Municipal Advisor Services

ARS offers Municipal Advisor Compliance services that include, but are 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