NAMA Compliance Resources NAMA Resource (UPDATED): Considerations for Record keeping and Supervision for Off-Channel Communications (September 2024) NAMA Resource: Considerations for Record keeping and Supervision for Off-Channel Communications NAMA Resource: Collected Information of SEC's Actions Against MA Firms for Electronic Record keeping Violations NAMA Resource: NEW MSRB Rule G-46: Duties of Solicitor MAs - Compliance Considerations (February 2024) NAMA Resource: New MSRB Rule G-46: Duties of Solicitor MAs - Compliance Considerations NAMA Resource: MAs and SEC Asset Backed Securities Rule - Compliance Considerations (January 2024) NAMA Resource: MAs and SEC Asset Backed Securities Rule - Compliance Considerations Academic Papers: Competitive and Negotiated Sales (December 2023) Academic Papers - Competitive and Negotiated Sales Compliance Providers (November 2023) List of Compliance Providers Who Assist MA Firms NAMA Alert: LIBOR Ceases June 30th NAMA Resource: LIBOR Ceases June 30th NAMA Resource: Using Testimonials in Advertisements (June 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 Considerations When Choosing Outside Compliance Services (March 2022) NAMA Resource - Considerations When Choosing Outside Compliance Services Compliance Reminders - One Pager NAMA MA Compliance Reminders - One Pager (updated 2024) 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 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
