SIFMA
Menu Close
  • Advocacy & Resources
  • About
  • Events
  • For Members
  • Join SIFMA

Type:

Date:

April 30, 2025

Issues:

Master Agreements, Cross Product

Guidance Notes to the Master Securities Forward Transaction Agreement (MSFTA) – December 2012

Type:

Date:

April 30, 2025

Issues:

Master Agreements, Cross Product

2018 Amendment to 2012 Master Securities Forward Transaction Agreement

Type:

Date:

September 5, 2024

Issues:

Master Agreements, Cross Product

Revised Master Agreement Among Underwriters (MAAU) – Redline (2023 vs 2022)

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Investment-Grade Bond Optional Redemption (without Par Call) – Model Provision

Market participants have expressed the need for standardized language in investment-grade bond optional redemption provisions. SIFMA assembled a working group…

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Investment-Grade Bond Optional Redemption (with Par Call) – Model Provision

Market participants have expressed the need for standardized language in investment-grade bond optional redemption provisions. SIFMA assembled a working group…

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Investment-Grade Bond Optional Redemption – Presentation

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Investment-Grade Bond Optional Redemption – Model Provision

Market participants have expressed the need for standardized language in investment-grade bond optional redemption provisions. SIFMA assembled a working group…

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Investment-Grade Bond Optional Redemption – Executive Summary

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

OTC Option Transactions – U.S. Treasury Securities, Master Dealer Agreement (1989 Version)

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Master OTC Options Agreement (2000 Version) – Guidance Notes

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Master OTC Options Agreement (2000 Version)

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Legal Entity Identifier (LEI) – Memo RE: Customer Due Diligence Beneficial Ownership Requirements

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Legal Entity Identifier (LEI) – Guidelines Relating to Trade Assignments of TBA Transaction

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Legal Entity Identifier (LEI) – 25% Ownership — Certification Regarding Beneficial Owners of LEI

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Legal Entity Identifier (LEI) – 10% Ownership –Certification Regarding Beneficial Owners of LEI

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Recommended Policies and Procedures for Secondary Market Trading in Book-Entry Section 3(c)(7) Securities

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Procedures, Covenants, and Remedies in Light of Revised Rule 144

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Principles and Practices for Wholesale Financial Market Transactions

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Practice Guidelines for Trading in Distressed Bonds

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Note to Bond Counsel – Auction Rate Securities (ARS)

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Money Market Trading – Practice Guidelines (Amended)

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Model Auction Procedures – Auction Rate Securities (ARS)

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Missing / Lost / Counterfeit / Stolen Counterfeit Securities Report (Form X-17F-1A)

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Memorandum and Revised Procedures for Book-Entry Deposit of Rule 144A Securities

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Institutional Suitability Certificate

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Institutional Family Office (confirmation of status) – Word format

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Institutional Family Office – Institutional Family Office (affirmative confirmation) – PDF format

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Guiding Principles to Promote Integrity of Fixed Income Research

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Guidance on JOBS ACT Rule 506(c) Verification (2014)

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Best Practices for Broker-Dealers of Auction Rate Securities (ARS)

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Affirmative Consent Certificate of Institutional Account to Receive Institutional Debt Research

Type:

Date:

March 30, 2024

Issues:

Market Practices, Cross Product

Advance Conflict Waiver Form

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Sample Provisions for FCM Customer Agreements for Separate Accounts – Draft Sample Provisions for FCM Customer Agreements for Separate Accounts

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Sample Disclosure Language – Auction Rate Securities (ARS)

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Revised Master Selected Dealers Agreement (MSDA) Blackline of January 4, 2019 version against June 10, 2011 version

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Revised Master Selected Dealers Agreement (MSDA) Blackline against January 4, 2019 version

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Revised Master Selected Dealers Agreement (MSDA) (2019)

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Revised Master Agreement Among Underwriters (MAAU) (2020)

An agreement setting forth the legal relationships between syndicate members and permitting the efficient execution of one standardized agreement rather…

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Revised Master Agreement Among Underwriters (MAAU) – Blackline (2020 vs 2019)

Type:

Date:

March 30, 2024

Issues:

Master Agreements, Cross Product

Revised Master Agreement Among Underwriters (MAAU) – Blackline (2019 vs 2018)

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Revised Master Agreement Among Underwriters (MAAU) – Blackline (2018 vs 2014)

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Revised Master Agreement Among Underwriters (MAAU) – December 20, 2022

The agreement was last revised on December 20, 2022 to reflect the amendments to FINRA Rule 11880 for public offerings…

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Memo addressing Application of the U.S. QFC Stay Rules to Underwriting and Similar Agreements

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Master Securities Forward Transaction Agreement (MSFTA) – Guidance Notes (1996)

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Master Securities Forward Transaction Agreement (MSFTA) – 1996 Version

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Electronic Access and Trading Agreement

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Cross-Product Master Agreement (CPMA), Cross-Affiliate Version 2 (2003) – Guidance Notes

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Cross-Product Master Agreement (CPMA), Cross-Affiliate Version 2 (2003)

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Cross-Product Master Agreement (CPMA) (2000) Joint Trade Association Release

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Cross-Product Master Agreement (CPMA) (2000) – Guidance Notes

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Cross-Product Master Agreement (CPMA) (2000)

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Cross-Product Master Agreement (CPMA) – Notice to Members (2000)

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Cross Product Master Agreement (2003)

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Broker-Dealer Agreement – Auction Rate Securities (ARS)

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Broker or Dealer Special Omnibus Account Agreement (Form 11)

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Auction Agency Agreement – Auction Rate Securities (ARS)

Agreement between a trustee and auction agent.

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Application of the U.S. QFC Stay Rules to Underwriting and Similar Agreements – 2018 Memorandum

Type:

Date:

March 29, 2024

Issues:

Master Agreements, Cross Product

Global Commercial Paper Dealer Agreement

Type:

Date:

February 20, 2024

Issues:

Notifications, Cross Product

Affirmative Consent Certificate of Institutional Account to Receive Institutional Debt Research

Type:

Date:

August 14, 2023

Issues:

Master Agreements, Cross Product

Revised Master Agreement Among Underwriters (MAAU) – updated August 14, 2023

The agreement (docx) was last revised on August 14, 2023 in regards to the SEC’s June 2023 amendment to Regulation M.

About SIFMA

SIFMA is the voice of the U.S. securities industry. We advocate for effective and resilient capital markets.

SIFMA is a member of the GFMA Alliance

Global Financial Markets Association Securities Industry and Financial Markets Association Association for Financial Markets in Europe Asia Securities Industry & Financial Markets Association

Sifma Essentials

  • Market Practices & Model Documentation
  • Newsroom
  • Research
  • Sources
  • Store

Follow Us

  • LinkedIn
  • Instagram
  • Contact Us
  • Manage Profile

Sifma Initiatives

  • The Stock Market Game
  • Project:Invested

Important Links

  • Terms of Use
  • Privacy Policy
  • Emergency Alerts
Get daily news on the capital markets
Subscribe
Thank you for subscribing!

© 2025 Securities Industry and Financial Markets Association

Back to top