333 Clay Street

Suite 3010
Houston, TX 77002

(713) 650-1122 (ph)

(713) 650-0237 (fx)

FORM G-37

Name of dealer: Rice Securities LLC dba Rice Financial Products Company
.

Report period: April 1, 2009 to June 30,2009 .

I. CONTRIBUTIONS made to issuer officials (list by state)

State Complete name, title (including any
city/county/state or other political
subdivision) of issuer official
Contributions by each contributor category (i.e.,
dealer, dealer controlled PAC, municipal finance
professional controlled PAC, municipal finance
professionals and non-MFP executive officers). For
each contribution, list contribution amount and
contributor category. (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.

NC Kenneth Lewis for US Senate (NC) $2,300 by a municipal finance professional

NC Kenneth Lewis for US Senate (NC) $500 by a municipal finance professional

 II. PAYMENTS made to political parties of states of political subdivisions (list by state)

State Complete name (including any
city/county/state or other political
subdivision) of political party
Payments by each contributor category (i.e., dealer,
dealer controlled PAC, municipal finance
professional controlled PAC, municipal finance
professionals and non-MFP executive officers). For
each payment, list payment amount and contributor
category. (For example, $500 payment by non-MFP
executive officer)

None

III. ISSUERS with which dealer has engaged in municipal securities business (list by state)

State Complete name of issuer Type of municipal securities business

and city/county (negotiated underwriting, agency offering,
financial advisor, or remarketing agent)

CA State Public Works Board of Negotiated Underwriting

State of California
Long Beach/ Los Angeles County

FL School Board of Broward County Negotiated Underwriting

Ft Lauderdale/ Broward County

GA City of Atlanta Negotiated Underwriting

Atlanta/Fulton County

IL Regional Transportation Authority Negotiated Underwriting

Chicago/ Cook County

MA Massachusetts State Housing Negotiated Underwriting

Finance Authority
Boston/Suffolk County

MO St. Louis Municipal Finance Authority Negotiated Underwriting

St Louis/ St Louis County

NJ State of New Jersey Negotiated Underwriting

Trenton/Mercer County

NJ New Jersey Building Authority Negotiated Underwriting

Trenton/ Mercer County
 III. ISSUERS with which dealer has engaged in municipal securities business (list by state)

State Complete name of issuer Type of municipal securities business

and city/county (negotiated underwriting, agency offering,
financial advisor, or remarketing agent)

NJ Hudson County Improvement District Negotiated Underwriting

Jersey City/Hudson County

NY Nassau County Negotiated Underwriting

Mineloa/Nassau County

NY Dormitory Authority of the State Negotiated Underwriting

Of New York
Albany/Albany County

OH City of Cleveland Negotiated Underwriting

Cleveland/Cuyahoga County

OH Columbus City School District Negotiated Underwriting

Columbus/Franklin County

TN City of Memphis Negotiated Underwriting

Memphis/Shelby County

TX Metropolitan Transit Authority of Negotiated Underwriting

Harris County Texas
Houston/Harris County

TX Lower Colorado River Authority Negotiated Underwriting

Austin/Travis County

TX Lower Colorado River Authority Negotiated Underwriting

Austin/Travis County

TX Houston Independent School District Financial Advisor

Houston/ Harris County

VI Virgin Island Public Finance Authority Negotiated Underwriting

St. Thomas/Virgin Islands
Signature: ____________________________ Date: July 27, 2009 .
Michael C. Murray, CEO

Name: Rice Financial Products Company .

Address: 333 Clay Street, Suite 3010 .

Houston, Texas 77002 .

Phone: (713) 650-1122 .

Submit two completed forms quarterly by

due date (specified by the MSRB) to:

Municipal Securities Rulemaking Board

1900 Duke Street
Suite 600
Alexandria, Virginia 22314