Form REVOCATION-MA Files Dataset

Form REVOCATION-MA filings represent SEC administrative orders that revoke a firm's registration as a municipal advisor under Section 15B(c) of the Securities Exchange Act of 1934. These filings are submitted to EDGAR by the Commission following proceedings in which it determines that revocation is in the public interest, typically based on findings of fraud, fiduciary breach, or other violations of the federal securities laws and Municipal Securities Rulemaking Board rules. The dataset includes all Form REVOCATION-MA filings submitted to EDGAR from September 2021 to present. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files; this covers the order instituting proceedings, the findings of fact, and the operative revocation document as entered on the Commission's docket. Each filing typically contains the name and CIK of the revoked municipal advisor, the effective date of the revocation, a recitation of the statutory basis and administrative proceedings file number, the Commission's findings regarding the conduct at issue, and the sanctions imposed terminating the firm's authority to act as a municipal advisor.

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