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FORM G-37 MSB Name of dealer: Report period: I. CONTRIBUTIONS made to issuer officials (list by state) State Complete name, title (including any city/county/state or other political subdivision) of

How to fill out form g-37 msrb

How to fill out Form G-37 MSRB:

1. Gather all necessary information: Before starting to fill out the form, make sure you have all the required information and documentation readily available. This may include details about the municipal securities dealers, obligated persons, political contributions, and any affiliated entities.
2. Start with Section I: The form begins with Section I, where you will provide general information about the filing dealer and the Municipal Securities Rulemaking Board (MSRB) registration number. Fill in the required fields accurately and completely.
3. Move to Section II: In this section, you need to disclose any political contributions made by the filing dealer, its municipal finance professionals, or any covered associates during the applicable period. Provide all the necessary details such as the contribution recipient, amount, and date of contributions made.
4. Complete Section III: Here, you will disclose any reportable contributions by the filing dealer or its covered associates on behalf of any related political action committees (PACs) controlled by them. Be sure to accurately provide all the relevant information in this section.
5. Proceed to Section IV: In this section, you will disclose any reportable contributions made by the filing dealer's executive officers, partners, or employees to officials of the issuer, as well as to certain political parties and bond ballot campaigns. Fill in the required information accurately, including the contribution recipient, amount, date, and purpose.
6. Fill out Section V: This section requires disclosure of certain financial relationships or arrangements between the filing dealer, its executives, and employees, and an obligated person or an affiliated entity in connection with municipal securities business. Provide all the necessary details accurately.
7. Review the form: Once you have completed all the required sections, carefully review the entire form to ensure accuracy and completeness. Double-check all the information provided before proceeding.

Who needs Form G-37 MSRB?

1. Municipal Securities Dealers: Municipal securities dealers, as defined by the MSRB, are required to submit Form G-37. This includes individuals or entities engaged in buying, selling, or underwriting municipal securities.
2. Municipal Finance Professionals (MFPs): MFPs working for municipal securities dealers, such as brokers, traders, underwriters, or other individuals involved in the municipal securities business, may also need to provide certain information required by Form G-37.
3. Covered Associates: Covered associates are individuals associated with the municipal securities dealer who have certain decision-making or supervisory authority. These individuals may also be required to provide relevant information as mandated by Form G-37.

In conclusion, filling out Form G-37 MSRB requires gathering accurate information and completing the various sections of the form. Municipal securities dealers, municipal finance professionals, and covered associates are among those who may be required to provide the required information on this form.

For pdfFiller’s FAQs

What is form g-37 msrb?

Form G-37 MSRB is a form required to be filed by brokers, dealers, and municipal securities dealers to report political contributions made to issuers of municipal securities. It is filed with the Municipal Securities Rulemaking Board (MSRB).

Who is required to file form g-37 msrb?

Brokers, dealers, and municipal securities dealers are required to file Form G-37 MSRB.

How to fill out form g-37 msrb?

Form G-37 MSRB is typically filled out electronically on the MSRB's Electronic Municipal Market Access (EMMA) website. The form requires details of political contributions made by the filer and certain related persons.

What is the purpose of form g-37 msrb?

The purpose of Form G-37 MSRB is to increase transparency and disclosure of political contributions made by brokers, dealers, and municipal securities dealers to municipal issuers.

What information must be reported on form g-37 msrb?

Form G-37 MSRB requires reporting of political contributions made by the filer, and certain related persons, to issuers of municipal securities, as well as any PAC contributions made by the filer.

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