# 17 C.F.R. § 240.15Ba1-2 (2026): Registration of municipal advisors and information regarding certain natural persons > Federal · Regulations · In force URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_15Ba1_2 ## Section - **Citation:** 17 C.F.R. § 240.15Ba1-2 (2026) - **Heading:** Registration of municipal advisors and information regarding certain natural persons - **Jurisdiction:** Federal - **Kind:** Regulations - **Status:** In force - **Text as of:** August 14, 2026 - **Source:** Compiled text - **Location:** Title 17 CFR: Commodity and Securities Exchanges / Chapter II: SECURITIES AND EXCHANGE COMMISSION / Part 240: GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 / Subpart A: Rules and Regulations Under the Securities Exchange Act of 1934 / § 240.15Ba1-2: § 240.15Ba1-2 Registration of municipal advisors and information regarding certain natural persons. ## Text (a) Form MA. A person applying for registration with the Commission as a municipal advisor pursuant to section 15B of the Act (15 U.S.C. 78 o -4) must complete Form MA (17 CFR 249.1300) in accordance with the instructions in the Form and file the Form electronically with the Commission. (b) Form MA-I. (1) A person applying for registration or registered with the Commission as a municipal advisor pursuant to section 15B of the Act (15 U.S.C. 78 o -4) must complete Form MA-I (17 CFR 249.1310) with respect to each natural person who is a person associated with the municipal advisor (as defined in section 15B(e)(7) of the Act (15 U.S.C. 78 o -4(e)(7))) and engaged in municipal advisory activities on its behalf in accordance with the instructions in the Form and file the Form electronically with the Commission. (2) A natural person applying for registration with the Commission as a municipal advisor pursuant to section 15B of the Act (15 U.S.C. 78 o -4), in addition to completing and filing Form MA pursuant to paragraph (a) of this section, must complete Form MA-I (17 CFR 249.1310) in accordance with the instructions in the Form and file the Form electronically with the Commission. (c) When filed. Each Form MA (17 CFR 249.1300) shall be considered filed with the Commission upon submission of a completed Form MA, together with all additional required documents, including all required filings of Form MA-I (17 CFR 249.1310), to the Commission's Electronic Data Gathering, Analysis, and Retrieval system. (d) Form MA and Form MA-I are reports. Each Form MA (17 CFR 249.1300) and Form MA-I (17 CFR 249.1310) required to be filed under this section shall constitute a report within the meaning of sections 15B(c), 17(a), 18(a), 32(a) of the Act (15 U.S.C. 78 o -4(c), 78q(a), 78r(a), 78ff(a)) and other applicable provisions of the Act. [78 FR 67633, Nov. 12, 2013] ## Nearby sections - [17 C.F.R. § 240.0-1 (2026) § 240.0-1 Definitions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_1.md) - [17 C.F.R. § 240.0-2 (2026) § 240.0-2 Business hours of the Commission.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_2.md) - [17 C.F.R. § 240.0-4 (2026) § 240.0-4 Nondisclosure of information obtained in examinations and investigations.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_4.md) - [17 C.F.R. § 240.0-5 (2026) § 240.0-5 Reference to rule by obsolete designation.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_5.md) - [17 C.F.R. § 240.0-6 (2026) § 240.0-6 Disclosure detrimental to the national defense or foreign policy.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_6.md) - [17 C.F.R. § 240.0-8 (2026) § 240.0-8 Application of rules to registered broker-dealers.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_8.md) - [17 C.F.R. § 240.0-10 (2026) § 240.0-10 Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_10.md) - [17 C.F.R. § 240.0-12 (2026) § 240.0-12 Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_12.md) - [17 C.F.R. § 240.0-13 (2026) § 240.0-13 Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_13.md) - [17 C.F.R. § 240.3a1-1 (2026) § 240.3a1-1 Exemption from the definition of “Exchange” under Section 3(a)(1) of the Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a1_1.md) - [17 C.F.R. § 240.3a4-1 (2026) § 240.3a4-1 Associated persons of an issuer deemed not to be brokers.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a4_1.md) - [17 C.F.R. § 240.3a5-2 (2026) § 240.3a5-2 Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a5_2.md) - [17 C.F.R. § 240.3a5-3 (2026) § 240.3a5-3 Exemption from the definition of “dealer” for banks engaging in securities lending transactions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a5_3.md) - [17 C.F.R. § 240.3a11-1 (2026) § 240.3a11-1 Definition of the term “equity security.”](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a11_1.md) --- Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_15Ba1_2. 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