§ 240.15Ba2-6T Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary registration.  


Latest version.
  • (a) A municipal advisor (as defined in Section 15B(e)(4) of the Securities Exchange Act of 1934 (the “Act”) (15 U.S.C. 78o-4(e)(4)) shall file with the Commission, pursuant to Section 15B(a) (15 U.S.C. 78o-4(a)) of the Act, the information set forth on Form MA-T (17 CFR 249.1300T) electronically through the Commission's Internet Web site (http://www.sec.gov) to temporarily register or to withdraw from temporary registration.

    (b) A temporary registration must promptly be amended:

    (1) Whenever any information concerning Items 1 or 3 of Form MA-T (17 CFR 249.1300T) have become inaccurate in any way; and

    (2) Whenever a municipal advisor wishes to withdraw from registration.

    (c) Every initial registration and each amendment to a registration or withdrawal from registration filed pursuant to this rule shall constitute a “report” within the meaning of Sections 15B(c) (15 U.S.C. 78o-4(c)), 17(a) (15 U.S.C. 78q(a)), 18(a) (15 U.S.C. 78r(a)) and 32(a) (15 U.S.C. 78ff(a)) and other applicable provisions of the Act.

    (d) Each Form MA-T (17 CFR 249.1300T), including each amendment to a registration or withdrawal from registration, is considered filed with the Commission upon its completion on the Commission web page established for that purpose and the Commission has sent confirmation that the form was filed to the municipal advisor.

    (e) All temporary registrations submitted pursuant to this section will expire on the earlier of:

    (1) The date that the municipal advisor's permanent registration, submitted pursuant to the Act and the rules thereunder, is approved or disapproved by the Commission;

    (2) The date on which the municipal advisor's temporary registration is rescinded by the Commission;

    (3) For a municipal advisor that has not applied for permanent registration with the Commission in accordance with the Act and the rules thereunder, forty-five days after the compliance date of such rules for the municipal advisor; or

    (4) On December 31, 2014.

    (f) This section will expire on December 31, 2014.

    [75 FR 54477, Sept. 8, 2010, as amended at 76 FR 80735, Dec. 27, 2011; 77 FR 59064, Sept. 26, 2012; 78 FR 59816, Sept. 30, 2013]

    Effective Date Note: At 75 FR 54477, Sept. 8, 2010, §240.15Ba2-6T was added, effective Oct. 1, 2010, through Dec. 31, 2011. At 76 FR 80735, Dec. 27, 2011, the effective date was extended through Sept. 30, 2012. At 77 FR 59064, Sept. 26, 2012, the effective date was extended to Sept. 30, 2013. At 78 FR 59816, Sept. 30, 2013, the effective date was further extended to Dec. 31, 2014.

[20 FR 670, Feb. 1, 1955, as amended at 38 FR 26798, Sept. 26, 1973; 42 FR 2970, Jan. 14, 1977. Redesignated at 42 FR 32514, June 27, 1977, further redesignated at 46 FR 63203, Dec. 31, 1981, as amended at 60 FR 12402, Mar. 7, 1995; 71 FR 42007, July 24, 2006