Series 51: Form G-37 Quarterly Reports

Taken from our Series 51 Online Guide

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, political action committee (PAC))

» Full description of the result of the bond ballot campaign

» List of issuers in which the broker-dealer and municipal securities dealer have engaged in municipal securities business, listed by state

A bond ballo

Since you're reading about Series 51: Form G-37 Quarterly Reports, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 51
Please Enable Javascript
to view this content!