FORM G-37. Name of Regulated Entity: Raymond James & Assoc., Inc. Report Period: Third Quarter of 2016
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1 FORM G-37 Name of Regulated Entity: Raymond James & Assoc., Inc. Report Period: Third Quarter of 2016 I. CONTRIBUTIONS made to officials of a municipal entity (listed 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 officers, 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 (listed by state) Complete name (including any city/county/state or other political subdivision) of political party Payments by each contributor category
2 FORM G-37 III. CONTRIBUTIONS made to bond ballot campaigns (listed by state) A. Contribution 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.
3 FORM G-37 IV. MUNICIPAL ENTITIES with which the regulated entity has engaged in municipal securities business or municipal advisory business (listed by state) A. Municipal Securities Business and/or Municipal Advisory Business Municipal Securities Business See Attachment Complete name of municipal entity and city/county Type of municipal securities business (negotiated underwriting, financial advisor, or remarketing agent) 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)) B. 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
4 FORM G-37 Signature: electronic Date: Oct 28, 2016 Name: SCOTT CASIMIRI Address: 880 Carillon Parkway, St. Petersburg, FL Phone: Submit to the Municipal Securities Rulemaking Board completed forms quarterly by due date (specified by the MSRB)
5 G-37 Section IV.A Issuers with which Raymond James & Associates, Inc. has engaged in Municipal Securities Business July 1, 2016 through September 30, 2016 STATE ISSUER RJ ROLE AK Alaska Housing Finance Corporation Negotiated Underwriter AL City of Hoover Negotiated Underwriter AL City of Lincoln Negotiated Underwriter AL City of Northport Negotiated Underwriter AL Northeast Morgan Water and Sewer Authority Negotiated Underwriter AL Public Educational Building Authority of the City of Tuscaloosa Financial Advisor AL The 1831 Foundation Financial Advisor AL University of South Alabama Negotiated Underwriter AL Vestavia Hills Board of Education Financial Advisor AR City of Hot Springs Negotiated Underwriter AR of Arkansas Negotiated Underwriter CA Antioch Unified School District (Contra Costa County) Negotiated Underwriter CA Berkeley Joint Powers Financing Authority Negotiated Underwriter CA California Earthquake Authority Financial Advisor CA California Health Facilities Financing Authority Negotiated Underwriter CA California Municipal Finance Authority Negotiated Underwriter CA Campbell Joint Public Finance Authority Negotiated Underwriter CA City of Santa Rosa Negotiated Underwriter CA Gilroy Unified School District (Santa Clara County) Negotiated Underwriter CA Hughson Unified School District (Stanislaus County) Negotiated Underwriter CA National School District (San Diego County) Negotiated Underwriter CA Nevada County Finance Authority Placement Agent CA Newark Unified School District (Alameda County) Negotiated Underwriter CA Pittsburg Unified School District (Contra Costa County) Negotiated Underwriter CA Santa Cruz County Public Financing Authority Negotiated Underwriter School Facilities Improvement District No. 1 of the Mountain View School District (San CA Bernardino County) Negotiated Underwriter CA Stanislaus County Placement Agent CA of California Negotiated Underwriter CA of California Department of Water Resources Negotiated Underwriter CA Torrance Unified School District (Los Angeles County) Negotiated Underwriter CA Whittier City School District (Los Angeles County) Negotiated Underwriter CT City of New Haven Negotiated Underwriter CT City of Norwalk Negotiated Underwriter CT Connecticut Housing Finance Authority Negotiated Underwriter CT New Haven Solid Waste and Recycling Authority Placement Agent CT of Connecticut Negotiated Underwriter CT Town of Hamden Negotiated Underwriter DC Council for Affordable Quality Healthcare Financial Advisor FL Citizens Property Insurance Corp. Financial Advisor FL City of Bradenton Negotiated Underwriter FL City of Fort Myers Negotiated Underwriter FL City of Jacksonville Negotiated Underwriter
6 FL City of Lauderhill Negotiated Underwriter FL City of Orlando Negotiated Underwriter FL City of West Palm Beach Negotiated Underwriter FL Florida Housing Finance Corporation Negotiated Underwriter FL Greater Orlando Airport Authority Financial Advisor FL Housing Finance Authority of Broward County Placement Agent FL Miami-Dade County Negotiated Underwriter FL Orlando Utilities Commission Negotiated Underwriter FL Palm Beach County Negotiated Underwriter GA Bacon County School District Negotiated Underwriter GA Chattooga County School District Negotiated Underwriter GA City of Chickamauga Negotiated Underwriter GA City of Douglasville Negotiated Underwriter GA City of Johns Creek Financial Advisor GA City of Perry Negotiated Underwriter GA Downtown Marietta Development Authority Financial Advisor GA Downtown Smyrna Development Authority. Placement Agent GA Georgia Municipal Association (City of Dunwoody) Financial Advisor GA McDuffie County Negotiated Underwriter GA Paulding County Financial Advisor GA Paulding County Industrial Building Authority Negotiated Underwriter GA Rabun County School District Placement Agent GA The Carroll City-County Hospital Authority Negotiated Underwriter IA Iowa Higher Education Loan Authority Negotiated Underwriter IL Hampshire Township Park District Financial Advisor IL Illinois Housing Development Authority Negotiated Underwriter IL Mundelein Park and Recreation District (Lake County) Negotiated Underwriter IL South Barrington Park District (Cook County) Negotiated Underwriter KY City of Frankfort Financial Advisor KY Kentucky Rural Water Finance Corp. Financial Advisor KY Lexington-Fayette Urban County Government Financial Advisor KY Logan Todd Regional Water Commission Financial Advisor KY Louisville and Jefferson County Visitors and Convention Commission Financial Advisor LA City of Covington Financial Advisor LA City of Harahan Financial Advisor LA City of New Orleans Negotiated Underwriter LA Hospital Service District No. 1 of the Parish of Terrebonne Financial Advisor LA Louisiana Housing Corporation Negotiated Underwriter LA Louisiana Local Government Environmental Facilities and Community Development Authority Placement Agent LA Louisiana Local Government Environmental Facilities and Community Development Authority Negotiated Underwriter LA Parish of Iberville Negotiated Underwriter LA Parishwide School District No. 12 of the Parish of St. Tammany Financial Advisor LA Recreation District No. 14 of the Parish of St. Tammany Financial Advisor LA Red River Parish Parishwide Fire Protection District Financial Advisor LA Road Sales Tax District No. 1 of the Parish of Jefferson Davis Negotiated Underwriter
7 LA St Tammany Parishwide School District No. 12 of the Parish of St. Tammany Negotiated Underwriter LA St. Charles Parish Hospital Service District No. 1 Financial Advisor LA St. Martin Parish School District Negotiated Underwriter MA Massachusetts Housing Finance Agency Negotiated Underwriter ME Maine Health and Higher Educational Facilities Authority Negotiated Underwriter ME Maine Housing Authority Negotiated Underwriter MI City of Marquette Brownfield Redevelopment Authority Negotiated Underwriter MI Oxford Community Schools (Oakland and Lapeer Counties) Negotiated Underwriter MN Mayo Clinic Financial Advisor MN Minnesota Rural Water Finance Authority Negotiated Underwriter MO Boone County Negotiated Underwriter MO St. Louis Municipal Finance Corporation Negotiated Underwriter MS City of Jackson Placement Agent MS Delta University Educational Building Corporation Negotiated Underwriter MS Desoto County Negotiated Underwriter MS Mississippi Development Bank Negotiated Underwriter NC The University of North Carolina at Wilmington Negotiated Underwriter NE Omaha Public Power District Negotiated Underwriter NE The County of Buffalo Negotiated Underwriter NH City of Keene Negotiated Underwriter NJ Borough of Bound Brook Negotiated Underwriter NJ Burlington County Bridge Commission Negotiated Underwriter NJ Duke Farms Foundation Financial Advisor NJ New Jersey Educational Facilities Authority Negotiated Underwriter NJ South Jersey Port Corporation Negotiated Underwriter NJ The Board of Education of the Township of Lacey (Ocean County) Negotiated Underwriter NY Dormitory Authority of the of New York Negotiated Underwriter NY Erie County Medical Center Financial Advisor NY Glens Falls Civic Development Corporation Negotiated Underwriter NY Metropolitan Transportation Authority Negotiated Underwriter NY New York City Transitional Finance Authority Negotiated Underwriter NY The City of New York Negotiated Underwriter NY Utility Debt Securitization Authority Negotiated Underwriter OH of Ohio Negotiated Underwriter OK Oklahoma Development Finance Authority Negotiated Underwriter OK Oklahoma Housing Finance Agency Negotiated Underwriter OK Oklahoma Housing Finance Agency Remarketing Agent PA Lehigh County General Purpose Authority (Lehigh Valley Health Network) Financial Advisor PA Lehigh Valley Health Network Financial Advisor PA Pennsylvania Higher Education Facilities Authority Placement Agent PA Pennsylvania Higher Educational Facilities Authority Negotiated Underwriter PA Pennsylvania Housing Finance Agency Negotiated Underwriter RI Rhode Island Commerce Corporation Negotiated Underwriter RI Rhode Island Health and Educational Building Corporation Negotiated Underwriter RI Town of East Greenwich Negotiated Underwriter SC South Carolina Housing Finance and Development Authority Negotiated Underwriter TN City of Elizabethton Financial Advisor
8 TN City of Kingsport Financial Advisor TN City of Memphis Negotiated Underwriter TN Curae Health Financial Advisor TN The Public Building Authority of the City of Johnson City Negotiated Underwriter TN Washington County Financial Advisor TX Amarillo-Potter Events Venue District Negotiated Underwriter TX Anna Independent School District Negotiated Underwriter TX Aransas Pass Independent School District Negotiated Underwriter TX Arlington Independent School District (Tarrant County) Negotiated Underwriter TX Belvedere Municipal Utility District Negotiated Underwriter TX Birdville Independent School District (Tarrant County) Negotiated Underwriter TX Blum Independent School District (Hill County) Negotiated Underwriter TX Board of Regents of Stephen F. Austin University Negotiated Underwriter TX Brushy Creek Regional Utility Authority, Inc. Negotiated Underwriter TX Bushland Independent School District Negotiated Underwriter TX Canyon Regional Water Authority Negotiated Underwriter TX Chisum Independent School District (Lamar and Delta Counties) Negotiated Underwriter TX City of Buda Negotiated Underwriter TX City of Burleson (Johnson and Tarrant Counties) Negotiated Underwriter TX City of Cedar Park Negotiated Underwriter TX City of Corpus Christi Negotiated Underwriter TX City of Edinburg Negotiated Underwriter TX City of Frisco (Collin and Denton Counties) Negotiated Underwriter TX City of Laredo Negotiated Underwriter TX City of Lewisville Negotiated Underwriter TX City of Longview Negotiated Underwriter TX City of New Braunfels Negotiated Underwriter TX City of San Antonio Negotiated Underwriter TX City of Vernon Negotiated Underwriter TX City of Waxahachie Negotiated Underwriter TX Cleburne Independent School District (Johnson County) Negotiated Underwriter TX Clifton Higher Education Finance Corporation Negotiated Underwriter TX Coahoma Independent School District (Howard County) Negotiated Underwriter TX Coppell Independent School District (Dallas County) Negotiated Underwriter TX Corpus Christi Independent School District (Nueces and San Patricio Counties) Negotiated Underwriter TX Culberson County - Allamoore Independent School District Negotiated Underwriter TX Development Corporation of McAllen, Inc. Negotiated Underwriter TX Dimmitt Independent School District (Castro County) Negotiated Underwriter TX Eagle Mountain-Saginaw Independent School District (Tarrant County) Negotiated Underwriter TX Fort Bend County Levee Improvement District No. 15 Negotiated Underwriter TX Fort Bend Municipal Utility District No. 167 Negotiated Underwriter TX Fort Worth Independent School District (Tarrant County) Negotiated Underwriter TX Grapevine-Colleyville Independent School District (Tarrant & Dallas Counties) Negotiated Underwriter TX Harris County Negotiated Underwriter TX Harris-Montgomery Counties Municipal Utility District No. 386 Negotiated Underwriter
9 TX Howard County Junior College District Negotiated Underwriter TX Humble Independent School District (Harris County) Negotiated Underwriter TX Kaufman County Negotiated Underwriter TX Liberty Hill Independent School District (Williamson County) Negotiated Underwriter TX Liberty-Eylau Independent School District (Bowie County) Negotiated Underwriter TX Lone Star College System (Harris, Montgomery and San Jacinto Counties) Negotiated Underwriter TX Lubbock-Cooper Independent School District (Lubbock County) Negotiated Underwriter TX Melissa Independent School District (Collin County) Negotiated Underwriter TX Mesquite Independent School District (Dallas County) Negotiated Underwriter TX Montgomery County Municipal Utility District No. 47 Negotiated Underwriter TX New Hope Cultural Education Facilities Corp. (Legacy at Willow Bend Project) Financial Advisor TX New Hope Cultural Education Facilities Corporation Negotiated Underwriter TX Northwest Independent School District (Denton, Tarrant and Wise Counties) Negotiated Underwriter TX Panhandle Economic Development Corporation Negotiated Underwriter TX Pearson Place Road District Negotiated Underwriter TX Pilot Point Independent School District (Denton County) Negotiated Underwriter TX Richardson Independent School District (Collin County) Negotiated Underwriter TX Rio Hondo Independent School District (Cameron County) Negotiated Underwriter TX Robert Lee Independent School District (Coke County) Negotiated Underwriter TX Rogers Independent School District (Bell County) Negotiated Underwriter TX Senior Quality Lifestyles Corp. Financial Advisor TX Southwest Independent School District (Bexar County) Negotiated Underwriter TX SQLC Senior Living Center at Corpus Christi (dba Mirador) Financial Advisor TX Texas Public Finance Authority Negotiated Underwriter TX Waco Independent School District (McLennan County) Negotiated Underwriter TX Wall Independent School District (Tom Green County) Negotiated Underwriter TX Warren Independent School District (Tyler County) Negotiated Underwriter TX Wink-Loving Independent School District (Winkler and Loving Counties) Negotiated Underwriter VA Fluvanna County Financial Advisor VA Hanover County Financial Advisor VA Virginia Polytechnic Institute and University Financial Advisor VA Virginia Small Business Financing Authority (Hanover County) Financial Advisor VA Western Virginia Regional Jail Authority Negotiated Underwriter VT Vermont Housing Finance Agency Negotiated Underwriter
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