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SEC Removes Personally Identifiable Information Requirement from Municipal Advisor Registration Forms

The SEC removed certain personally identifiable financial information from its Municipal Advisor Registration Forms. Under these amendments, filers are no longer required to provide their Social Security number, foreign identity number, or date or place of birth. Although it is not yet reflected in EDGAR, these amendments became effective on May 14, 2018.

Primary Sources

  1. Federal Register: SEC Final Rule – Amendments to Forms and Schedules to Remove Provision of Certain Personally Identifiable Information (83 FR 22190)
  2. SEC Information on Amendments to Municipal Advisor Forms Relating to Personally Identifiable Information ("PII")

Tags

Regulated Activities
Registration Process
Regulated Entities
Muni Advisors
Regulated Products
Municipal Securities
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC