Resources for Registrants

Anti-Money Laundering (AML)

• SAR Alert Message Line
• Broker-Dealer Source Tool
• Mutual Fund Source Tool
• Confidentiality of SAR: Letter to FINRA
• Confidentiality of SAR: Letter to Broker-Dealers

Broker-Dealers

• Tips for Broker-Dealers on Avoiding Failures to Deliver Securities
• Requests for Independent Confirmation of Assets

Common Deficiencies

• Risk Alerts, FAQs, and Observations to Help Firms Avoid Common Deficiencies Found During Exams

Data Submission

• Secure File Transfer — User Guide
• Secure E-mail — User Guide
• Zixmail Encryption Solution – User Guide
• Data Delivery Guidance

Examination-Related Forms

• Examination Brochure: Information about Examinations
• Form 1661
• Form 2866

Exchanges/Self-Regulatory Organizations

• SRO Rulemaking

Investment Advisers

• Advisers with Custody: Rule 206(4)-2(a)(3)(ii)(C) Reporting Instructions
• Requests for Independent Confirmation of Assets

Investors

• 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 Rule for Municipal Advisor Registration
• Compliance Outreach Program for Municipal Advisors
• Municipal Advisor Exam Initiative

Private Fund Advisers

• Net Worth Standard for Accredited Investors (Release No. 33-9177)
• Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers (Release No. IA-3222)
• Custody of Funds or Securities of Clients by Investment Advisers (Release No. IA-2876)

Transfer Agents

• Rule 17Ad-13 Reporting Instructions