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

ICR 201907-7100-007

OMB: 7100-0101

Federal Form Document

ICR Details
7100-0101 201907-7100-007
Active 201907-7100-005
FRS Form MSD-5
Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer
Revision of a currently approved collection   No
Delegated
Approved without change 07/08/2019
Retrieve Notice of Action (NOA) 07/08/2019
  Inventory as of this Action Requested Previously Approved
07/31/2022 36 Months From Approved 11/30/2019
19 0 19
5 0 5
0 0 0

This mandatory information collection is submitted on occasion by a municipal security dealer (MSD) that is, or is a subsidiary of, a state member bank (SMB), a bank holding company (BHC), a savings and loan holding company (SLHC), or a foreign dealer bank. Form MSD-5 collects the date of, and reason for, termination of such an employee.

US Code: 15 USC 78o-4(a)-(b) and 78q Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78o-4(c) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w(a) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78c(a)(34)(A)(ii) Name of Law: Securities Exchange Act of 1934
   US Code: 12 USC 248(a)(1) Name of Law: Federal Reserve Act
   US Code: 12 USC 3105(c)(2) Name of Law: International Banking Act of 1978
   US Code: 12 USC 1844(c)(1)(ii)(II) Name of Law: Bank Holding Company Act of 1956
   US Code: 12 USC 1467a(b)(2) Name of Law: Home Owners’ Loan Act
  
None

Not associated with rulemaking

  84 FR 7902 03/05/2019
84 FR 28051 06/17/2019
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 19 19 0 0 0 0
Annual Time Burden (Hours) 5 5 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
    Yes
    Yes
No
No
No
Uncollected
Kaitlin Chiarelli 571 372-4529 [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.
07/08/2019


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