Recordkeeping Requirements
In addition to submitting reports to the MSRB about political contributions, broker-dealers must also maintain records of political contributions. These records must include a list of:
- • Names, addresses, and titles of the dealer’s municipal finance professionals
- • Names, addresses, and titles of the dealer’s non-MFP executive officers
- • States in which the dealer seeks to engage in municipal securities business
Records for the current calendar year and each of the two previous years must also include a list of:
- • All the issuers with which the broker-dealer has dealt in municipal securities business
- • All contributions made to officials of an issuer or political party by the dealer
- • All reporte