Series 53: Form G-37 Quarterly Reports

Form G-37 Quarterly Reports

Reported information on Form G-37 must include the following:

• • Name and title of each official and political party receiving contributions, listed by state
• • Identity of each contributor controlled by the broker-dealer or MFP and the amount paid
• • For contributions to bond ballot campaigns, the following information must be declared:
• » The official name of each bond ballot campaign receiving contributions and the jurisdiction
• » The contribution amount, date of contribution, and category (broker-dealer, MFP, non-MFP executive officer, PAC)
• » Full description of the result of the bond ballot campaign
• » List of issuers in which the broker-dealer and municipal securities dealer has engaged in municipal securities business listed by state

A bond ballot camp