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SEC RIN: 3235-AK69 Publication ID: Spring 2013 
Title: Transitional Registration as a Municipal Advisor 
Abstract: The Commission adopted an interim final temporary rule to establish a means for municipal advisors to satisfy temporarily the requirement that they register with the Commission 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

 
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