Series 50: Exemptions From Form G-37 Submission Requirement

Taken from our Series 50 Online Guide

Exemptions from Form G-37 Submission Requirement

A regulated entity is not required to submit a Form G-37 for a calendar quarter if both of the following are true:

• The regulated entity had no reportable contributions to municipal entity officials, payments to political parties or contributions to bond ballot campaigns for that calendar quarter.

• During that calendar quarter, the regulated entity, if a municipal advisor, did not engage in municipal advisory business with a municipal entity, or if

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