The Securities Act Amendments of 1975
and the Government Securities Act of 1966 amend the Securities
Exchange Act of 1934 to require all financial institutions that act
as municipal government securities broker-dealers to notify the
appropriate Federal regulatory agencies of their broker/ dealer
activities unless exempted from the notice requirements. These
forms are developed to meet the requirements of the Acts. On July
21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection
Act, P.L. 111-203, 124 Stat. 1376 (2010) (Dodd-Frank Act) was
enacted. Title III of the Dodd-Frank Act transferred the powers,
authorities, rights and duties of the Office of Thrift Supervision
(OTS) to other banking agencies, including the OCC, on July 21,
2011. The Dodd-Frank Act also abolishes the OTS ninety days after
the transfer date. As a result of the Dodd-Frank Act, OCC is making
a non-substantive change to this collection of information to
include the thrift institutions it now regulates. This collection
of information is being amended to add OTS's Government Securities
and Municipal Securities Dealer Forms. OTS's Government Securities
Dealer Forms are currently approved under OMB Control No. 1557-0258
(formerly 1550-0019) and its Municipal Securities Dealer Forms are
currently approved under OMB Control No. 1557-0307 (formerly
1550-0123).
US Code:
15
USC 78o Name of Law: Securities Exchange Act of 1934
The change in burden reflects
the five dealers that have withdrawn since our last submission and
the availability of more accurate estimates of the burden per
respondent.
$0
No
No
No
No
No
Uncollected
David Barfield
2028741829
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.