§ 240.15Ba1-5 Amendments to Form MA and Form MA-I.
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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 › § 240.15Ba1-5: § 240.15Ba1-5 Amendments to Form MA and Form MA-I.
Text
(a)
When amendment is required—Form MA.
A registered municipal advisor shall promptly amend the information contained in its Form MA (17 CFR 249.1300):
(1) At least annually, within 90 days of the end of a municipal advisor's fiscal year, or of the end of the calendar year for a sole proprietor; and
(2) More frequently, if required by the General Instructions (17 CFR 249.1300), as applicable.
(b)
When amendment is required—Form MA-I.
A registered municipal advisor shall promptly amend the information contained in Form MA-I (17 CFR 249.1310) by filing an amended Form MA-I whenever the information contained in the Form MA-I becomes inaccurate for any reason.
(c)
Electronic filing of amendments.
A registered municipal advisor shall file all amendments to Form MA (17 CFR 249.1300) and Form MA-I (17 CFR 249.1310) electronically.
(d)
Amendments to Form MA and Form MA-I are reports.
Each amendment 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]
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