SEC, MSRB, EXAMS RESOURCES

MA Registration Information

SEC Information for MAs

SEC EXAMS Program Information

SEC September 2026 Exams Handbook, https://www.sec.gov/newsroom/press-releases/2026-99-secs-division-examinations-announces-new-exam-handbook
SEC Exams Staff MA Assessment of Risks, Scoping of Examinations, and Requesting of Documents, December 2024: https://www.sec.gov/files/risk-alert-muni-advisors-120924.pdf
SEC OCIE/NEP’s MA Examination Initiative Press Release (August 2014)
SEC OCIE/NEP Letter to MA Registrants
SEC OCIE/NEP Examination Brochure