The DMA Consulting Group
Since 1992, Framing Compliance as Enterprise Risk
Research, Compliance &
Due Diligence Tools
FUND RESOURCES
MSRB Rules & Statutes
No-action Letters
LICENSING/EXAM PREP
Investment Advisers Act Links to Rules, Guidance, Interpretations
1.1 Custody of Funds or Securities by Investment Advisers
1.2 Custody: SEC Staff Provides Responses to Questions (FAQs)
2.1 Records Required and Retention
3.1 Third Party Marketers/Payments To
4.1 Advertisements by Investment Advisers
9.1 Advertisements and Sales Literature
9.2 Honesty in Disclosures Made to Investors in Pooled Investment Vehicles
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10.1 Political Contributions (Limitations, Disclosures, Exemptions)/Pay to Play
12.1 Requirement for Written Compliance Procedures
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13.1 Soft Dollars: SEC Guidance
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14.1 Amending Form ADV: Obligations
15 Division of Investment Management Topical Reference Guide
SEC Links
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15.8 Assignment
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15.11 Closed-End Funds
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15.12 Code of Ethics
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15.13 Commodities
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15.15 Credit Ratings
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15.18 Cybersecurity
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15.19 Derivatives
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15.22 Emergencies
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15.25 Family Offices
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15.27 Form 13F
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15.34 Form N-14
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15.35 Form N-CEN
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15.36 Form N-CSR/N-Q
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15.37 Form N-PORT
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15.38 Form N-PX
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15.39 Form N-SAR
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15.40 Form PF
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15.41 Fund Governance
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15.42 Fund Mergers
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15.43 Fund of Funds
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15.45 Insured Investments
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15.46 International
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15.48 JOBS Act
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15.49 Money Market Funds
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15.51 Pay-to-Play