Rules 15Ba1-1 to 15Ba1-8 - Registration of Municipal Advisors and Forms MA, MA-I, MA-W, and MA-NR

ICR 202006-3235-004

OMB: 3235-0681

Federal Form Document

ICR Details
3235-0681 202006-3235-004
Active 201606-3235-014
SEC TM-270-638
Rules 15Ba1-1 to 15Ba1-8 - Registration of Municipal Advisors and Forms MA, MA-I, MA-W, and MA-NR
Extension without change of a currently approved collection   No
Regular
Approved with change 09/14/2020
Retrieve Notice of Action (NOA) 06/09/2020
Numbers of responses and burdens clarified during review.
  Inventory as of this Action Requested Previously Approved
09/30/2023 36 Months From Approved 09/30/2020
4,219 0 5,270
123,087 0 165,481
17,600 0 31,200

Rules 15Ba1-1 through 15Ba1-8, Rule 15Bc4-1, and Forms MA, MA-I, MA-W, and MA-NR under the Securities Exchange Act of 1934. These rules and forms are designed to establish a permanent registration regime with the Commission for municipal advisors and would impose certain record-keeping requirements on those advisors.

US Code: 15 USC 78o-4 Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  85 FR 14272 03/11/2020
85 FR 35348 06/09/2020
No

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 4,219 5,270 0 0 -1,051 0
Annual Time Burden (Hours) 123,087 165,481 0 0 -42,394 0
Annual Cost Burden (Dollars) 17,600 31,200 0 0 -13,600 0
No
No
Adjustments are based on recent three year averages of collection activities.

$0
No
    Yes
    Yes
No
Yes
No
No
Mark Stewart 202 551-4410 [email protected]

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
06/09/2020


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