Form MA-A Filings

What Is SEC Form MA-A?

SEC Form MA-A is an important filing required under Section 15B(a)(2) of the Securities Exchange Act of 1934 and SEC Rule 15Ba1-5. It is used by registered municipal advisors to file the annual update of their municipal advisor registration with the SEC.

This form is typically filed each year within 90 days after the end of a municipal advisor’s fiscal year, or, for a sole proprietor, within 90 days after the end of the calendar year. Once Form MA-A is submitted, it updates the municipal advisor’s most recent Form MA filing and helps maintain the firm’s registration status with the SEC.

Form MA-A ensures transparency by requiring municipal advisors to renew and update their registration information on a recurring basis. While it is used for annual updates, material changes that occur between annual filings may require a separate amendment on Form MA/A. Some related registration obligations may also continue for associated persons and non-resident filings.

Key elements typically found in SEC Form MA-A include:

• Name of the municipal advisor and registration identifiers
• Fiscal year or calendar year covered by the annual update
• Updated identifying and business information, if applicable
• Information about municipal advisory activities and associated persons
• Ownership, officers, control persons, and disclosure information, if changed
• Updated execution page and any required supporting documentation

SEC Form MA-A Filing Deadlines

SEC Form MA-A has specific timing requirements that registered municipal advisors must follow each year after the close of the applicable reporting period. These deadlines are crucial to ensure regulatory compliance and keep municipal advisor registration information current.

Key Things to Know About Form MA-A Filing Rules

• Annual Update Required: A registered municipal advisor must file Form MA-A each year to renew and update its registration information.
• 90-Day Filing Window Applies: The annual update must be filed within 90 days after the end of the municipal advisor’s fiscal year, or calendar year for a sole proprietor.
• Form MA-A Is Different From Form MA/A:
  Form MA-A is used for the annual update, while Form MA/A is used to amend a prior application when a material event changes previously reported information.
• Only Changed Information Generally Needs Updating:
  When a firm accesses its Form MA after the initial filing, the most recent prior information appears, and only changed information generally needs to be amended rather than completing the entire form again.
• Failure to Update Can Have Consequences:
  Failure to amend or update Form MA as required is a violation of SEC Rule 15ba1-5 and could lead to revocation of registration.

Our SEC filing search tools track municipal advisor filings including Form MA, Form MA‑A, Form MA‑I, and Form MA‑W, covering registration, annual updates, individual disclosures, and withdrawals under SEC rules.”