FORM G-37. Name of Regulated Entity: Ascensus Broker Dealer Services, LLC. Report Period: First Quarter of 2018
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1 Name of Regulated Entity: Ascensus Broker Dealer Services, LLC Report Period: First Quarter of 2018 I. CONTRIBUTIONS made to officials of a municipal entity (list by state) RI Complete name, title (including any city/county/state or other political subdivision) of municipal entity official Seth Magaziner, Treasurer of Rhode Island Contributions by each contributor category (i.e., for purposes of this form, dealer, dealer controlled PAC, municipal finance professional, municipal finance professional controlled PAC, non-mfp executive officer, municipal advisor, municipal advisor controlled PAC, municipal advisor professional, municipal advisor professional controlled PAC, and non-map executive officer). For each contribution, list contribution amount and contributor category (disclose all applicable categories for each contributor). (For example, $500 contribution by non-mfp executive officer) If any contribution is the subject of an automatic exemption pursuant to Rule G-37(j), list amount of contribution and date of such automatic exemption. $ contribution by Non-MFP executive officer II. PAYMENTS made to political parties of states or political subdivisions (list by state) Complete name (including any city/county/state or other political subdivision) of political party Payments by each contributor category
2 III. CONTRIBUTIONS made to bond ballot campaigns (list by state) A. Contributions Official name of bond ballot campaign and jurisdiction (including city/county/state or other political subdivision) for which municipal securities would be issued and the name of the entity issuing the municipal securities Contributions, including the specific date the contributions were made, by each contributor category B. Reimbursement for Contributions List below any payments or reimbursements, related to any disclosed bond ballot contribution, received by each dealer, municipal finance professional, non-mfp executive officer, municipal advisor, municipal advisor professional, or non-map executive officer from any third party, including the amount paid and the name of the third party making such payments or reimbursements.
3 IV. MUNICIPAL ENTITIES with which the regulated entity has engaged in municipal securities business or municipal advisory business (list by state) A. Municipal Securities Business See Attachment Complete name of municipal entity and city/county Type of municipal securities business (negotiated underwriting, private placement, financial advisor, or remarketing agent) B. Municipal Advisory Business Complete name of municipal entity and city/county Type of municipal advisory business (advice or solicitation) (and in the case of municipal advisory business engaged in by a municipal advisor third-party solicitor, the name of the third party on behalf of which business was solicited and the nature of the business solicited (municipal securities business, municipal advisory business or investment advisory services)) C. Ballot-Approved Offerings Full name of the municipal entity and full issue description of any primary offering resulting from the bond ballot campaign to which each contributor category has made a contribution and the reportable date of selection on which the regulated entity was selected to engage in the municipal securities business or municipal advisory business. Full Name of Municipal Entity Full Issue Description Reportable Date of Selection
4 Signature: electronic Date: May 18, 2018 Name (must be officer of regulated entity): CINDY LAM-YEE Address: 95 Wells Avenue, Newton, MA Phone: Submit to the Municipal Securities Rulemaking Board a completed form quarterly by due date (specified by the MSRB)
5 Name of Issuer/City/County Type of Municipal Securities Business AK Alaska ABLE Plan - ABLE Consortium Trust Agency Offering AL Enable Savings Plan Alabama - The Nebraska Achieving a Better Life Experience Program Trust Agency Offering AR Arkansas Tax-Deferred Tuition Program Trust Agency Offering CO Direct-Sold College Savings Trust Agency Offering CO Colorado ABLE - The Nebraska Achieving a Better Life Experience Program Trust Agency Offering CT Connecticut Higher Education Trust Agency Offering DC District of Columbia College Savings Program Trust Agency Offering DC DC ABLE - The Nebraska Achieving a Better Life Experience Program Trust Agency Offering HI College Savings Program Trust Fund Agency Offering IA Iowa Educational Savings Plan Trust Agency Offering IA IABLE - ABLE Consortium Trust Agency Offering ID Idaho College Savings Trust Agency Offering IL Illinois ABLE - ABLE Consortium Trust Agency Offering IN CollegeChoice Direct 529 Savings Trust Agency Offering IN CollegeChoice Advisor 529 Savings Trust Agency Offering IN InvestABLE Indiana - ABLE Consortium Trust Agency Offering KS Kansas Postsecondary Education Savings Program Agency Offering KS Kansas ABLE Savings Plan - ABLE Consortium Trust Agency Offering MO Missouri Higher Education Savings Program Agency Offering MN Minnesota ABLE Plan - ABLE Consortium Trust Agency Offering MT Montana Family Education Savings Trust Agency Offering MT Montana ABLE Plan - ABLE Consortium Trust Agency Offering NC NC ABLE Plan - ABLE Consortium Trust Agency Offering ND College SAVE Trust Agency Offering NE Nebraska Educational Savings Plan Trust Agency Offering NE Enable Savings Plan Nebraska - The Nebraska Achieving a Better Life Experience Program Trust Agency Offering NV Nevada College Savings Trust Fund Agency Offering NV ABLE Nevada - National ABLE Alliance Trust Agency Offering NY NY ABLE - The Nebraska Achieving a Better Life Experience Program Trust Agency Offering NY New York College Choice Tuition Savings Program Trust Agency Offering OH Ohio Variable College Savings Trust Agency Offering PA Pennsylvania Tuition Account Program Agency Offering PA PA ABLE Savings Program - ABLE Consortium Trust Agency Offering RI Rhode Island Higher Education Savings Trust Agency Offering RI RI's ABLE-ABLE Consortium Trust Agency Offering TN ABLE TN- of Tennessee Achieving a Better Life Experience Program Agency Offering WV West Virginia Savings Program Trust Agency Offering
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