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DTSTART;VALUE=DATE:20261001
DTEND;VALUE=DATE:20261002
DTSTAMP:20260603T210139Z
CREATED:20260603T205922Z
LAST-MODIFIED:20260603T210139Z
UID:7988-1790812800-1790899199@www.legayelaw.com
SUMMARY:MSRB Quarterly Form G-37 Disclosure Submission Period Opens
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/msrb-quarterly-form-g-37-disclosure-submission-period-opens-18/
CATEGORIES:Compliance
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261031
DTEND;VALUE=DATE:20261101
DTSTAMP:20260603T210042Z
CREATED:20260603T210042Z
LAST-MODIFIED:20260603T210042Z
UID:7990-1793404800-1793491199@www.legayelaw.com
SUMMARY:MSRB Quarterly Form G-37 Disclosure Submission Deadline
DESCRIPTION: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 I(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.
URL:https://www.legayelaw.com/calendar/msrb-quarterly-form-g-37-disclosure-submission-deadline-17/
CATEGORIES:Compliance
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261031
DTEND;VALUE=DATE:20261101
DTSTAMP:20260603T210255Z
CREATED:20260603T210255Z
LAST-MODIFIED:20260603T210255Z
UID:7992-1793404800-1793491199@www.legayelaw.com
SUMMARY:Annual MSRB Registration Fees Due
DESCRIPTION:As part of its initial registration and annually thereafter\, based on the fiscal year of the Board\, each broker\, dealer\, municipal securities dealer\, and municipal advisor shall pay to the Board an annual registration fee of $1\,000.  The annual registration fee shall be payable in the manner provided by the MSRB Registration Manual. Subsequent to initial registration\, the annual registration fee is due by October 31 each year.  For any broker\, dealer\, municipal securities dealer\, or municipal advisor that registers and pays an annual registration fee during the month of September\, the annual registration fee for the following fiscal year beginning in October shall be waived. See MSRB A-12.
URL:https://www.legayelaw.com/calendar/annual-msrb-registration-fees-due/
CATEGORIES:Compliance
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261230
DTEND;VALUE=DATE:20261231
DTSTAMP:20260603T210404Z
CREATED:20260603T210404Z
LAST-MODIFIED:20260603T210404Z
UID:7994-1798588800-1798675199@www.legayelaw.com
SUMMARY:MSRB Annual Review and Testing of Supervisory Controls
DESCRIPTION:MSRB Rule G-37 requires each broker\, dealer or municipal securities dealer to conduct a review\, at least annually\, of the municipal securities activities in which it engages\, which review shall be reasonably designed to assist in detecting and preventing violations of\, and achieving compliance with\, applicable securities laws and regulations\, and with applicable Board rules. Each dealer shall review the municipal securities activities of each office\, which shall include the periodic examination of customer accounts to detect and prevent irregularities or abuses.
URL:https://www.legayelaw.com/calendar/msrb-annual-review-and-testing-of-supervisory-controls/
CATEGORIES:Compliance
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20261231
DTEND;VALUE=DATE:20270101
DTSTAMP:20260603T210538Z
CREATED:20260603T210538Z
LAST-MODIFIED:20260603T210538Z
UID:7996-1798675200-1798761599@www.legayelaw.com
SUMMARY:MSRB Municipal Advisors to Complete Annual CEO Certification
DESCRIPTION:MSRB Rule G-44 requires each Chief Executive Officer(s) (or equivalent officer(s)) of the municipal advisor to certify in writing annually that the municipal advisor has in place processes to establish\, maintain\, review\, test and modify written compliance policies and written supervisory procedures reasonably designed to achieve compliance with applicable rules. This requirement\, however\, shall not apply to municipal advisors that are subject to a substantially similar certification requirement of Financial Industry Regulatory Authority with respect to all applicable rules.
URL:https://www.legayelaw.com/calendar/msrb-municipal-advisors-to-complete-annual-ceo-certification/
CATEGORIES:Compliance
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20261231
DTEND;VALUE=DATE:20270101
DTSTAMP:20260603T210651Z
CREATED:20260603T210651Z
LAST-MODIFIED:20260603T210651Z
UID:7998-1798675200-1798761599@www.legayelaw.com
SUMMARY:MSRB Municipal Advisors Continuing Education
DESCRIPTION:MSRB Rule G-3 requires municipal securities dealers and municipal advisors to establish continuing education program requirements.
URL:https://www.legayelaw.com/calendar/msrb-municipal-advisors-continuing-education/
CATEGORIES:Compliance
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