NAMA COMPLIANCE RESOURCES


IRS Issue Price

NAMA Issue Price Guidance
Ehlers/NAMA Issue Price Competitive Sale Decision Making Flow Charts

MSRB Rule G-10/Client Complaints

NAMA G-10/Customer Complaint Overview and Resources Section
MSRB Rule G-10 (effective October 13, 2017)

MSRB Rule G-37/Political Contributions

NAMA G-37 Overview Chart
NAMA G-37 Developing Policies and Procedures
MSRB Rule G-37

MSRB Rule G-42/Duties of MA

NAMA G-42 Developing Policies and Procedures
NAMA G-42 Checklist
MSRB Rule G-42

SEC OCIE Compliance Exam Resources

NAMA OCIE Exam Process Flow Chart 
NAMA Compliance Cover Sheet To Document Requests and Responses to OCIE Examiners
NAMA Compliance Tracking Sheet To Track Requests From OCIE Examiners (Excel)