Category: Alerts

Alaric Compliance Alert: MSRB Regulated Entities: July 31, 2019 Compliance Calendar Deadlines

For Municipal Advisors and Dealers an upcoming compliance deadline that requires attention.

Municipal Advisor and Dealer Political Contributions Disclosures1

The MSRB requires each regulated entity to submit certain information, through Form G-37, to the MSRB on municipal securities and municipal advisory business, and political contributions to municipal entity officials. Dealers are also required to submit information on payments to state or local political parties and contributions to bond ballot campaigns made by the dealer, its municipal finance professionals (MFP) and non-MFP executive officers, and political actions committees (PACs) controlled by the dealer or an MFP of the dealer. Municipal advisors are required to submit the same information as dealers if the payments and contributions are made by the municipal advisor, its municipal advisor professionals (MAPs) and non-MAP executive officers, and PACs controlled by the municipal advisor or a MAP of the municipal advisor.

The deadline to submit quarterly disclosures about your municipal securities or municipal advisory business and any related political contributions under MSRB Rule G-37 is Wednesday, July 31, 2019. CLICK HERE to read the manual on how to submit disclosures to the MSRB using electronic Form G-37.

Is your firm prepared to meet these compliance deadlines?

With over 275 years of cumulative financial services compliance expertise, including submitting regulatory filings and managing over 100 regulatory examinations while serving as chief compliance officers, our team of former regulators, lawyers, and in-house chief compliance officers will make sure your firm is ready. Call Alaric today to learn more about our Municipal Advisor compliance services at 1-888-243-2448 or info@alariccompliance.com.


1 Read instructions for Form G-37

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