The Securities and Exchange Commission (SEC) Rule (Rule 206(4)-5) enacts several restrictions on investment advisers that are meant to help minimize or eliminate manipulation of the market for advisory services provided to state and local governments.
The Municipal Securities Rulemaking Board (MSRB) Rules G-37 and G-38 prohibit municipal brokers and dealers from engaging in municipal securities business with an issuer after making political contributions to officials of that issuer.
Like all of our surveys, your Political Contributions Tracking will be built directly into our proprietary learning management system, Renaissance. This web based application is available to edits, additions, and instant reporting in. Program administrators are given the ability to flag questions eliciting automatic e-mails based on specific responses, and incorporate pipe logic so that certain responses ask for additional information.
If you are already tracking one of your Annual Surveys with Quest CE, the Political Contributions Tracking Survey will be a valuable addition to your Compliance Suite. If you are new to Quest CE or would just like more information about our Survey Solutions contact us at 877.593.3366 or e-mail sales@questce.com
