Series 54: 3.2.5.11.3 Form G-37x

3.2.5.11.3 Form G-37x

A regulated entity may submit Form G-37x to the MSRB if the appropriate regulated entity certifies that it did not engage in municipal securities business or municipal advisory business during the eight full consecutive calendar quarters ending immediately on or prior to the date of the submission.

The Form G-37x submission remains effective for as long as the regulated entity does not engage in municipal securities business or municipal advisory business; thus, the regulated entity does not need to submit any additional Forms G-37x to the MSRB unless the original Form G-37x submission has become ineffective and the regulated entity subsequently re-qualifies to file Form G-37x.

If the regulated entity engages in municipal securities business or municipal advisory business, the Form G-37x will become ineffective and the entity will be obligated to instead submit

Form G-37 to the MSRB beginning with the report for the calendar quarter in which such municipal securities business and/or municipal advisory business occurred.

This new Form G-37 must include information regarding any contributions to municipal entity officials, payment