Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form MSD-5 Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer	Form	Modified	Available
Form G-FINW Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer	Form	Modified	Available
Form G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities	Form	Modified	Available
Form MSD-4 Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer	Form	Modified	Available
Form MSDW Notice of Withdrawal from Registration as a Municipal Securities Dealer Pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1)	Form and Instruction	Modified	Available
Form MSD Application for Registration as a Municipal Securities Dealer Pursuant to Rule 15Ba2-1 under the Securities Exchange Act of 1934 or Amendment to Such Application	Form and Instruction	Modified	Available
1557-0184 - Clean.docx	Supporting Statement A	Uploaded 2013-02-12	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
20062	(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal	Form	Modified	Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer
20062	(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal	Form	Modified	Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer
20062	(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal	Form	Modified	Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities
20062	(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal	Form	Modified	Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer
20062	(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal	Form and Instruction	Modified	Notice of Withdrawal from Registration as a Municipal Securities Dealer Pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1)
20062	(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal	Form and Instruction	Modified	Application for Registration as a Municipal Securities Dealer Pursuant to Rule 15Ba2-1 under the Securities Exchange Act of 1934 or Amendment to Such Application

ICR Details

OMB Control No: 1557-0184	ICR Reference No: 201302-1557-003
Status: Historical Active	Previous ICR Reference No: 201108-1557-019
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 05/31/2013
Retrieve Notice of Action (NOA)	Date Received in OIRA: 04/17/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2016	36 Months From Approved	05/31/2013
Responses	920	0	1,026
Time Burden (Hours)	867	0	884
Cost Burden (Dollars)	0	0	0

---

Abstract: 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).

---

Authorizing Statute(s): US Code: 15 USC 78o Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 9452	02/08/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 22946	04/17/2013
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal	MSD, MSDW, MSD-4, G-FIN, G-FINW, MSD-5	Application for Registration as a Municipal Securities Dealer Pursuant to Rule 15Ba2-1 under the Securities Exchange Act of 1934 or Amendment to Such Application ,   Notice of Withdrawal from Registration as a Municipal Securities Dealer Pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1) ,   Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer ,   Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities ,   Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer ,   Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer

---

ICR Summary of Burden

table that charts list of burden

	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	920	1,026	0	0	-106	0
Annual Time Burden (Hours)	867	884	0	0	-17	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: 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.

---

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 04/17/2013

---