NAMA COMPLIANCE RESOURCES
NAMA Resource: Using Testimonials in Advertisements (May 2023)
NAMA Resource: Using Testimonials in Advertisements
NAMA Takeaways on MSRB's WSP and Pricing Resource (November 2022)
NAMA Takeaways on MSRB's WSP and Pricing Resource
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
NAMA/MSRB G-37 Webinar/April 2019 - INCLUDES SUBMISSION INSTRUCTIONS
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
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
|
