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Division of Examinations Resources

May 12, 2017


Tips for Broker-Dealers on Avoiding Failures to Deliver Securities (UPDATED 11/25/08)

Requests for Independent Confirmation of Assets

Senior Investors

Division of Trading and Markets



Investment Advisers

Information for Newly-Registered Investment Advisers

Advisers with Custody: Rule 206(4)-2(a)(3)(ii)(C) Reporting Instructions

Requests for Independent Confirmation of Assets

Division of Investment Management


Exam Staff Requests for Independent Confirmation of Assets

Municipal Advisors

Registration Form MA

Registration Form MA-I

Registration Form MA-NR

Withdrawal Form MA-W

Instructions for the Registration Forms for Municipal Advisors

Final Rules for Municipal Advisors

Compliance Outreach Program for Municipal Advisors

Office of Municipal Securities

Press Release: SEC Announces Municipal Advisor Exam Initiative


Nationally Recognized Statistical Rating Organizations ("NRSROs")

Public Comment

Private Fund Advisers


Staff Letter

Transfer Agents

Transfer Agents: Rule 17Ad-13 Reporting Instructions

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