- Adding to the Library
- Documents arising from listserve requests should be forwarded to firstname.lastname@example.org for posting to contribute on current topics.
Sample Broker-Dealer Questionnaires
Most investment policies require that an agency conduct due diligence to ensure that the professionals they enter into investing transactions with are properly licensed and have the experience, knowledge and proper regulatory oversight. The Broker Dealer Questionnaire functions as the tool to ask the right questions and get the right answers to be further evaluated by the local agency.
CMTA’s Library of sample documents is intended to provide samples for use both as templates and guidelines using what is already in place at other local governments. Samples provided are intended to be blocks of text that can be used as-is or adjusted as needed to suit local situations as a efficient and effective process for all agencies.