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View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML

SEC RIN: 3235-AK86 Publication ID: 2012 
Title: Registration of Municipal Advisers 
Abstract: The Commission proposed new Rules 15Ba1-1 through 15Ba1-7 and new Forms MA, MA-I, MA-W, and MA-NR under the Exchange Act. The proposed rules and forms are designed to give effect to provisions of title IX of the Dodd-Frank Act that, among other things, would establish a permanent registration regime with the Commission for municipal advisors and would impose certain recordkeeping requirements on such advisors. 
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 240.15Ba1-1 through 18 CFR 15Ba1-7    17 CFR 249.1300    17 CFR 240.1310    17 CFR 249.1320    17 CFR 249.1330   
Legal Authority: 15 USC 78o-4    15 USC 78q    15 USC 78mm   
Legal Deadline:
Action Source Description Date
Final  Statutory  Title IX of the Dodd-Frank Act required registration of municipal advisors by October 1, 2010. The Commission's interim temporary rule and form will expire on December 31, 2011.   12/21/2011 
Action Date FR Cite
NPRM  01/06/2011  76 FR 824   
NPRM Comment Period End  02/22/2011    
Final Action  12/00/2012 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AK69 
Agency Contact:
Jennifer Dodd
Office of Municipal Securities
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5653

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