CA Riverside Santa Rosa Reg Resources Auth N CA Riverside Santa Rosa Reg Resources Auth N CA Contra Costa California wide CDA (CSCDA) N CA Contra Costa Contra Costa Water Dt N CA California N CA Los Angeles Los Angeles Dept of Airports N CO Denver Colorado Hsg & Fin Auth (CHFA) N CO El Paso Colorado Springs City-Colorado N CT Hartford Connecticut Housing Finance Auth N CT Hartford Connecticut Housing Finance Auth N DC Authority Washington Metro Area Transit Au N FL Orange Orange Co School Board N FL Pinellas Pinellas Co School Board N FL Duval Jacksonville City-Florida N FL Hillsborough Tampa-Hillsborough Co Expressway Auth N FL Orange/Osceola/Seminole/ Greater Orlando Aviation Auth N FL Orange/Osceola Reedy Creek Improvement Dt N FL Miami/Dade Miami-Dade Co-Florida N FL Miami/Dade Miami-Dade Co-Florida N GA Cobb Cobb Co-Kennestone Hosp Auth N GA Fulton Fulton Co Development Authority N GA Spalding Griffin-Spalding Co Hosp Auth N GA LaGrange-Troup LaGrange-Troup Co Hosp Auth N GA Fulton Georgia Road & Tollway Auth N GA Fulton Georgia Road & Tollway Auth N GA Bulloch Bulloch Co Development Authority N GA Authority Georgia Housing Finance Authority N GA Fulton Atlanta Development Authority N GA Fulton Atlanta Development Authority N GA Newton Newton Co Industrial Dev Auth N HI Hawaii N ID Ada Idaho Energy Resources Auth N ID Authority Idaho Housing & Fin Assoc N
IN Marion Indiana Finance Authority N KS Authority Kansas Dept of Transportation N KY Daviess Owensboro City-Kentucky N MA Suffolk Massachusetts Housing Fin Agcy N MA Suffolk Massachusetts Housing Fin Agcy N MA Suffolk Massachusetts Housing Fin Agcy N MD Prince Georges Maryland Dept of Hsg & Comm Dev Admin N MD Prince Georges Maryland Dept of Hsg & Comm Dev Admin N ME Authority Maine Housing Authority N ME Kennebec Maine Governmental Facs Auth N ME Authority Maine Hlth & Hghr Ed Facs Auth N ME Authority Maine Housing Authority N MI Wayne Wayne Co Airport Auth N MI Wayne Wayne Co Airport Auth N MN Hennepin Hennepin County, Minnesota Remarketing MN Hennepin University of Minnesota Regents N MN Hennepin University of Minnesota Regents N MO Authority Missouri Housing Dev Commission N MT Authority Montana Board of Housing N MT Authority Montana Board of Housing N NC Guilford Greensboro City-North Carolina N NC Guilford Greensboro City-North Carolina N NC Wake North Carolina N NJ Authority New Jersey Economic Dev Auth N NJ Authority New Jersey Economic Dev Auth N NJ Authority New Jersey Turnpike Authority N NJ Authority New Jersey Turnpike Authority N NJ Authority New Jersey Economic Dev Auth N NM Santa Fe New Mexico Finance Auth (NMFA) N NM Bernalillo/Sandoval Bernalillo Co (Albuquerque) MSD #12 N NY Kings NYC Transitional Finance Auth N NY Kings NYC Transitional Finance Auth N NY Authority Port Authority of NY & NJ N NY Authority Port Authority of NY & NJ N NY New York/Bronx/Kings New York City-New York N NY Kings NYS Housing Fin-Mortgage Agcy N NY Kings NYS Housing Fin-Mortgage Agcy N NY Kings NYS Housing Fin-Mortgage Agcy N NY New York/Bronx/Kings New York City-New York N NY Kings Metropolitan Transport Auth (MTA) N NY Kings Metropolitan Transport Auth (MTA) N NY Kings NYC Municipal Water Fin Auth N NY New York/Bronx/Kings NYC Housing Dev Corp N OH Franklin Ohio N OH Authority Ohio Water Development Authority N OH Cuyahoga Cleveland City-Ohio N OH Cuyahoga Cleveland City-Ohio N OH Cleveland Ohio Housing Finance Agency (OHFA) N OH Cuyahoga Northeast Ohio Regional Sewer Dt N OH Cuyahoga Cleveland City-Ohio N OK Craig Grand River Dam Authority N OR Clackamas/Multnomah Clackamas (Lake Oswego) SD #7J N OR Marion Oregon Dept of Transportation N OR Authority Oregon Hsg & Comm Svcs Dept N
OR Authority Oregon Hsg & Comm Svcs Dept N OR Marion Oregon N OR Marion Oregon N PA Philadelphia Philadelphia City-Pennsylvania N PA Dauphin Pennsylvania Econ Dev Fin Auth N PA Dauphin Pennsylvania Housing Fin Agency N PA Dauphin Pennsylvania Housing Fin Agency N RI Providence Rhode Island Hlth & Ed Bldg Corp N SC Spartanburg Spartanburg City-South Carolina N SC Authority South Carolina St Hsg Fin & Dev Au N SD Authority South Dakota Hlth & Ed Facs Auth N SD Authority South Dakota Hlth & Ed Facs Auth N TN Nashville/Davidson Nashville-Davidson Metro H&E Bd N TX Bexar San Antonio City-Texas N TX Smith Smith Co (Tyler) ISD N TX Tarrant Arlington City-Texas N TX College or University Univ of Texas Sys Bd of Regents N TX College or University Univ of Texas Sys Bd of Regents N TX Authority Texas Water Development Board N TX Authority Texas Water Development Board N VA Arlington Alexandria City-Virginia N VA Isle of Wight Isle of Wight Co-Virginia N VT Vermont N WA King Port of Seattle-Washington N WA King Port of Seattle-Washington N WA King Port of Seattle-Washington N WA Authority Washington Health Care Facs Au N WI Waukesha Wisconsin Hlth & Ed Fac Auth (WHEFA) N