Tools

Checklists

• 529 College Savings Plan MSRB Rule Compliance
• Books and Records Recordkeeping Requirements Checklist
• Breakpoints Checklist and Worksheet
• Comparison of the AML Customer Identification Rule and the SEC’s Books & Records Customer Account Records Rule
• Checklist for Organizational Change: Important Steps Related to the Merger, Acquisition, and Succession Process
• Written Supervisory Procedures Checklist
• Anti-Money Laundering Template
  

 

Templates & Forms

• Business Continuity Planning Template
• BCP Disclosure Statement
• Breakpoints Claim Forms and Notification Letters
• Breakpoints Sample Written Disclosure Document
• Small Firm Emergency Partner Program Contract Template
• Alphabetical List of Online Forms
  

 

Interactive Tools

• Breakpoints Interest Refund Calculator – a tool that firms can use to determine the appropriate refund due to investors.
• OFAC Search Tool – provides searchable access to the U.S. Treasury Office's Specially Designated Nationals and Blocked Persons (SDN) list.
• File an Industry Tip

 

Tutorials

• The New Form NMA and Application Process – the purpose of this tutorial is to introduce changes to the New Member Application Process.
• Electronic Storage Media Tutorial – reviews how to file the electronic storage media notification and applicable representations through the Firm Gateway.
• AREF Tutorial – This tutorial reviews how to submit filings for advertising or sales literature via the Advertising Regulation Electronic Filing System.