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Form MA-W Filings

SEC Form MA-W is a formal filing used by registered municipal advisors to withdraw their registration with the Securities and Exchange Commission (SEC). It begins the regulatory process for ending a municipal advisor’s SEC registration status.

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ID Form Filer Name Filing Agent Date Actions
23119203MA-WP3 Municipal Advisors Llc Self 09/10/2026
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23077037MA-WTrailmark Inc. Self 08/19/2026
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23102566MA-WDixworks Llc Self 07/31/2026
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23082518MA-WLamont Financial Services Corp Self 07/29/2026
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What Is SEC Form MA-W?

SEC Form MA-W is an important filing required under Section 15B of the Securities Exchange Act of 1934 and Exchange Act Rule 15Ba1-4. It is used by municipal advisors to officially notify the Securities and Exchange Commission (SEC) that they are withdrawing their registration as municipal advisors.

This form is typically filed when a municipal advisor ceases doing business as a municipal advisor, is no longer required to be registered, or withdraws a predecessor registration after a succession event.

Form MA-W ensures transparency by formally notifying regulators that a registered municipal advisor is seeking to end its registration. It also requires disclosures about money owed to clients, assigned advisory contracts, judgments or liens, books and records custody, and financial condition in certain cases.

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

  • Name of the registrant and SEC file number
  • Contact person information for municipal advisory firms
  • Disclosure of certain money owed to clients, including prepaid fees or borrowed funds
  • Information about assigned municipal advisory contracts, if applicable
  • Disclosure of unsatisfied judgments or liens, books and records custody, and financial condition in certain cases

SEC Form MA-W Filing Deadlines

SEC Form MA-W is an event-driven filing that applies when a registered municipal advisor seeks to withdraw its registration. These timing rules are important to ensure regulatory compliance and proper processing of the withdrawal request.

Filing Stage Timeline Details
Withdrawal Decision As needed Form MA-W is filed when a registered municipal advisor is withdrawing its SEC registration.
Form MA-W Filing As needed Filed electronically with the SEC on Form MA-W.
Withdrawal Effective Date 60 days after filing The withdrawal becomes effective on the 60th day after filing unless the SEC determines a shorter or longer period is appropriate.
Related Form MA-I Updates Promptly, if applicable SEC staff states that associated persons’ Form MA-I filings should also be amended when the municipal advisor files Form MA-W, if applicable.

Key Things to Know About Form MA-W Filing Rules

  • Withdrawal Filing Required: A registered municipal advisor that ceases doing business as a municipal advisor and is no longer required to be registered should file Form MA-W to withdraw its registration.
  • Electronic Filing Is Required: Form MA-W must be filed electronically with the SEC.
  • Effective Date Is Not Immediate: A notice of withdrawal generally becomes effective 60 days after filing, unless the SEC sets a different effective period or institutes related proceedings.
  • Books and Records Must Be Preserved: Even after ceasing municipal advisory business, the municipal advisor must preserve books and records, and Form MA-W requires disclosure of the persons and locations maintaining them.
  • Associated Person Filings May Also Need Updates: If a municipal advisor files Form MA-W, SEC staff states that the advisor also should promptly amend each associated person’s Form MA-I, where applicable, to reflect the change in association status.

Our SEC filing monitoring alerts 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.

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