SIE: Disclosure Requirements

Taken from our SIE Online Guide

Disclosure Requirements

To monitor compliance with the rule, the MSRB requires broker-dealers to submit quarterly statements reporting all of their political contributions for the previous quarter, whether made by MFPs or otherwise. They must also list all the issuers with whom they engaged in municipal securities business activities for the quarter. Reports must be filed on Form G-37 and sent to the MSRB by the last day of the month following the end of each calendar quarter.

De minimis

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