Series 14: 5.2.4.4.2. Recordkeeping Requirements

Taken from our Series 14 Online Guide

5.2.4.4.2. Recordkeeping Requirements

In addition to submitting reports to the MSRB about political contributions, broker-dealers must also maintain records of political contributions. These records must include a list of:

Names, addresses, and titles of the dealer’s municipal finance professionals

Names, addresses, and titles of the dealer’s non-MFP executive officers

States in which the dealer 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 broker-dealer has dealt in municipal securities business

All contributions made to officials of

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