United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2011_register executive 2011-01-06 article Part II Proposed Rules D09002ee1c8007f58 D09002ee1c8007fd1 United States Securities and Exchange Commission originator org United States Government Agency or Subagency Section 975 of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act") amended Section 15B of the Securities Exchange Act of 1934 (as amended, the "Exchange Act") to require municipal advisors, as defined below, to register with the Securities and Exchange Commission ("Commission" or "SEC") effective October 1, 2010. To enable municipal advisors to temporarily satisfy this requirement, the Commission adopted an interim final temporary rule and form, Exchange Act rule 15Ba2-6T and Form MA-T, effective October 1, 2010. Rule 15Ba2-6T will expire on December 31, 2011. The Commission is proposing new rules 15Ba1-1 through 15Ba1-7 and new Forms MA, MA-I, MA-W, and MA-NR under the Exchange Act. These proposed rules and forms are designed to give effect to provisions of Title IX of the Dodd-Frank Act that, among other things, would establish a permanent registration regime with the Commission for municipal advisors and would impose certain record-keeping requirements on such advisors. 76 FR 824 https://www.govinfo.gov/app/details/FR-2011-01-06/2010-32445 2010-32445 fr06ja11-16 RIN 3235-AK86 8011-01-P Release No. 34-63576 File No. S7-45-10 https://www.govinfo.gov/app/details/FR-2011-01-06/2010-32445 https://www.govinfo.gov/content/pkg/FR-2011-01-06/html/2010-32445.htm https://www.govinfo.gov/content/pkg/FR-2011-01-06/pdf/2010-32445.pdf Municipal Advisors Registration Requirements Reporting and Record-Keeping Requirements 146 p. 824 969 76 FR 824 Title 17 Part 240 17 CFR Part 240 Title 17 Part 249 17 CFR Part 249 RIN 3235-AK86 Registration of Municipal Advisors; Federal Register Vol. 76, Issue PRORULE 2010-32445 II SECURITIES AND EXCHANGE COMMISSION 2011-02-22 Release No. 34-63576 File No. S7-45-10 8011-01-P 2010-32445 Proposed rule.

Section 975 of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act") amended Section 15B of the Securities Exchange Act of 1934 (as amended, the "Exchange Act") to require municipal advisors, as defined below, to register with the Securities and Exchange Commission ("Commission" or "SEC") effective October 1, 2010. To enable municipal advisors to temporarily satisfy this requirement, the Commission adopted an interim final temporary rule and form, Exchange Act rule 15Ba2-6T and Form MA-T, effective October 1, 2010. Rule 15Ba2-6T will expire on December 31, 2011. The Commission is proposing new rules 15Ba1-1 through 15Ba1-7 and new Forms MA, MA-I, MA-W, and MA-NR under the Exchange Act. These proposed rules and forms are designed to give effect to provisions of Title IX of the Dodd-Frank Act that, among other things, would establish a permanent registration regime with the Commission for municipal advisors and would impose certain record-keeping requirements on such advisors.

Comments should be received on or before February 22, 2011. Martha Haines, Assistant Director and Chief, Office of Municipal Securities, at (202) 551-5681; Dave Sanchez, Attorney Fellow, Office of Municipal Securities, at (202) 551-5540; Victoria Crane, Assistant Director, Office of Market Supervision, at (202) 551-5744; Ira Brandriss, Special Counsel, Office of Market Supervision, at (202) 551-5651; Jennifer Dodd, Special Counsel, Office of Market Supervision, at (202) 551-5653; Steve Kuan, Special Counsel, Office of Market Supervision, at (202) 551-5624; Daniel Gien, Attorney- Adviser, Office of Market Supervision, at (202) 551-5747; Yue Ding, Law Clerk, Office of Market Supervision, at (202) 551-5842; or any of the above at Division of Trading and Markets, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-6628. Municipal Advisors Registration Requirements Reporting and Record-Keeping Requirements Registration of Municipal Advisors , rule-comments@sec.gov http://banking.senate.gov/public/index.cfm?FuseAction=Files.View&FileStore_id=2474c4c6-d0ed-4a44-a9c8-6376484a4cde http://www.bloomberg.com/news/2010-11-10/wall-street-collects-4-billion-from-taxpayers-as-swaps-backfire.html http://www.census.gov/govs/retire http://www.csg.org/knowledgecenter/docs/sgn0307ReformingCorporate.pdf http://www.finra.org/Newsroom/Statistics http://www.finra.org/web/groups/industry/@ip/@comp/@regis/documents/appsupportdocs/p015112.pdf http://www.google.com/url?q=http://www.sifma.org/uploadedFiles/Research/Statistics/StatisticsFiles/CM-US-Bond-Market-Trading-Volume-SIFMA.xls&sa=U&ei=5EHsTLvBFoT58AbPqdGjAQ&ved=0CBYQFjAA&usg=AFQjCNHv-FKIpdi_QB8m7jgvg2ssJJ1ikg http://www.ici.org/research/stats/529s/529s_12-08 http://www.msrb.org/msrb1/glossary/glossary_db.asp?sel=f http://www.msrb.org/News-and-Events/Press-Releases/Press-Releases/∼/media/Files/Special-Publications/MSRBReportonUnregulatedMarketParticipants_April09.ashx http://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/Definitional/Rule-D-12.aspx?tab=2 http://www.naipfa.com http://www.reginfo.gov/public/do/PRAMain http://www.regulations.gov http://www.sec.gov/comments/df-title-ix/municipal-securities-municipal-advisors/municipal-securities-municipal-advisors.shtml http://www.sec.gov/comments/s7-18-09/s71809-36.pdf http://www.sec.gov/comments/s7-19-10/s71910.shtml http://www.sec.gov/interps/legal/slbim11.htm http://www.sec.gov/rules/proposed http://www.sec.gov/rules/proposed.shtml http://www.uscharterschools.org/gb/dev_fin/financing.htm http://www.uscharterschools.org/pub/uscs_docs/o/faq.html Vol. 76, no. 4 Office of the Federal Register, National Archives and Records Administration 2011-01-06 continuing daily deposited born digital 369 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2011-01-06 P0b002ee180ba5bdf 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr06ja11 https://www.govinfo.gov/app/details/FR-2011-01-06 https://www.govinfo.gov/content/pkg/FR-2011-01-06/pdf/FR-2011-01-06.pdf https://www.govinfo.gov/content/pkg/FR-2011-01-06/xml/FR-2011-01-06.xml fdlp 697 1058 DGPO 2011-01-06 2024-06-04 FR-2011-01-06 machine generated eng FR FR-2011-01-06 76 4