Resources for Registrants

Anti-Money Laundering (AML)

SAR Alert Message Line

Broker-Dealer Source Tool

Mutual Fund Source Tool

Confidentiality of SAR: Letter to FINRA

Confidentiality of SAR: Letter to Broker-Dealers

Broker-Dealers

Tips for Broker-Dealers on Avoiding Failures to Deliver Securities

Requests for Independent Confirmation of Assets

Data Submission

Secure File Transfer — User Guide

Secure E-mail — User Guide

Data Delivery Guidance

Examination-Related Forms

Examination Brochure: Information about Examinations

Form 1661

Form 2866

Exchanges/Self-Regulatory Organizations

SRO Rulemaking

Investment Advisers

Information for Newly-Registered Investment Advisers

Advisers with Custody: Rule 206(4)-2(a)(3)(ii)(C) Reporting Instructions

Requests for Independent Confirmation of Assets

Investors

Requests for Independent Confirmation of Assets

Municipal Advisors

Registration Form MA

Registration Form MA-I

Registration Form MA-NR

Withdrawal Form MA-W

Instructions for the Registration Forms for Municipal Advisors

Final Rules for Municipal Advisors

Compliance Outreach Program for Municipal Advisors

Municipal Advisor Exam Initiative

NRSROs

Nationally Recognized Statistical Rating Organizations (NRSROs)

Public Comment

Private Fund Advisers

Net Worth Standard for Accredited Investors (Release No. 33-9177)

Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers (Release No. IA-3222)

Custody of Funds or Securities of Clients by Investment Advisers (Release No. IA-2876)

Transfer Agents

Rule 17Ad-13 Reporting Instructions