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

§ 240.15Ba2-6T Temporary 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. 78 o-4(e)(4)) shall file with the Commission, pursuant to Section 15B(a) (15 U.S.C. 78 o-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. 78 o-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(2) The date on which the municipal advisor's temporary registration is rescinded by the Commission;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.
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United States Code
U.S. Code: Title 7 - AGRICULTURE
U.S. Code: Title 12 - BANKS AND BANKING
U.S. Code: Title 15 - COMMERCE AND TRADE

§ 27dd

§ 77c - Classes of securities under this subchapter

§ 77d - Exempted transactions

§ 77g - Information required in registration statement

§ 77j - Information required in prospectus

§ 77s - Special powers of Commission

§ 77z-2

§ 77z-3

§ 77eee - Securities required to be registered under Securities Act

§ 77ggg - Qualification of indentures covering securities not required to be registered

§ 77nnn - Reports by obligor; evidence of compliance with indenture provisions

§ 77sss - Rules, regulations, and orders

§ 77ttt - Hearings by Commission

§ 78c - Definitions and application

§ 78c-3

§ 78c-5

§ 78d - Securities and Exchange Commission

§ 78e - Transactions on unregistered exchanges

§ 78f - National securities exchanges

§ 78g - Margin requirements

§ 78i - Manipulation of security prices

§ 78j - Manipulative and deceptive devices

§ 78j-1

§ 78k - Trading by members of exchanges, brokers, and dealers

§ 78k-1

§ 78l - Registration requirements for securities

§ 78m - Periodical and other reports

§ 78n - Proxies

§ 78o - Registration and regulation of brokers and dealers

§ 78o-4

§ 78o-10

§ 78p - Directors, officers, and principal stockholders

§ 78q - Records and reports

§ 78q-1

§ 78s - Registration, responsibilities, and oversight of self-regulatory organizations

§ 78u-5

§ 78w - Rules, regulations, and orders; annual reports

§ 78x - Public availability of information

§ 78ll - Requirements for the EDGAR system

§ 78mm - General exemptive authority

§ 80a-20

§ 80a-23

§ 80a-29

§ 80a-37

§ 80b-3

§ 80b-4

§ 80b-11

§ 7201 - Definitions

§ 7202 - Commission rules and enforcement

§ 8302 - Review of regulatory authority

Statutes at Large

Title 17 published on 2015-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 240 after this date.

  • 2015-09-14; vol. 80 # 177 - Monday, September 14, 2015
    1. 80 FR 55182 - Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
      GPO FDSys XML | Text
      Proposed rule.
      Submit comments on or before October 29, 2015.
      17 CFR Part 240