Rules 15Ba1-1 to 15Ba1-7 - Registration of Municipal Advisors

Forms and Documents

Document Name	Status
Form Form MA-W Form MA-W: Notice of Withdrawal from Registration as a Municipal Advisor Form	New
Form Form MA Rule 15Ba1-4: Amendments to Application for Registration and Self-Certification Form	New
Form Form MA-I Form MA-I: Application for Municipal Advisor Registration for Natural Persons Form	New
Form Form MA Form MA: Application for Municipal Advisor Registration Form	New
Rules 15Ba1-1 to 15Ba1-7 PRA - Supporting Statement 2-15-11.doc Supporting Statement A	2011-03-15

IC Document Collections

IC ID	Document Title	Status
196939	Rule 15Ba1-7: Books and Records to be Maintained by Municipal Advisors	New
196938	Form MA-NR: Designation of U.S. Agent for Service of Process Instruction	New
196937	Form MA-W: Notice of Withdrawal from Registration as a Municipal Advisor Form	New
196936	Rule 15Ba1-4: Amendments to Application for Registration and Self-Certification Form	New
196935	Form MA-I: Application for Municipal Advisor Registration for Natural Persons Form	New
196934	Form MA: Application for Municipal Advisor Registration Form	New

ICR Details

OMB Control No: 3235-0681	ICR Reference No: 201103-3235-015
Status: Historical Inactive	Previous ICR Reference No:
Agency/Subagency: SEC	Agency Tracking No: TM-270-638
Title: Rules 15Ba1-1 to 15Ba1-7 - Registration of Municipal Advisors
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule	Conclusion Date: 05/26/2011
	Date Received in OIRA: 03/16/2011
Terms of Clearance: Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). In accordance with 5 CFR 1320, OMB is withholding approval at this time. The agency shall examine public comment in response to the NPRM and will include in the supporting statement of the next ICR--to be submitted to OMB at the final rule stage--a description of how the agency has responded to any public comments on the ICR, including comments on maximizing the practical utility of the collection and minimizing the burden.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date		36 Months From Approved
Responses	0	0	0
Time Burden (Hours)	0	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: The Commission proposed 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.

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Authorizing Statute(s): US Code: 15 USC 78o-4 Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 975 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AK86	Proposed rulemaking	76 FR 824	01/06/2011

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 6

IC Title	Form No.	Form Name
Form MA-I: Application for Municipal Advisor Registration for Natural Persons	Form MA-I	Form MA-I
Form MA-W: Notice of Withdrawal from Registration as a Municipal Advisor	Form MA-W	Form MA-W
Form MA-NR: Designation of U.S. Agent for Service of Process	Form MA-NR	Form MA-NR
Rule 15Ba1-7: Books and Records to be Maintained by Municipal Advisors
Form MA: Application for Municipal Advisor Registration	Form MA Execution Page, Form MA	Form MA ,   Form MA Execution Page
Rule 15Ba1-4: Amendments to Application for Registration and Self-Certification	Form MA Execution Page, Form MA, Form MA-I	Form MA ,   Form MA-I ,   Form MA Execution Page

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Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The Commission proposed 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.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Yes

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 03/16/2011

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