Ongoing Compliance Services

Our professional staff is knowledgeable about municipal advisory activities, and capable to work with you to develop or assist you with respect to your municipal advisory operational and compliance issues, including:

  • Preparing and or reviewing:
    • your disclosure documents and privacy notices
    • Business continuity plan which incorporates regulatory concerns
  • Annual regulatory filings via the SEC Edgar Registration System
  • Assisting with Annual MSRB annual A-12 filings
  • Addressing and responding to questions related to your municipal advisory activities