Firm Structure

Firm Structure: June 10, 2010

Services related to tax-exempt municipal bond and taxable bond underwriting, sales and trading, and financial advisory services are offered through Rice Securities, LLC, d/b/a Rice Financial Products Company. Rice Securities, LLC, is a member of SIPC, MSRB and FINRA. Rice Securities, LLC, is a wholly owned subsidiary of Rice Derivative Holdings, LP.

Rice Capital Access Program, LLC, a subsidiary of Rice Securities, LLC, serves as the Designated Bonding Authority for the U. S. Department of Education Historically Black College and University Capital Financing Program, providing loan servicing services.