FORM MA-W
Notice of Withdrawal from Registration as a Municipal Advisor
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
OMB APPROVAL
OMB Number: 3235-0681
Estimated average burden hours per response: 0.5
Please refer to the General Instructions for forms in the MA series
before completing this form. All italicized terms herein are defined
or described in the Glossary of Terms appended to the General Instructions.
A municipal advisor must complete this Form MA-W to
withdraw its municipal advisor registration with the SEC.
WARNING:
Complete this form truthfully. False statements or omissions may
result in administrative or civil action or criminal
prosecution.
Filer Information
Filer CIK:
Filer CCC:
File Number:
Contact Information
Kenneth McManus
Name:
973-618-9508
Phone:
kmcmanus@alternativereg.com
Email Address:
Notification Information
Notification will automatically be sent to the Login CIK, Submission Contact, and Primary Issuers. Specify additional addresses below.
Notification Email Address:
kmcmanus@alternativereg.com
Sbeinhacker@swapfinancial.com
Item 1 Identifying Information
A.
Full Legal Name: The name entered here must be the same as the name entered on
the registrant's most recent Form MA. Do not report a
name change on this Form MA-W.
Swap Financial Group, LLC
B.
SEC File Number
Item 2 Contact Person (for Municipal Advisory Firms)
- The registrant's contact person must be a principal or employee (not outside counsel) of the municipal advisor authorized to receive information and respond to questions about this Form MA-W.
- Name, title, and contact information:
Beinhacker
Scott
NMN
Last Name:
First Name:
Middle Name:
Managing Director
Title
41 Madison Avenue
31st Floor
Street Address 1:
Street Address 2:
NEW YORK
NEW YORK
10010
City:
State/Country:
Postal Code:
212-478-3700
Sbeinhacker@swapfinancial.com
Telephone Number:
Email Address:
Item 3 Money Owed to Clients
Has the registrant:
A.
Received any pre-paid municipal advisory fees for
municipal advisory activities, including pre-paid services and
subscription fees for publications, that have not been delivered?
Yes
No
If "Yes," what is the amount owed for these pre-paid services
(including subscriptions)?
$
B.
Borrowed any money from
clients
that has not been repaid?
Yes
No
If "Yes," what is the amount owed for these borrowed funds?
$
Item 4 Advisory Contract Assignments
Has the registrant assigned any contracts to another person
that engages in municipal advisory activities?
Yes
No
If "Yes", list on Section 4 of Schedule W1 each person to whom
the registrant has assigned any such municipal advisory contracts
and provide the requested information.
Item 5 Judgments and Liens
Are there any unsatisfied judgments or liens against the
registrant?
Yes
No
Item 6 Books and Records
NOTE: Rule 15Ba1-8 under the Exchange Act requires a municipal advisor to preserve its books and records after the municipal advisor ceases to conduct or discontinues business as a municipal advisor.
Provide in Schedule W1 the name and address of each person who has or will have custody or possession of the municipal advisor's books and records and each location at which any of such books and records are or will be kept.
Item 7 Statement of Financial Condition
If registrant answered "Yes" to Item 3A, Item 3B, or Item 5, complete Schedule W2, disclosing the nature and amount of the registrant's assets and liabilities and net worth as of the last day of the month prior to the filing of this Form MA-W.
Execution
For a Sole Proprietor:
I, the undersigned, certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-W, including exhibits and any other information submitted, are true. I further certify that the books and records of my municipal advisor-related business will be preserved and available for inspection as required by law, and that all information submitted on my most recent Form MA and Form MA-I is accurate and complete as of this date. I understand that if any information contained in this Form MA-W is different from the information contained on my Form MA and Form MA-I, the information on this Form MA-W will replace the corresponding entry on my Form MA and Form MA-I. Finally, I authorize any person having custody or possession of these books and records to make them available to authorized regulatory representatives.
Signature:
Date:
Printed Name:
Title:
For a Municipal Advisory Firm:
I, the undersigned, have signed this Form MA-W on behalf of, and with the authority of, the municipal advisor withdrawing its registration. The advisor and I both certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-W, including exhibits and any other information submitted, are true. I further certify that the municipal advisor’s books and records will be preserved and available for inspection as required by law, and that all information submitted on the municipal advisor ’s most recent Form MA is accurate and complete as of this date. The municipal advisor and I understand that if any information contained in this Form MA-W is different from the information contained on Form MA, the information on this Form MA-W will replace the corresponding entry on the municipal advisor ’s Form MA. Finally, I authorize any person having custodyor possession of these books and records to make them available to authorized regulatory representatives.
Kimberly McManus
10-21-2022
Signature:
Date:
Kimberly McManus
President, Alternative Regulatory Solutions LLC
Printed Name:
Title:
FORM MA-W: Schedule W1
Certain items in Form MA-W may require additional information on this Schedule W1. Use this Schedule W1 to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.
SECTION 6 Books and Records
Complete the following information for each person that has or will have custody or possession of any of the registrant's books and records. A separate Schedule W1 must be completed for each person . If the same person has or will have custody of any such books and records at more than one location, a separate Schedule W1 must be completed for this person for each such location.
Person with Custody:
- Name and business address of the person with custody or possession of books and records:
Scott Beinhacker
Name:
11 Montauk Avenue
Street Address 1:
Street Address 2:
EAST HAMPTON
NEW YORK
11937
City:
State/Country:
Postal Code:
631-527-5673
Telephone Number:
Is this address a private residence?
Yes
No
Location of Books and Records:
Global Relay Inc.
Name of Location, if any:
286 Madison Avenue
7th Floor
Street Address 1:
Street Address 2:
NEW YORK
NEW YORK
10017
City:
State/Country:
Postal Code:
1-866-484-6630
Telephone Number:
Is this address a private residence?
Yes
No
Briefly describe the books and records kept at
this location.
All books and records (client documents, written communications, written supervisory procedures, company formation documents, regulatory documents, etc...) of the firm.