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

SEC RIN: 3235-AK86 Publication ID: Spring 2013 
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 September 30, 2013..   12/21/2011 
Action Date FR Cite
NPRM  01/06/2011  76 FR 824   
NPRM Comment Period End  02/22/2011    
Final Action  07/00/2013 
Regulatory Flexibility Analysis Required: Yes  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: Yes 
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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