Automate pre-clearance, tracking, and disclosure of political contributions for investment advisers and municipal securities dealers. EQube prevents pay-to-play violations under SEC Rule 206(4)-5 and MSRB Rule G-37.
Pre-clearance workflow for political contributions before they are made.
Automated look-back period analysis for new hires.
Aggregate tracking of contributions per covered associate.
SEC Rule 206(4)-5 and MSRB Rule G-37 reporting support.