Series 54: 3.1.7. Registration Of Associated Persons And Form MA-I

3.1.7.  Registration of Associated Persons and Form MA-I

Recall that when a firm that engages in municipal advisory activities registers with the SEC, it must file a Form MA. Additionally, the firm must file a Form MA-I with the SEC for persons, including independent contractors, who engage in municipal advisory activities.

Form MA-I requires an associated person engaged in advisory business or a sole proprietor MA to provide certain information. This information includes:

• Any names by which the person may be identified (e.g., maiden name, nickname, alias)

• Central Registration Depository (CRD) number, if applicable

• Social security number

• Name of employing firm

• Disclosure information (criminal, civil, and regulatory actions taken against the person)

• Past five year