Form MA-I/A Filings

What Is SEC Form MA-I/A?

SEC Form MA-I/A is an important filing required under Section 15B of the Securities Exchange Act of 1934. It is used by municipal advisory firms and, where applicable, sole proprietors to amend previously filed Form MA-I information relating to natural persons who engage in municipal advisory activities on behalf of a firm.

This form is typically filed when information previously reported on Form MA-I becomes inaccurate, when identifying or employment-related details change, or when an individual is no longer an associated person of the municipal advisory firm or no longer engages in municipal advisory activities on its behalf. Once Form MA-I/A is submitted, it updates the SEC’s records for that individual within the municipal advisor registration framework.

Form MA-I/A ensures transparency by keeping current the information reported to the SEC about associated natural persons engaged in municipal advisory activities. Depending on the circumstances, the amendment may also require an attached Form MA-NR for certain non-resident individuals. Companies and compliance teams reviewing related filing categories often compare municipal advisor amendments alongside broader SEC filings by form type.

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

1. Name of the individual and CRD number, if any.
2. Name of the municipal advisory firm or firms where the individual is employed.
3. Information about the individual’s employment, office location, and independent contractor status.
4. Other names used by the individual and residential history.
5. Disclosure information and supporting documentation, where required.
6. Indication that the individual is no longer associated with the firm or no longer engages in municipal advisory activities on its behalf, if applicable.

SEC Form MA-I/A Filing Deadlines

SEC Form MA-I/A does not have a fixed annual filing deadline for amendments. These filings are generally event-driven and must be submitted when previously reported information becomes inaccurate or when a reportable change occurs.

Key Things to Know About Form MA-I/A Filing Rules

• Amendments Must Be Filed Promptly: Form MA-I/A is used whenever information previously provided on Form MA-I becomes inaccurate.
• Used for Status Changes: The form may be used to indicate that an individual is no longer an associated person of the municipal advisory firm or no longer engages in municipal advisory activities on its behalf.
• Non-Resident Individuals May Require Form MA-NR: If the individual is a non-resident of the United States, Form MA-NR may need to be attached to the filing, depending on the circumstances.
• Disclosure Pages May Require Supporting Documents: If reportable disclosures are included, supporting documentation must be attached to the filing.
• Filed as Part of Municipal Advisor Registration Compliance: Form MA-I/A is part of the SEC’s municipal advisor registration regime and works alongside Form MA, Form MA-NR, and other related submissions.

To track this form our platform provides tools to search and monitor EDGAR submission activity, including programmatic access through the SEC Filings API. For a step-by-step walkthrough, see the process of accessing SEC filings via EDGAR