SEC Pay-to-Play Political Contribution Disclosure Made Simple

If you're an investment adviser subject to SEC Rule 206(4)-5, tracking and disclosing political contributions from covered associates isn't optional—it's a regulatory requirement. Missing or incomplete disclosures can trigger serious compliance issues, including the two-year compensation ban for advisory services to government entities.

This SEC Pay-to-Play Political Contribution Disclosure Form helps registered investment advisers (RIAs) and their compliance teams capture complete, structured contribution data in one place. Instead of chasing emails or relying on manual spreadsheets, you can collect covered associate identification, contribution details, recipient information, and government entity client disclosures through a single, purpose-built form.

Why Paperform for compliance reporting?

Paperform gives compliance officers and RIA operations teams the tools to build professional, on-brand disclosure forms without coding. You can customise fields to match your firm's internal policies, add conditional logic to route different contribution types, and integrate submissions directly into your compliance management system or CRM.

Streamline with Stepper: Connect this form to Stepper to automate your post-submission workflow—notify your CCO, log contributions in your compliance database, flag contributions that trigger the pay-to-play ban, and generate quarterly summary reports without manual data entry.

Secure and auditable: Paperform is SOC 2 Type II compliant and GDPR-ready, so you can trust that sensitive associate and client data is stored securely. Every submission is timestamped and logged, giving you a clean audit trail when regulators come calling.

Whether you're a boutique RIA or a growing advisory firm with multiple covered associates, this template helps you stay ahead of SEC reporting requirements and maintain clear records of political contributions that could affect your ability to serve government entity clients.