Subpart N — Forms for Registration of Municipal Advisors and for Providing Information regarding Certain Natural Persons
249.1300 — Form MA, for registration as a municipal advisor, and for amendments to registration.
Effective January 13, 2014, 17
CFR 240.15Ba1–1 through 15Ba1–8 and
240.15Bc4–1 and 17 CFR 249.1300,
249.1310, 249.1320, and 249.1330 are
stayed until July 1, 2014 [79 FR 2777, Jan. 16, 2014].
The form shall be used for registration as a municipal advisor pursuant to section 15B of the
Securities Exchange Act of 1934 (15 U.S.C. 78o-4) and for amendments to registrations.
[78 FR 67467, Nov. 12, 2013]
249.1300T — Form MA-T — For temporary registration as a municipal advisor, and for amendments to, and withdrawals from, temporary registration.
The form shall be used for temporary registration as a municipal advisor, and for amendments to, and withdrawals from, temporary registration pursuant to Section 15B of the Exchange Act, (15 U.S.C. 78o-4).
Effective January 1, 2015, § 249.1300T is removed.
[77 FR 42176, July 18, 2012, as amended at 78 FR 67467, Nov. 12, 2013]
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Editorial Note:
For Federal Register citations affecting Form MA-T, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
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249.1310 — Form MA-I, for providing information regarding natural person municipal advisors, and for amendments to such information.
Effective January 13, 2014, 17
CFR 240.15Ba1–1 through 15Ba1–8 and
240.15Bc4–1 and 17 CFR 249.1300,
249.1310, 249.1320, and 249.1330 are
stayed until July 1, 2014 [79 FR 2777, Jan. 16, 2014].
The form shall be used for providing information regarding natural person municipal
advisors, and for amendments to such information.
[78 FR 67467, Nov. 12, 2013]
249.1320 — Form MA-W, for withdrawal from registration as a municipal advisor.
Effective January 13, 2014, 17
CFR 240.15Ba1–1 through 15Ba1–8 and
240.15Bc4–1 and 17 CFR 249.1300,
249.1310, 249.1320, and 249.1330 are
stayed until July 1, 2014 [79 FR 2777, Jan. 16, 2014].
The form shall be used for filing a notice of withdrawal from registration as a municipal
advisor pursuant to section 15B of the Securities Exchange Act of 1934 (15 U.S.C. 78o-4).
[78 FR 67467, Nov. 12, 2013]
249.1330 — Form MA-NR, for appointment of agent for service of process by non-resident municipal advisor, non-resident general partner or managing agent of a municipal advisor, and non-resident natural person associated with a municipal advisor.
Effective January 13, 2014, 17
CFR 240.15Ba1–1 through 15Ba1–8 and
240.15Bc4–1 and 17 CFR 249.1300,
249.1310, 249.1320, and 249.1330 are
stayed until July 1, 2014 [79 FR 2777, Jan. 16, 2014].
The form shall be used to furnish information pertaining to the appointment of agent for
service of process by a non-resident municipal advisor and by registered municipal advisors to
furnish the same for each of its non-resident general partner or managing agent, or non-resident
natural person associated with a municipal advisor pursuant to section 15B of the Securities
Exchange Act of 1934 (15 U.S.C. 78o-4).
[78 FR 67467, Nov. 12, 2013]