Municipal Advisor Services

ARS offers Municipal Advisory Compliance services that include, but not limited to:

  • Initial and Annual Registration Preparation and Regulatory Filings
  • Amend and Update SEC Forms MA, MA-I and MSRB Form A-12 for Changes in Personnel, Firm and/or Individual Registrations
  • File the G-37 Reports
  • Create, Amend, and Update Written Supervisory Procedures and Surveillance Programs
  • Update WSPs with New and Amended Rules or Interpretive Guidance
  • Surveillance Program Outsourcing
  • Exception Identification and Management Reporting
  • Periodic Regulatory and Industry Best Practice Bulletins
  • Monitor the Status of New and Amended Rules or Rule Interpretations
  • Conduct On-Site as well as Off-Site Training (ad hoc, employee and/or new or amended rules)
  • Provide Compliance Support for RFPs, IRMA, Engagement Letters, etc.
  • Provide Expert Witness Support and Industry Expertise
  • Provide Support and Assistance with Regulatory Exams, Inquiries, Subpoenas, Sweep Letters, and/or Internal Audits
  • Annual G-44 Certification Review and Report