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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 
Timetable:
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: www.sec.gov/rules/proposed/2010/34-63576.pdf  
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
Email: doddj@sec.gov

 
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