View Rule

View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML
SEC RIN: 3235-AK69 Publication ID: 2012 
Title: Transitional Registration as a Municipal Advisor 
Abstract: The Commission adopted an interim final temporary rule to require all municipal advisors to register with it by October 1, 2010, consistent with the Dodd-Frank Act. The rule has been amended and is effective through September 30, 2013. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.15Ba2-6T   
Legal Authority: PL 111-203, sec 975   
Legal Deadline:
Action Source Description Date
Other  Statutory  Statutory requirement for registration of municipal advisors.  10/01/2010 
Timetable:
Action Date FR Cite
Interim Final Rule  09/08/2010  75 FR 54465   
Interim Final Rule Effective  10/01/2010    
Interim Final Rule Comment Period End  10/08/2010    
Interim Final Rule Extended  12/27/2011  76 FR 80733   
Interim Final Rule Effective Through  12/31/2011    
Interim Final Rule Extended  09/26/2012  77 FR 62185   
Interim Final Rule Effective Through  09/00/2013 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Local, State, Tribal 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.rules/interim/2012/34-67901.pdf  
RIN Data Printed in the FR: Yes 
Related RINs: Related to 3235-AK86 
Agency Contact:
Ira Brandriss
Office of Municipal Securities
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5681
Email: brandrissi@sec.gov