Standard Forms and Documentation



Featured Document

 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.

Featured Item - Municipal Bonds

Municipal Advisor Model Documents

SIFMA prepared draft model documents and related guidance to help brokers, dealers and other financial institutions serve their clients and comply with the regulatory requirements created by the SEC's Municipal Advisor Rule.

 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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