Municipal Adviser Registration Services

We assist firms desiring to act as a Municipal Adviser to obtain the respective registration with the SEC and MSRB, as well as providing on-going operational and compliance support ,so as allow firms to efficiently address their regulatory and operational needs.  Ultimately, this approach allows us to obtain our our goal, which is  to obtain the respective registrations on your firm’s behalf, and to make sure your firm has the compliance tools necessary to successfully circumnavigate the regulatory environment.

As a part of our full-service municipal adviser registration platform, we:

  • Prepare and file all necessary documents that are required to register your firm as a Municipal Advisor, including obtaining MSRB and SEC website entitlements, filing the necessary application with the MSRB, including Form MA for the firm, and Form MA-I for each individual.
  • Prepare written Compliance Procedures.
  • Co-ordinate and respond to all inquiries from the MSRB and SEC regarding the respective registrations.
  • Provide training on the MSRB and SEC Edgar Systems.