Compliance Providers (March 2022)

List of Compliance Providers Who Assist MA Firms

Considerations When Choosing Outside Compliance Services (March 2022)

NAMA Resource - Considerations When Choosing Outside Compliance Services

Compliance Reminders

NAMA MA Compliance Reminders - One Pager (updated March 2022)

Compliance Matrix

NAMA Considerations for Developing an Annual Compliance Matrix (updated March 2022)

Model CEO Annual Certificate

NAMA Model Annual CEO Certificate

Series 54 Exam

NAMA Resource - Series 54 Exam Overview

MSRB Rule G-37/Political Contributions 

NAMA Rule G-37 Compliance Resource

NAMA Rule G-37 Overview Chart


MSRB Q&A Summary - Form G-37 Submission Process

MSRB Rule G-37

EMMA Dataport to Make Form G-37 Submissions

Database of Form G-37 Filings

Continuing Education

NAMA Model Continuing Education Needs Assessment

NAMA Model Continuing Education Training Plan

MSRB Rule G-34/Obtaining CUSIP Numbers

NAMA Resource:  Obtaining CUSIP Numbers and Understanding the CUSIP Application Process

Rule G-40:  Advertising by Municipal Advisors

NAMA Resource:  MSRB Rule G-40

MSRB Rule G-10/Client Complaints

NAMA Resource - MSRB Rule G-10/Customer Complaints
MSRB Rule G-10 

MSRB Rule G-42/Duties of MA

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


Swap Advising

Resources Related to Swap Advising

IRS Issue Price

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

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)

SEC Temporary Exemptive Order for MAs (this has expired)

NAMA Overview and MA Considerations

NAMA Model Document for MA and Qualified Provider Representations

NAMA Model Template for Information that MAs Must Send to SEC per Order

SEC Temporary Exemptive Order