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

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 2023-09-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
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
Rule 15Ba1-1(m)(3): Exception to Definition of Proceeds of Municipal Securities
Rule 15Ba1-1(h)(2): Exception to Definition of Municipal Escrow Investments
Rule 15Ba1-1(d)(3)(vi): Exemption When a Municipal Entity or Obligated Person Is Represented by an Independent Registered Municipal Advisor
Consent to Service of Process from Certain Associated Persons
Rule 15Ba1-8: Books and Records to Be Made and Maintained by Municipal Advisors
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All Historical Document Collections

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

OMB Details

Form MA: Application for Municipal Advisor Registration

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form SEC 2898	Form MA	www.sec.gov/about/forms/formma.pdf	Form
Form		www.sec.gov/about/forms/formmadata.pdf	Instruction

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