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Form MA Filings

SEC Form MA is a formal filing used by municipal advisory firms, including sole proprietors, to apply for registration with the SEC as municipal advisors and to update or amend that registration.

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ID Form Filer Name Filing Agent Date Actions
23102270MAAmphora Group Llc Self 08/11/2026
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What Is SEC Form MA?

SEC Form MA is an important filing required under Section 15B of the Securities Exchange Act of 1934. It is used by municipal advisory firms, including sole proprietors, to apply for registration with the Securities and Exchange Commission (SEC) as municipal advisors.

This form is typically filed before a firm engages in municipal advisory activities and is also used for annual updates and amendments to previously filed registration information. Firms reviewing broader regulatory activity often track related filings through an SEC issuer list and other form-specific data available through EDGAR-based tools.

Form MA ensures transparency by formally identifying registered municipal advisors, their business activities, control persons, and disclosure history. Key elements typically found in SEC Form MA include:

  • Name and identifying information of the applicant
  • Form of organization and prior registrations
  • Information about the applicant’s municipal advisory business
  • Ownership, officers, and other control persons
  • Disclosure information, including disciplinary history
  • Additional non-resident documentation, if applicable

SEC Form MA Filing Deadlines

SEC Form MA includes both initial and ongoing filing requirements that municipal advisory firms must follow to remain compliant with SEC registration rules. These timing requirements are important because the form is used not only for initial registration, but also for annual updates and amendments when reportable changes occur.

Filing Stage Timeline Details
Initial Registration Before engaging in municipal advisory activities Filed electronically with the SEC
Annual Update Within 90 calendar days after fiscal year end Required each year to renew registration information
Form MA Amendment Promptly after a material event Filed when information in the form becomes inaccurate as specified by SEC instructions
Non-Resident Amendment Promptly after relevant legal or regulatory changes Updated opinion of counsel may be required

Key Things to Know About Form MA Filing Rules

  • Registration Applies to Firms: Form MA is filed by municipal advisory firms, including sole proprietors, rather than by most individual associated persons separately.
  • Form MA-I Is Also Required: A municipal advisory firm must also file Form MA-I for each natural person associated with the firm who engages in municipal advisory activities on the firm’s behalf.
  • Annual Updates Are Mandatory: Every municipal advisory firm must renew Form MA each year by filing an annual update within 90 days after the end of its fiscal year.
  • Material Changes Must Be Amended Promptly: If a material event changes information previously provided in Form MA, the municipal advisor must promptly amend the filing.
  • Non-Resident Filers Have Additional Requirements: Non-resident municipal advisory firms may need to file Form MA-NR and provide an opinion of counsel or other supporting documents.

Filings such as Form MA disclose registration information for municipal advisors and related entities. Related regulatory activity can be monitored through the Most Recent SEC Filings section of Filing Insights. Many issuers rely on SEC filing agents to assist with the preparation and submission of filings through EDGAR.

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