Series 53: 2.5.5.10. Form G-37 Quarterly Reports

Taken from our Series 53 Online Guide

2.5.5.10. 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 (i.e., dealer, advisor, MFP, MAP, non-MFP executive officer, non-MAP executive, PAC)

» Full description of the result of the bond ballot campaign

» List of issuers with which the municipal securities dealer or advisor have engaged in municipal securities business, listed

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