OMB control number

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

OMB 3235-0681 · SEC.

OMB 3235-0681

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.

The latest form for Rules 15Ba1-1 to 15Ba1-8 - Registration of Municipal Advisors and Forms MA, MA-I, MA-W, and MA-NR expires 2026-10-31 and is listed under ICR 202307-3235-012.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
Document	Type
Form SEC 2900 Form MA-NR: Designation of U.S. Agent for Service of Process for Non-Residents	Form
Form SEC 2901 Form MA-W: Notice of Withdrawal from Registration as a Municipal Advisor	Form
Form SEC 2899 Form MA-I: Information Regarding Natural Persons Who Engage in Municipal Advisory Activities	Form
Form SEC 2898 Form MA: Application for Municipal Advisor Registration	Form
PRA Supporting Statement 2023 08012023.docx	Supporting Statement A
3235-0681.pdf	Supplementary Document
3235-0681.pdf	Supplementary Document
March 22, 2023 EDGAR PIA.pdf	Supplementary Document
Form MA: Application for Municipal Advisor Registration - Costs	Information collection
Rule 15Ba1-1(m)(3): Exception to Definition of Proceeds of Municipal Securities	Information collection
Rule 15Ba1-1(h)(2): Exception to Definition of Municipal Escrow Investments	Information collection
Rule 15Ba1-1(d)(3)(vi): Exemption When a Municipal Entity or Obligated Person Is Represented by an Independent Registered Municipal Advisor	Information collection
Consent to Service of Process from Certain Associated Persons	Information collection
Rule 15Ba1-8: Books and Records to Be Made and Maintained by Municipal Advisors	Information collection
Form MA-NR: Designation of U.S. Agent for Service of Process for Non-Residents	Form
Form MA-W: Notice of Withdrawal from Registration as a Municipal Advisor	Form
Form MA-I: Information Regarding Natural Persons Who Engage in Municipal Advisory Activities	Form
Form MA: Application for Municipal Advisor Registration	Form

All Historical Document Collections

Historical document collections
Reference	Filing	Received	Action
202307-3235-012	Extension without change of a currently approved collection	2023-08-01	Approved without change
202006-3235-004	Extension without change of a currently approved collection	2020-06-09	Approved with change
201606-3235-014	Extension without change of a currently approved collection	2017-02-22	Approved without change
201402-3235-004	New collection (Request for a new OMB Control Number)	2014-02-05	Approved with change
201103-3235-015	New collection (Request for a new OMB Control Number)	2011-03-16	Comment filed on proposed rule

OMB Details

Form MA: Application for Municipal Advisor Registration

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Information collection instruments
Form	Name	Electronic access	Type
Form		www.sec.gov/about/forms/formmadata.pdf	Instruction
Form SEC 2898	Form MA	www.sec.gov/about/forms/formma.pdf	Form

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.