Standard Forms and Documentation



Featured Document

 Featured News - Report

Model Sophisticated Municipal Market Professional Affirmation

SIFMA Developed the Model SMMP Affirmation for Institutional Customers. This new affirmation is necessary in light of Municipal Securities Rulemaking Board (MSRB) rule changes which were approved by the SEC in December 2014 and which become effective December 7, 2015.

Broker Trust

Antitrust Compliance Booklet

Booklet to help SIFMA members understand the requirements of antitrust laws and minimize the risk of antitrust concerns in connection with SIFMA-sponsored activities.

 Handshake - Agreement - Broker Protocol - 218

Broker Protocol Agreement

SIFMA is the administrator of the Protocol governing the use of client information when registered representatives move between participating firms. The goal being furthering clients' interests in privacy and freedom of choice in connection with the movement of their RRs.

 Standard Forms

Order Routing Disclosure Template

This template for the minimum disclosure of order routing and execution quality information could be provided to institutional investor clients of broker-dealers.

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