LeGaye Law Firm

MSRB First Day to File Form G-37 for Quarter Ending December 31st
2026-01-01
MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB Form G-37 setting forth, in the prescribed format, the following information: (A) for contributions to officials of issuers (other than a contribution made by a municipal finance professional or a non-MFP executive officer to an official of an issuer for whom such person is entitled to vote if all contributions by such person to such official of an issuer, in total, do not exceed $250 per election) and payments to political parties of states and political subdivisions (other than a payment made by a municipal finance professional or a non-MFP executive officer to a political party of a state or a political subdivision in which such person is entitled to vote if all payments by such person to such political party, in total, do not exceed $250 per year): (1) the name and title (including any city/county/state or political subdivision) of each official of an issuer and political party receiving contributions or payments during such calendar quarter, listed by state; (2) the contribution or payment amount made and the contributor category of each person and/or entity making such contributions or payments during such calendar quarter; (B) a list of issuers with which the broker, dealer or municipal securities dealer has engaged in municipal securities business during such calendar quarter, listed by state, along with the type of municipal securities business; (C) any information required to be included on Form G-37 for such calendar quarter pursuant to paragraph (e)(iii) of the Rule; (D) such other identifying information required by Form G-37; and (E) whether any contribution listed in this paragraph (e) (i) is the subject of an automatic exemption pursuant to section j of this rule, and the date of such automatic exemption.

MSRB First Day of Form A-12 Annual Affirmation Period
2026-01-01
Each January, MSRB registrants (municipal securities dealers and municipal advisors) must verify and, if necessary, update the MSRB registration information provided in Form A-12. MSRB Rule A-12 requires that the affirmation be completed within 17 business days of the beginning of the calendar year. The MSRB uses information provided in Form A-12, in part, to communicate important information to registrants. A firm’s Primary Contact, Optional Contact or Compliance Contact can make affirmations. If no updates to Form A-12 are required, the appropriate individual can affirm the information by submitting the Form A-12 with no changes. If changes are required, the appropriate individual should make the necessary updates and submit an amended Form A-12.
