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

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Sheryl Thomas
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1 FORM G-37 Name of dealer: Duncan-Williams, Inc. Report Period: Fourth Quarter of 2015 I. CONTRIBUTIONS made to issuer officials (listed by state) State MS TN TN Complete name, title (including any city/county/state or other political subdivision) of issuer official Jim Hood, Attorney General of Mississippi Edward Stanton, Jr, General Sessions Clerk of Shelby County Donald Trump, President of United States 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. $ contribution by Municipal finance professional $ contribution by Municipal finance professional $50.00 contribution by Municipal finance professional II. PAYMENTS made to political parties of states or political subdivisions (listed by state) State None 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)

2 FORM G-37 III. CONTRIBUTIONS made to bond ballot campaigns (listed by state) Contribution State None Reimbursement 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 (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) List below any payments or reimbursements, related to any disclosed bond ballot contribution, received by each broker, dealer or municipal securities dealer, municipal finance professional or non-mfp executive officer from any third party, including the amount paid and the name of the third party making such payments or reimbursements. None

3 FORM G-37 IV. ISSUERS with which dealer has engaged in municipal securities business (listed by state) A. Municipal Securities Business State See Attachment Complete name of issuer and city/county Type of municipal securities business (negotiated underwriting, agency offering, financial advisor, or remarketing agent) B. Ballot-Approved Offerings Full issuer name and full issue description of any primary offering resulting from the bond ballot campaign to which each contributor category (i.e., dealer, dealer controlled PAC, municipal finance professional controlled PAC, municipal finance professionals and non-mfp executive officers) has made a contribution and the reportable date of selection on which the broker, dealer or municipal securities dealer was selected to engage in such municipal securities business. Full Issuer Name Full Issue Description Reportable Date of Selection None

4 FORM G-37 Signature: electronic Date: Feb 8, 2016 Name: Heather Smith Address: 6750 Poplar Avenue, Memphis, TN Phone: Submit two completed forms quarterly by due date (specified by the MSRB) to: Municipal Securities Rulemaking Board 1300 I Street NW, Suite 1000 Washington, DC 20005

5 Underwriting Experience National Sale Date Amount State Issuer/Purpose Type Ratings Role Deal CITY OF HATTIESBURG, MISSISSIPPI TAXABLE TAX INCREMENT LIMITED OBLIGATION BONDS, 12/15/2015 1,225,000 MS SERIES 2015A (THE RIDGE AT TURTLE CREEK PROJECT) TIF NON-RATED MGR Neg 12/15/ ,000 MS CITY OF HATTIESBURG, MISSISSIPPI TAXABLE TAX INCREMENT LIMITED OBLIGATION BONDS, SERIES 2015B (MIDTOWN MARKET PROJECT) TIF NON-RATED MGR Neg 12/10/ ,430,000 NY METROPOLITAN TRANSPORTATION AUTHORITY TRANSPORTATION REVENUE REFUNDING BONDS, SERIES 2015F Rev A1/AA- /A CO-MGR Neg 12/9/2015 6,590,000 MS CITY OF OXFORD, MISSISSIPPI GENERAL OBLIGATION REFUNDING BONDS, SERIES 2015 G.O. AA MGR Neg 12/8/ ,000,000 CA 2015A Rev NON-RATED P AGENT NEG 12/8/ ,000,000 CA 2015B Rev NON-RATED P AGENT NEG 12/8/ ,000,000 CA 2015C (FEDERALLY TAXABLE) Rev NON-RATED P AGENT NEG 12/8/ ,000,000 CA 2015D Rev NON-RATED P AGENT NEG 12/8/ ,060,000 IL THE ILLINOIS STATE TOLL HIGHWAY AUTHORITY TOLL HIGHWAY SENIOR REVENUE BONDS, 2016 SERIES A (REFUNDING) Rev Aa3/AA- /AA- CO-MGR Neg 12/3/2015 9,690,000 MS CITY OF COLUMBUS, MISSISSIPPI COMBINED WATER AND SEWER SYSTEM REVENUE REFUNDING BONDS, SERIES 2015 Rev AA INS / A2 INS MGR Neg 11/19/2015 5,300,000 MS CITY OF HATTIESBURG, MISSISSIPPI CERTIFICATES OF PARTICIPATION, SERIES 2015 COPs NON-RATED MGR Neg 11/18/ ,030,000 NY NEW YORK CITY MUNICIPAL WATER FINANCE AUTHORITY WATER AND SEWER SYSTEM SECOND GENERAL RESOLUTION REVENUE BONDS, FISCAL 2016 SERIES BB, SUBSERIES BB-1 Rev Aa1/ AA+/ AA+ SG Neg 11/18/ ,815,000 NY NEW YORK CITY MUNICIPAL WATER FINANCE AUTHORITY WATER AND SEWER SYSTEM SECOND GENERAL RESOLUTION REVENUE BONDS, FISCAL 2016 SERIES BB, SUBSERIES BB-2 Rev Aa1/ AA+/ AA+ SG Neg 11/18/ ,075,000 TX CITY OF DALLAS, TEXAS GENERAL OBLIGATION REFUNDING AND IMPROVEMENT BONDS, SERIES 2015 G.O. AA/ AA+ CO-MGR Neg 11/18/ ,595,000 MS STATE OF MISSISSIPPI GENERAL OBLIGATION BONDS SERIES 2015F G.O. Aa2/ AA/ AA+ CO-MGR Neg 11/17/2015 2,800,000 MS MISSISSIPPI DEVELOPMENT BANK SPECIAL OBLIGATION BONDS, SERIES 2015 (MAGEE, MISSISSIPPI GENERAL OBLIGATION CONSTRUCTION AND RESTRUCTURING BOND PROJECT) Rev NON-RATED MGR Neg 11/10/2015 2,005,000 MS PIKE COUNTY, MISSISSIPPI GENERAL OBLIGATION REFUNDING BONDS, SERIES 2015 G.O. NON-RATED MGR Neg 11/5/2015 1,172,000 MS CITY OF COLUMBUS, MISSISSIPPI TAXABLE TAX INCREMENT FINANCING BONDS (UNIVERSITY MALL PROJECT), SERIES 2015 TIF NON-RATED MGR Neg 11/4/ ,000,000 NY TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY (MTA BRIDGES AND TUNNELS) GENERAL REVENUE BONDS, SERIES 2015B Rev Aa3/ AA-/ AA- CO-MGR Neg 11/4/ ,140,000 NY TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY (MTA BRIDGES AND TUNNELS) GENERAL REVENUE BONDS, SUBSERIES 2008B-3 Rev Aa3/ AA-/ AA- CO-MGR Neg 10/23/ ,000,000 NY BONDS, FISCAL 2016 SERIES B SUBSERIES B-1 Rev Aa1/ AAA /AAA SG Neg 10/23/ ,875,000 NY BONDS, FISCAL 2016 SERIES C Rev Aa1/ AAA /AAA SG Neg 10/23/ ,785,000 NY BONDS, FISCAL 2016 SERIES D Rev Aa1/ AAA /AAA SG Neg 10/15/2015 6,170,000 MS 2015 (UNION COUNTY, MISSISSIPPI TAXABLE GENERAL OBLIGATION INDUSTRIAL DEVELOPMENT REFUNDING BOND PROJECT) Rev AA / A MGR Neg Duncan-Williams, Inc. Page 1 of 2

6 Underwriting Experience National Sale Date Amount State Issuer/Purpose Type Ratings Role Deal 2015 (PONTOTOC COUNTY, MISSISSIPPI TAXABLE GENERAL OBLIGATION INDUSTRIAL 10/15/2015 6,170,000 MS DEVELOPMENT REFUNDING BOND PROJECT) Rev AA / A MGR Neg 10/15/2015 6,170,000 MS 2015 (LEE COUNTY, MISSISSIPPI TAXABLE GENERAL OBLIGATION INDUSTRIAL DEVELOPMENT REFUNDING BOND PROJECT) Rev AA / A MGR Neg 10/13/2015 1,100,000 MS MISSISSIPPI DEVELOPMENT BANK SPECIAL OBLIGATION BONDS, SERIES 2015 (ROLLING FORK, MISSISSIPPI GENERAL OBLIGATION BOND PROJECT) Rev NON-RATED CO-MGR Neg 10/8/ ,640,000 IL SENIOR LIEN REVENUE REFUNDING BONDS, SERIES 2015A (AMT) Rev A/A-/A+ SG Neg 10/8/2015 1,191,540,000 IL SENIOR LIEN REVENUE REFUNDING BONDS, SERIES 2015B (NON-AMT) Rev A/A-/A+ SG Neg 10/8/ ,690,000 IL SENIOR LIEN REVENUE BONDS, SERIES 2015C (AMT) Rev A/A-/A+ SG Neg 10/8/ ,510,000 IL SENIOR LIEN REVENUE BONDS, SERIES 2015D (NON-AMT) Rev A/A-/A+ SG Neg Duncan-Williams, Inc. Page 2 of 2

7 Underwriting Experience National Sale Date Amount State Issuer/Purpose Type Ratings Role Deal CITY OF HATTIESBURG, MISSISSIPPI TAXABLE TAX INCREMENT LIMITED OBLIGATION BONDS, 12/15/2015 1,225,000 MS SERIES 2015A (THE RIDGE AT TURTLE CREEK PROJECT) TIF NON-RATED MGR Neg 12/15/ ,000 MS CITY OF HATTIESBURG, MISSISSIPPI TAXABLE TAX INCREMENT LIMITED OBLIGATION BONDS, SERIES 2015B (MIDTOWN MARKET PROJECT) TIF NON-RATED MGR Neg 12/10/ ,430,000 NY METROPOLITAN TRANSPORTATION AUTHORITY TRANSPORTATION REVENUE REFUNDING BONDS, SERIES 2015F Rev A1/AA- /A CO-MGR Neg 12/9/2015 6,590,000 MS CITY OF OXFORD, MISSISSIPPI GENERAL OBLIGATION REFUNDING BONDS, SERIES 2015 G.O. AA MGR Neg 12/8/ ,000,000 CA 2015A Rev NON-RATED P AGENT NEG 12/8/ ,000,000 CA 2015B Rev NON-RATED P AGENT NEG 12/8/ ,000,000 CA 2015C (FEDERALLY TAXABLE) Rev NON-RATED P AGENT NEG 12/8/ ,000,000 CA 2015D Rev NON-RATED P AGENT NEG 12/8/ ,060,000 IL THE ILLINOIS STATE TOLL HIGHWAY AUTHORITY TOLL HIGHWAY SENIOR REVENUE BONDS, 2016 SERIES A (REFUNDING) Rev Aa3/AA- /AA- CO-MGR Neg 12/3/2015 9,690,000 MS CITY OF COLUMBUS, MISSISSIPPI COMBINED WATER AND SEWER SYSTEM REVENUE REFUNDING BONDS, SERIES 2015 Rev AA INS / A2 INS MGR Neg 11/19/2015 5,300,000 MS CITY OF HATTIESBURG, MISSISSIPPI CERTIFICATES OF PARTICIPATION, SERIES 2015 COPs NON-RATED MGR Neg 11/18/ ,030,000 NY NEW YORK CITY MUNICIPAL WATER FINANCE AUTHORITY WATER AND SEWER SYSTEM SECOND GENERAL RESOLUTION REVENUE BONDS, FISCAL 2016 SERIES BB, SUBSERIES BB-1 Rev Aa1/ AA+/ AA+ SG Neg 11/18/ ,815,000 NY NEW YORK CITY MUNICIPAL WATER FINANCE AUTHORITY WATER AND SEWER SYSTEM SECOND GENERAL RESOLUTION REVENUE BONDS, FISCAL 2016 SERIES BB, SUBSERIES BB-2 Rev Aa1/ AA+/ AA+ SG Neg 11/18/ ,075,000 TX CITY OF DALLAS, TEXAS GENERAL OBLIGATION REFUNDING AND IMPROVEMENT BONDS, SERIES 2015 G.O. AA/ AA+ CO-MGR Neg 11/18/ ,595,000 MS STATE OF MISSISSIPPI GENERAL OBLIGATION BONDS SERIES 2015F G.O. Aa2/ AA/ AA+ CO-MGR Neg 11/17/2015 2,800,000 MS MISSISSIPPI DEVELOPMENT BANK SPECIAL OBLIGATION BONDS, SERIES 2015 (MAGEE, MISSISSIPPI GENERAL OBLIGATION CONSTRUCTION AND RESTRUCTURING BOND PROJECT) Rev NON-RATED MGR Neg 11/10/2015 2,005,000 MS PIKE COUNTY, MISSISSIPPI GENERAL OBLIGATION REFUNDING BONDS, SERIES 2015 G.O. NON-RATED MGR Neg 11/5/2015 1,172,000 MS CITY OF COLUMBUS, MISSISSIPPI TAXABLE TAX INCREMENT FINANCING BONDS (UNIVERSITY MALL PROJECT), SERIES 2015 TIF NON-RATED MGR Neg 11/4/ ,000,000 NY TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY (MTA BRIDGES AND TUNNELS) GENERAL REVENUE BONDS, SERIES 2015B Rev Aa3/ AA-/ AA- CO-MGR Neg 11/4/ ,140,000 NY TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY (MTA BRIDGES AND TUNNELS) GENERAL REVENUE BONDS, SUBSERIES 2008B-3 Rev Aa3/ AA-/ AA- CO-MGR Neg 10/23/ ,000,000 NY BONDS, FISCAL 2016 SERIES B SUBSERIES B-1 Rev Aa1/ AAA /AAA SG Neg 10/23/ ,875,000 NY BONDS, FISCAL 2016 SERIES C Rev Aa1/ AAA /AAA SG Neg 10/23/ ,785,000 NY BONDS, FISCAL 2016 SERIES D Rev Aa1/ AAA /AAA SG Neg 10/15/2015 6,170,000 MS 2015 (UNION COUNTY, MISSISSIPPI TAXABLE GENERAL OBLIGATION INDUSTRIAL DEVELOPMENT REFUNDING BOND PROJECT) Rev AA / A MGR Neg Duncan-Williams, Inc. Page 1 of 2

8 Underwriting Experience National Sale Date Amount State Issuer/Purpose Type Ratings Role Deal 2015 (PONTOTOC COUNTY, MISSISSIPPI TAXABLE GENERAL OBLIGATION INDUSTRIAL 10/15/2015 6,170,000 MS DEVELOPMENT REFUNDING BOND PROJECT) Rev AA / A MGR Neg 10/15/2015 6,170,000 MS 2015 (LEE COUNTY, MISSISSIPPI TAXABLE GENERAL OBLIGATION INDUSTRIAL DEVELOPMENT REFUNDING BOND PROJECT) Rev AA / A MGR Neg 10/13/2015 1,100,000 MS MISSISSIPPI DEVELOPMENT BANK SPECIAL OBLIGATION BONDS, SERIES 2015 (ROLLING FORK, MISSISSIPPI GENERAL OBLIGATION BOND PROJECT) Rev NON-RATED CO-MGR Neg 10/8/ ,640,000 IL SENIOR LIEN REVENUE REFUNDING BONDS, SERIES 2015A (AMT) Rev A/A-/A+ SG Neg 10/8/2015 1,191,540,000 IL SENIOR LIEN REVENUE REFUNDING BONDS, SERIES 2015B (NON-AMT) Rev A/A-/A+ SG Neg 10/8/ ,690,000 IL SENIOR LIEN REVENUE BONDS, SERIES 2015C (AMT) Rev A/A-/A+ SG Neg 10/8/ ,510,000 IL SENIOR LIEN REVENUE BONDS, SERIES 2015D (NON-AMT) Rev A/A-/A+ SG Neg Duncan-Williams, Inc. Page 2 of 2

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