MSRB Rule G-37 Quarterly Reporting Deadline

MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB Form G-37 setting forth, in the prescribed format, the following information:

(A) for contributions to officials of issuers (other than a contribution made by a municipal finance professional or a non-MFP executive officer to an official of an issuer for whom such person is entitled to vote if all contributions by such person to such official of an issuer, in total, do not exceed $250 per election) and payments to political parties of states and political subdivisions (other than a payment made by a municipal finance professional or a non-MFP executive officer to a political party of a state or a political subdivision in which such person is entitled to vote if all payments by such person to such political party, in total, do not exceed $250 per year): (1) the name and title (including any city/county/state or political subdivision) of each official of an issuer and political party receiving contributions or payments during such calendar quarter, listed by state; (2) the contribution or payment amount made and the contributor category of each person and/or entitiy making such contributions or payments during such calendar quarter.

(B) for contributions to bond ballot campaigns (other than a contribution made by a municipal finance professional or a non-MFP executive officer to a bond ballot campaign for a ballot initiative with respect to which such person is entitled to vote if all contributions by such person to such bond ballot campaign, in total, do not exceed $250 per ballot initiative) made by the persons and entities described in subclause (2) of this clause (B): (1) the official name of each bond ballot campaign receiving contributions during such calendar quarter, and the jurisdiction (including city/county/state or political subdivision) by or for which municipal securities, if approved, would be issued, listed by state; (2) the contribution amount made (which, in the case of in-kind contributions, must include both the value and the nature of the goods or services provided, including any ancillary services provided to, on behalf of, or in furtherance of the bond ballot campaign), the specific date on which the contribution was made, and the contributor category of each of the following persons and entities making such contributions during such calendar quarter: (3) the full issuer name and full issue description of any primary offering resulting from the bond ballot campaign to which a contribution required to be disclosed pursuant to this clause (B) has been made, or to which a contribution has been made by a municipal finance professional or a non-MFP executive officer during the period beginning two years prior to such individual becoming a municipal finance professional or a non-MFP executive officer that would have been required to be disclosed if such individual had been a municipal finance professional or a non-MFP executive officer at the time of such contribution and the reportable date of selection on which the broker, dealer or municipal securities dealer was selected to engage in such municipal securities business, reported in the calendar quarter in which the closing date for the issuance that was authorized by the bond ballot campaign occurred; and (4) the payments or reimbursements, related to any bond ballot contribution, received by each broker, dealer or municipal securities dealer or any of its municipal finance professionals from any third party that are required to be disclosed pursuant to this clause (B), including the amount paid and the name of the third party making such payment.

(C) a list of issuers with which the broker, dealer or municipal securities dealer has engaged in municipal securities business during such calendar quarter, listed by state, along with the type of municipal securities business;
(D) any information required to be included on Form G-37 for such calendar quarter pursuant to paragraph (e)(ijj) of the Rule;

(E) such other identifying information required by Form G-37; and

(F) whether any contribution listed in this paragraph (e) (i) is the subject of an automatic exemption pursuant to section j of this rule, and the date of such automatic exemption.

www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-37.aspx