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SEC | RIN: 3235-AK69 | Publication ID: Fall 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 December 31, 2014. | |
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Completed Actions |
Major: No | Unfunded Mandates: No |
CFR Citation: 17 CFR 240.15Ba2-6T | |
Legal Authority: PL 111-203, sec 975 |
Legal Deadline:
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Timetable:
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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: http://www.sec.gov/rules/interim/2013/34-70468.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 |