Rule 15Bc3-1, Form MDSW-Withdrawal from Registration of Municipal Securities Dealers

ICR 201606-3235-007

OMB: 3235-0087

Federal Form Document

Forms and Documents
IC Document Collections
ICR Details
3235-0087 201606-3235-007
Historical Active 201305-3235-013
SEC TM-270-093
Rule 15Bc3-1, Form MDSW-Withdrawal from Registration of Municipal Securities Dealers
Extension without change of a currently approved collection   No
Regular
Approved without change 01/12/2017
Retrieve Notice of Action (NOA) 11/15/2016
  Inventory as of this Action Requested Previously Approved
01/31/2020 36 Months From Approved 01/31/2017
5 0 3
3 0 2
0 0 0

Rule 15Bc3-1 provides that a notice of withdrawal from registration as a municipal securities dealer must be filed on Form MSDW, in the case of a municipal securities dealer that is a bank, or on Form BDW, in the case of any other municipal securities dealer. The Commission uses the information to establish whether it is in the public interest to permit a municipal securities dealer to withdraw its registration.

US Code: 15 USC 78o-4 Name of Law: Section 15 of the Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  81 FR 45340 07/13/2016
81 FR 63561 09/15/2016
No

1
IC Title Form No. Form Name
Rule 15Bc3-1, Withdrawal from Registration of Municipal Securities Dealers FORM 1588 Form MSDW

  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 5 3 0 0 2 0
Annual Time Burden (Hours) 3 2 0 0 1 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
Since the last time Commission staff estimated the burden in 2013, the approximate number of Form MSDW filings received by the Commission each year has increased from three to five, resulting in an increase in the estimated annual burden from the 2013 estimate of 1.5 hours to the current estimate of 2.5 hours.

$178
No
No
No
No
No
Uncollected
Brice Prince 202 551-5595

  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.
11/15/2016


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