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| 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 | |
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| Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: None |
| Small Entities Affected: Businesses | Federalism: No |
| Included in the Regulatory Plan: No | |
| RIN Information URL: www.sec.gov/rules/proposed/2010/34-63576.pdf | |
| RIN Data Printed in the FR: No | |
| Related RINs: Related to 3235-AK69 | |
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Agency Contact: Jennifer Dodd Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5653 Email: doddj@sec.gov |
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