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# Other

# Division of Examinations Resources

                            May 12, 2017                       

## Broker-Dealers

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

## Exchanges/SROs

Rulemaking

## 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

## Investors

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

## NRSROs

Nationally Recognized Statistical Rating Organizations ("NRSROs")

Public Comment

## Private Fund Advisers

Rulemaking
                                  - Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF  (Release No. IA-3145)
                                  - 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)
                                  - Rules Implementing Amendments to the Investment Advisers Act of 1940  (Release No. IA-3110)
                                  - Custody of Funds or Securities of Clients by Investment Advisers  (Release No. IA-2876)

Staff Letter
                                  - Letter to Industry Regarding Presence Exams  (October 9, 2012)

## Transfer Agents

Transfer Agents: Rule 17Ad-13 Reporting Instructions

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