Recordkeeping Requirements
In addition to submitting reports to the MSRB about political contributions, dealers and advisors must also maintain records of political contributions. These records must include a list of:
•Names, addresses, and titles of the dealer’s MFPs or the advisor’s MAPs
•Names, addresses, and titles of the dealer’s non-MFP executive officers or the advisor’s non-MAP executive officers
•States in which the dealer or advisor seeks to engage in municipal securities business
Records for the current calendar year and each of the two previous years must also include a list of:
•All the issuers with which the dealer or advisor has dealt in municipal securities business or municipal advisory business
•All contributions made to officials of an issuer