Additional Forms and Documents
On April 1, 2009, New York implemented new rules of professional conduct that now require that consents regarding potential conflicts of interest be confirmed in writing. This form provides draft language for disclosure of any such conflicts of interest.
Intended to illustrate concerns that have been known to arise in trade association activities, this booklet will help SIFMA members understand the requirements of antitrust laws and minimize the risk of antitrust concerns in connection with SIFMA-sponsored activities. Although the antitrust laws recognize that trade associations make many pro-competitive contributions to the American economy, the very fact that trade associations bring competitors together presents a risk that agreements will be made which may raise antitrust concerns.
Created to reduce the time and expense associated with negotiating electronic access agreements. For use by broker-dealers providing customers with access to electronic trading services. Covers common issues that arise in the provision of electronic trading services by broker-dealers to customers, such as a requirement that electronic trading services be accessed only through specified access methods by the customer or certain authorized users.
Guidelines to illustrate a global approach to managing potential conflicts of interest. Intended to enhance investor protection by promoting greater awareness of how potential conflicts of interest can be managed by integrated sell-side financial institutions that underwrite and trade debt securities and distribute to investors research about those securities.
A certification form to assist in the collection of customer representations required under NASD Rule 2790, which prohibits a member firm from selling a new issue to any account in which a restricted person has a beneficial interest.
Institutional Suitability Certificate
Developed to facilitate broker-dealer compliance with new FINRA Rule 2111, specifically when dealing with institutional clients.
Please refer here for SIFMA’s SMMP Certificate.
Covers procedures for book-entry deposit of Rule 144A securities. For use by issuers inadvertently falling within the definition of an “investment company” under the Investment Company Act of 1940.
A form to be filled out in the event of a missing, lost, stolen or counterfeit security. For use in conjunction with the SEC requirements for these securities under the Securities Exchange Act of 1934.
Intended to provide guidance for the conduct of wholesale transactions in the over-the-counter financial markets between participants.
Guidelines for secondary market trading procedures when the holders of the securities are “qualified purchasers”, who are exempt from regulation under the Investment Company Act of 1940.
A draft model trade approval form for use in conjunction with Section 403 of the Sarbanes-Oxley Act of 2002. The Act requires Section 16 “insiders” of public issuers to report transactions in the issuer’s equity securities within two business days after month’s end.