Municipal Advisor Compliance Services
Expert guidance for municipal advisors navigating SEC and MSRB regulations, providing comprehensive compliance coverage while you focus on serving your clients.
Comprehensive Municipal Advisor Services
ARS offers Municipal Advisor Compliance outsourced services that include, but are not limited to:
- Prepare and Submit Initial/Annual Registrations 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 MSRB Rule G-37 Quarterly Reports
- Create, Update and Amend Written Supervisory Procedures and Surveillance Programs
- Update WSPs with New and Amended Rules or Interpretive Guidance
- Execute Surveillance Program
- Identify Exceptions and Report to Management
- Send 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 (including ad hoc, employee and/or new or amended rules)
- Provide Compliance Support for RFPs, IRMA, Engagement Letters, Off-Channel Communications, etc.
- Provide Expert Witness Support and Industry Expertise
- Provide Support and Assistance with Regulatory Exams, Inquiries, Subpoenas, Sweep Letters, and/or Internal Audits
- Prepare Annual G-44 Certification Review and Report
Expertise You Can Trust
Our team has been instrumental in positive outcomes regarding regulatory exams, inquiries, and investigations with the SEC, FINRA, and MSRB.
With deep expertise in the municipal market and extensive experience with both regional and national firms, ARS understands the unique challenges facing municipal advisors and provides practical, business-focused solutions.
Partner With Municipal Advisory Experts
Schedule a consultation to learn how we can support your municipal advisory compliance needs.
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