§ 240.15Ba2-6TTemporary registration as a municipal advisor; required amendments; and withdrawal from temporary registration.
(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 registration is approved or disapproved by the Commission pursuant to a final rule adopted by the Commission establishing another manner of registration of municipal advisors and prescribing a form for such purpose;
(2) The date on which the municipal advisor's temporary registration is rescinded by the Commission; or
(3) On September 30, 2013.
(f) This section will expire on September 30, 2013.
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.
Title 17 published on 2014-04-01
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