Skip to main content    

Company Filings

U.S. Securities and Exchange Commission

                        -  About                            -  Careers 
                          -  Commissioners 
                          -  Contact 
                          -  Reports and Publications 
                          -  Securities Laws 
                          -  Mission 
                          -  Commission Votes 
                        -  Divisions & Offices                            -  Corporation Finance 
                          -  Enforcement 
                          -  Investment Management 
                          -  Economic and Risk Analysis 
                          -  Trading and Markets 
                          -  Office of Administrative Law Judges 
                          -  Examinations 
                        -  Enforcement                            -  Litigation Releases 
                          -  Administrative Proceedings 
                          -  Opinions and Adjudicatory Orders 
                          -  Accounting and Auditing 
                          -  Trading Suspensions 
                          -  How Investigations Work 
                          -  Receiverships 
                          -  Information for Harmed Investors 
                        -  Regulation                            -  Rulemaking Activity 
                          -  Proposed Rules 
                          -  Final Rules 
                          -  Interim Final Temporary Rules 
                          -  Other Orders and Notices 
                          -  Self-Regulatory Organizations 
                          -  Staff Interpretations 
                        -  Education                            -  Investor Education 
                          -  Glossaries 
                          -  Small Business Capital Raising 
                        -  Filings                            -  EDGAR – Search & Access 
                          -  EDGAR – Information for Filers 
                          -  Company Filing Search 
                          -  How to Search EDGAR 
                          -  Forms List 
                          -  About EDGAR 
                        -  News                            -  Press Releases 
                          -  Speeches and Statements 
                          -  Securities Topics 
                          -  Upcoming Events 
                          -  Webcasts 
                          -  SEC Videos 
                          -  Media Gallery 

                -  U.S. Securities and Exchange Commission                    -  Divisions & Offices 
                  -  Enforcement 
                  -  Regulation 
                  -  Education 
                  -  Filings 
                  -  Newsroom 
                -  Newsroom                    -  Press Releases 
                  -  Testimony 
                -  RSS Feeds                    -  Press Releases 
                  -  Public Statements 
                  -  Speeches 
                  -  Testimony 
                -  Compliance Outreach Program 
                -  Funds and Advisers 
                -  Broker-Dealers 
                -  Municipal Advisors 
                -  SCI Entities 

-  Compliance Outreach Program 
-  Funds and Advisers 
-  Broker-Dealers 
-  Municipal Advisors 
-  SCI Entities 

# Other

# 2016 Compliance Outreach Program for Municipal Advisors, November 10, 2016 — Resource List

                            May 12, 2017                       

## Municipal Advisor Resources

                                  - Final Municipal Advisor Registration Rule (November 12, 2013)  *https://www.gpo.gov/fdsys/pkg/FR-2013-11-12/pdf/2013-23524.pdf*
                                  - SEC, Registration of Municipal Advisors Frequently Asked Questions, Office of Municipal Securities   *https://www.sec.gov/info/municipal/mun-advisors-faqs.shtml*
                                  - SEC, Instructions for the Form MA Series  *https://www.sec.gov/about/forms/formmadata.pdf*
                                  - SEC, 2016 Examination Priorities (January 2016)  *http://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2016.pdf*
                                  - MSRB, Preparing to Submit MSRB Form A-12 Checklist  *http://www.msrb.org/msrb1/pdfs/MSRB-Registration-Checklist-Form-A-12.pdf*

## Municipal Advisor Registration Forms

                                  - Form MA  *https://www.sec.gov/about/forms/formma.pdf*
                                  - Form MA-I  *https://www.sec.gov/about/forms/formma-i.pdf*
                                  - Form MA-NR  *https://www.sec.gov/about/forms/formma-nr.pdf*
                                  - Form MA-W  *https://www.sec.gov/about/forms/formma-w.pdf*

## EDGAR Links

                                  - EDGAR Filer Website  *https://www.edgarfiling.sec.gov/Welcome/EDGARLogin.htm*
                                  - EDGAR Filer Management   *https://www.filermanagement.edgarfiling.sec.gov/Welcome/EDGARFilerMgmtMain.htm*
                                  - EDGAR Filer Manual  *https://www.sec.gov/info/edgar/edmanuals.htm*

SOCIAL MEDIA1Twitter 2Facebook2Instagram3RSS4YouTube6LinkedIn8Email Updates

## About The SEC

-  Budget & Performance 
-  Careers 
-  Commission Votes 
-  Contact 
-  Contracts 
-  Data Resources 

## Transparency

-  Accessibility & Disability 
-  FOIA 
-  Inspector General 
-  No FEAR Act & EEO Data 
-  Ombuds 
-  Whistleblower Protection 

## Websites

-  Investor.gov 
-  Related Sites 
-  USA.gov 

## Site Information

-  Plain Writing 
-  Privacy & Security 
-  Site Map 

**Return to Top