Series 54: 3.2.5.11. Form G-37 Quarterly Reports

Taken from our Series 54 Online Guide

3.2.5.11. Form G-37 Quarterly Reports

Form G-37 must include the following information:

Name and title of each official and political party receiving contributions, listed by state

Identity of each contributor controlled by the dealer, advisor, MFP, or MAP and the amount paid

For contributions to bond ballot campaigns, the following information must be declared:

» The official name and the jurisdiction of each bond ballot campaign receiving contributions

» The contribution amount, date of contribution, and category of the contributor (dealer, advisor, MFP, MAP, non-MFP executive officer, non-MAP executive officer, PAC)

» Full description of the result of the bond ballot campaign

List of municipal entities with which the municipal securities dealer or advisor has engaged in municipal securities or advisory business, and the types of business or advisory activities, listed by state

The municipal entities solicited as a municipal advisor third-party solicitor, the name of the third party, and the nature of the business solicited

Whether any disclosed contribution is the su

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