Frasca & Associates, LLC has recently filed an amendment to its MA-I application, a move that underscores the company's commitment to regulatory compliance in the municipal advisory sector. This filing, dated November 5, 2026, is significant as it reflects ongoing efforts to align with the evolving regulatory landscape that governs municipal advisors.

Background

Frasca & Associates, LLC, incorporated in New York, is a municipal advisory firm that provides advisory services related to municipal finance. The firm operates under the SEC file number 868-01473. As per recent filings, the firm has been active in submitting amendments to its MA-I application, indicating a proactive approach to maintaining compliance with regulatory standards.

What the Filing Says

The recent filing, identified by accession number 0001614472-26-000014, indicates that this is an amendment to a previous submission. While specific details about the changes were not disclosed, the amendment is part of Frasca's ongoing efforts to adhere to regulatory requirements.

Impact

This filing may affect various stakeholders, including clients who rely on Frasca's advisory services and regulatory bodies overseeing municipal advisory practices. The firm's commitment to compliance could enhance its reputation and trustworthiness in the industry.

What's Next

The filing does not say what happens next.

Key Personnel

The filing identifies Dianne Caryle Klaiss as the applicant associated with the MA-I application. Klaiss has been with Frasca & Associates since May 21, 2018, and holds the position of Director. Her background includes significant experience in public finance, having previously served as Senior Vice President at Raymond James & Associates Inc, where she worked from October 2015 to May 2018, and prior to that, at Morgan Keegan & Company.

Advisory Offices

Frasca & Associates operates from two advisory offices, one located at 521 Madison Avenue, 7th Floor, New York, NY, and another at 2054 Vista Parkway Emerald View, Suite 400, West Palm Beach, FL, which commenced operations on August 1, 2024. This expansion reflects the firm's growth strategy and commitment to serving clients in multiple locations.

Compliance and Regulatory History

The filing also highlights that Dianne Klaiss has not been involved in any criminal activities or regulatory violations, as indicated by the disclosures in the filing. This clean record may bolster the firm's credibility and reassure clients of their commitment to ethical practices.

Contact Information

For further inquiries, Glenn Green is listed as the contact person, reachable at 973-618-9503 or via email at ggreen@alternativereg.com. This transparency in communication channels is vital for stakeholders seeking clarity on the firm's operations and compliance status.