Temporary Registration of Municipal Advisors
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This Document Has Been Retired.

Temporary Registration of Municipal Advisors

Filetype[PDF-22.23 KB]


  • Publisher's site:
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  • Description:
    Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Act), Pub. L. 111-203, amended Section 15B(a) of the Securities Exchange Act of 1934 to make it unlawful for "municipal advisors," as defined in the Act, to provide certain advice to or solicit municipal entities or certain other persons without registering with the U.S. Securities and Exchange Commission (SEC). On September 8, 2010, the SEC issued an interim final temporary rule, 17 C.F.R. § 240.15Ba2-6T, requiring all municipal advisors to register with the SEC by October 1, 2010. Municipal advisors must register by submitting Form MA-T through the SEC's Web site, http://www.sec.gov. To submit Form MA-T, municipal advisors will need to establish an account and obtain access credentials to the SEC's Web site. Institutions should review their dealings with municipal entities to determine if such dealings will require registration as a municipal advisor.
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  • Withdrawn Date:
    Not Available.
  • Agencies Involved:
    Federal Deposit Insurance Corporation (FDIC);U.S. Securities and Exchange Commission (SEC);
  • Fdic Employee Involved:
    Anthony J. DiMilo
  • Law Involved:
    Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act);Securities Exchange Act of 1934;
  • Related Regulation:
    17 CFR Part 240.15Ba2-6T
  • Comment Period End Date:
  • Source:
    FDIC Website
  • Memorandum To:
    FDIC-Supervised Banks (Commercial and Savings)
  • Effective Date:
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