Series 54: 3.2.5.11.2. Exemptions From Form G-37 Submission Requirement

Taken from our Series 54 Online Guide

3.2.5.11.2. 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 a dea

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