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NOTIFICATION TO BROKER AND CERTIFICATION BY BROKER <br />PURSUANT TO MINN. STATE. 66118A.04 <br />L Broker Information <br />1. Name of Firm: Miller Johnson Steichen Kinnard, Inc. <br />2. Address: <br />National: 5500 Wayzata Blvd., Suite 800, Minneapolis, MN 55416 <br />Local: 5500 Wayzata Blvd., Suite 1450, Minneapolis, MN 55416 <br />3. Telephone number: (763) 542 -6000 Local: (763) 542 -3657 National: (800) 537 -7829 <br />4. Primary representative /manager /partner in charge: Paul J. Heaney <br />Title: Senior Vice President, Manager Fixed Income Institutional Sales Phone: (763) 542- <br />3657 or (800) 537 -7829 <br />II. Statement of Investment Restrictions: <br />To: Miller Johnson Steichen Kinnard, Inc. (brokerage firm) Attn: Wynn Juran (broker) <br />City of Little Canada is only authorized to invest in those investments complying with the <br />requirements of Minn. Stat. 66118A.05 and 86118A.06. <br />(signed by official of local government) (date) <br />III. Statement of Additional Investment Restrictions: (fill in if applicable) <br />Further be advised that City of Little Canada restricts its investments as provided: <br />[ ] in the attached Investment Policy <br />[ ] in any attached resolutions of the governing body. <br />(signed by official of local government) <br />(date) <br />IV. Certification: <br />We agree to conduct your investment transactions in accordance with Minn. Stat. <br />66118A.04, 118a.05 and 118A.06 and the provisions of any Additional Restrictions set forth in <br />Sectio <br />a•ov <br />♦�r <br />-1 ei�. <br />-i -- <br />of brokerage) <br />+.ffici <br />-if <br />(e <br />(date) <br />Effective January 1, 1997, prior to completing an initial transactions with a broker, and annually thereafter, this <br />form must be completed. <br />Page 34 <br />