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    • About Us
      • Board of Directors
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    • Membership
      • Membership Categories
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      • Affiliate Membership Application
      • Associate Membership Application
    • Regulatory Issues
      • NAMA Comment Letters
      • NAMA Compliance Resources
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      • SEC, MSRB and OCIE Resources
      • Series 50 and 54 Information
    • Events
      • CIPMA Program
        • General Program Information
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        • NAMA's 2020 ANNUAL CONFERENCE
        • 2019 Annual Conference
        • 2018 Annual Conference
        • Past NAMA Conferences

      MSRB, SEC and OCIE RESOURCES FOR MUNICIPAL ADVISORS

       

      MA Registration Information:

      MSRB Page for Municipal Advisors Including Registration Information

      SEC Office of Municipal Securities Web Page, Including MA Registration Instructions

      MSRB Rulemaking for MAs

      MSRB Rule G-37

      MSRB  How to Make a G-37 Submission Slide Deck

      Instructions for MSRB Form G-37, G-37x and G-38t

      MSRB Rule G-37

      MSRB GATEWAY Manual

      Series 50 Exam

      Series 50 Exam Information 

      Other MSRB Rulemaking

      MSRB Rule G-42: Duties of Non-Solicitor MAs – Effective June 23, 2016 

      MSRB Rule G-20: Gifts, Gratuities and Non-Cash Compensation – Effective May 6, 2016

      MSRB Rule G-44: Supervisory and Compliance Obligations of MAs – Effective April 26, 2016

      List of MSRB Rulemaking and Interpretative Releases for Municipal Advisors 

      SEC Information for MAs

      SEC FAQ’s - Regulation of Municipal Advisors 

      SEC Final Rulemaking – Municipal Advisors

      OCIE Program Information

      SEC OCIE/NEP’s MA Examination Initiative Press Release (August 2014) 

      SEC OCIE/NEP Letter to MA Registrants

      SEC OCIE/NEP Examination Brochure 

       

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      NAMA CONFERENCE SPONSORS

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      - S&P Global Ratings

      GOLD
      - Kensington Capital Advisors
      - MassMutual

      SILVER
      - Assured Guaranty
      - Causey Demgen & Moore P.C.
      - First Internet Bank
      - Hilltop Securities
      - Ipreo
      - Lumesis
      - Moody’s Investors Service
      - MuniVisor
      - The MuniGroup
      - Solomon Exam Prep

      BRONZE
      - Alaric Compliance 
      - CUSIP Global Services
      - Grant Street Group
      - Kroll Bond Ratings
      - MuniPlatform
      - Robert Thomas CPA
      - Stanley P. Stone & Associates, Inc.

      MEDIA
      - The Bond Buyer

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