Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer

ICR 200611-7100-005

OMB: 7100-0101

Federal Form Document

ICR Details
7100-0101 200611-7100-005
Historical Active 200403-7100-008
FRS FR MSD5
Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer
No material or nonsubstantive change to a currently approved collection   No
Delegated
Approved without change 01/26/2007
Retrieve Notice of Action (NOA) 01/26/2007
  Inventory as of this Action Requested Previously Approved
03/31/2007 03/31/2007 03/31/2007
119 0 70
30 0 18
0 0 0

This notice collects the date of, and reason for, termination of an employee a bank had assume the duties of a municipal securities principal or representative.

US Code: 15 USC 78o-4, 78q, and 78w Name of Law: Securities Exchange Act
  
None

Not associated with rulemaking

No

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 119 70 0 0 49 0
Annual Time Burden (Hours) 30 18 0 0 12 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
This information collection is a termination notice of municipal securities brokers/dealers. Increase in burden hours is due in part to merger activity involving one institution.

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Scott Farmer 202-452-2253 [email protected]

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
01/26/2007


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