The Securities and Exchange Commission (SEC) Rule (Rule 206(4)-5) implements several restrictions on investment advisers that are intended 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 Quest CE’s tracking software, your Political Contributions Tracking will be directly built into our proprietary learning management system Renaissance. This web based tool allows users to edit, make additions , and provides instantaneous reporting capabilities. Administrators have the ability to flag survey questions, so they receive emails based on the respondent’s answers. Another important feature of Quest CE’s Political Contributions Tracking Survey is the option to incorporate pipe logic so certain responses inquire for additional information pertaining to your firm’s needs.
If you are already utilizing Quest CE for your tracking needs, the Quest CE Political Contributions Tracking Survey will be a valuable addition to your firm’s Compliance Suite. For information about our Survey Solution or to demo our product contact us at 877.593.3366 or e-mail sales@questce.com.
