Form MSD-5 Form MSD-5 Uniform Termination Notice for Municipal Securities Prin

Board of Governors of the Federal Reserve System
Federal Deposit Insurance Corporation
Office of the Comptroller of the Currency

OMB Number 7100-0101 Approval expires July 31, 2022
OMB Number 3064-0022 Approval expires April 30, 2021
OMB Number 1557-0184 Approval expires September 30, 2022
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Board of Governors of the Federal Reserve System
Federal Deposit Insurance Corporation
Office of the Comptroller of the Currency

Uniform Termination Notice for Municipal Securities Principal or
Municipal Securities Representative Associated with a
Bank Municipal Securities Dealer—Form MSD-5
The Board of Governors of the Federal Reserve System, the Federal
Deposit Insurance Corporation, and the Office of the Comptroller
of the Currency are authorized to collect this information pursuant
to the authority contained in the following statutes: 15 U.S.C. §§
78o-4, 78q, and 78w.

An agency may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless it
displays a currently valid OMB control number. The information
provided by each respondent is considered to be confidential.

Board of Governors of the Federal Reserve System Privacy Act Notice
The Federal Reserve Board is authorized to request this information from you by Sections 3, 15B(c), 15C, 17 and 23 of the Securities Exchange Act of
1934 (15 U.S.C. §§ 78c, 78o-4, 78o-5, and 78q and 78w); and Section 11 of the Federal Reserve Act (12 U.S.C. § 248). The purpose for collecting the
information is to comply with the registration requirements of municipal securities dealers, municipal securities representatives, and U.S. Government
securities brokers or dealers and associated persons contained in the Securities Exchange Act of 1934, and to support the Board’s regulatory and
supervisory functions. Furnishing the requested information is mandatory. Failure to provide the requested information in whole or in part may delay
or prohibit the determination of your compliance with applicable registration and professional qualification requirements. The information you provide
is protected by the Privacy Act, 5 U.S.C. § 552a. The information may be furnished to third parties as authorized by law and used according to any of
the routine uses as described in the System of Records entitled BGFRS-17 “FRB—Municipal or Government Securities Principals or Representatives,”
available at https://www.federalreserve.gov/files/ BGFRS-17-municipal-or-government-securities-principals-and-representatives.pdf. If you have any
questions or concerns about the collection or use of the information, you may contact the Secretary of the Board, Board of Governors of the Federal
Reserve System, 20th Street and Constitution Avenue, NW, Washington, DC 20551.

Federal Deposit Insurance Corporation Privacy Act Notice
The Federal Deposit Insurance Corporation is authorized to request this information from you by Sections 3, 15B(c), 15C, 17 and 23 of the Securities
Exchange Act of 1934 (15 U.S.C. §§ 78c,78o-4, 78o-5, and 78q and 78w); and Section 9 of the Federal Deposit Insurance Act (12 U.S.C. § 1819). The
purpose for collecting the information is to comply with the registration requirements of municipal securities dealers, municipal securities representatives, and U.S. Government securities brokers or dealers and associated persons contained in the Securities Exchange Act of 1934, and to support the
FDIC’s regulatory and supervisory functions. Furnishing the requested information is mandatory. Failure to provide the requested information in whole or
in part may delay or prohibit the determination of your compliance with applicable registration and professional qualification requirements. The information you provide is protected by the Privacy Act, 5 U.S.C. § 552a. The information may be furnished to third parties as authorized by law and in accordance with any of the other routine uses described in FDIC 30-64-0016, Professional Qualification Records for Municipal Securities Dealers, Municipal
Securities Representatives, and U.S. Government Securities Brokers/Dealers System of Records available at www.fdic.gov/about/privacy. If you have
questions or concerns about the collection or use of the information, you may contact the FDIC’s Chief Privacy Officer at [email protected].

Office of the Comptroller of the Currency Privacy Act Notice
The Office of the Comptroller of the Currency is authorized to request this information from you by 12 U.S.C. §§ 1, 481, 1464,1818, and 1820; 15 U.S.C.
§§ 78o-4, 78o-5, and 78q and 78w. The purpose of collecting the information is for the OCC to carry out its responsibilities under the federal securities
laws relating to the professional qualifications and fitness of individuals who engage or propose to engage in securities activities on behalf of national
banks, federal savings associations, and District of Columbia savings associations operating under the OCC’s regulatory authority. Failure to provide the
requested information in whole or in part may delay or prevent the determination of your compliance with applicable registration and professional qualification requirements. The information you provide is protected by the Privacy Act, 5 U.S.C. § 552a. The information may be furnished to third parties
as authorized by law and used according to any of the routine uses described in the Bank Securities Dealers System --Treasury/Comptroller system of
record notice (Treasury/CC .210) available at https://www.federalregister.gov/documents/2016/01/19/2016-00763/privacy-act-of-1974-as-amended-system-of-records. If you have any questions or concerns about the collection or use of the information, you may contact the Deputy Comptroller, Market
Risk Division, Office of the Comptroller of the Currency, 400 Seventh St S.W., Suite 7W-215, Washington D.C. 20219.
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including the time to gather and maintain data in the required form and to review
instructions and to complete the information collection. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing
this burden, to Office of Management and Budget, Washington, DC 20503, and, depending on your primary federal regulator, to Secretary, Board of Governors of the Federal Reserve System,
20th and C Streets, NW, Washington, DC 20551; or to Assistant Executive Secretary, Federal Deposit Insurance Corporation, Washington, DC 20429; or to Legislative and Regulatory
Activities Division, Office of the Comptroller of the Currency, Washington, DC 20219.

10/2019

Form MSD-5
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Uniform Termination Notice for Municipal Securities Principal
or Municipal Securities Representative Associated with a
Bank Municipal Securities Dealer
1. Individual’s Name:
Last

First

Middle (if none, enter “N/A”)

2. Capacity (check all that apply):
Municipal Securities

Government Securities

3. Bank Municipal Securities Dealer:

4. Office of Employment Address:

A.
Name

Street Address

Registration Number

City

B.
C.

State

Zip Code

5. Date Terminated:
Main Street Address

City

State

Zip Code

Month/Day/Year

7. Reason for Termination (check one):
Resigned*

Discharged*

Deceased

Other*

*Furnish full details on attached sheet if related to a violation or probable violation of banking or securities law.
8. While associated with the dealer named in item 4, was the individual named in item 1 the subject of any investigation, proceeding,
disqualification, or disciplinary action by any government agency or self-regulatory organization (as defined in section 3(a)(26) of the
Securities Exchange Act of 1934) described in Rules G-4 and G-5 of the Municipal Securities Rulemaking Board?
Yes**

No

**Furnish full details on attached sheet.
9. To be filed with the following (check one):
Board of Governors of the Federal Reserve System

Federal Deposit Insurance Corporation

Comptroller of the Currency

Acceptance of this form for filing shall not constitute any finding that the information submitted herein is true, current, complete, or not misleading.
Intentional misstatements or omissions of fact may constitute federal criminal violations. (See 18 U.S.C. §§ 1001 and 1005, and 15 U.S.C. 78ff.)

Print Name of Municipal Securities Principal

Signature of Municipal Securities Principal

Date (MM/DD/YYYY)

Person to contact for further information:
Name

Street Address

City

State

Zip Code

Area Code / Phone Number
06/2019

Acknowledgment for:

Form MSD-5

Form MSD-5
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Form G-FIN-5

10.
Name of Person Terminated

11.
Bank Municipal Securities Dealer Name

Receipt Stamp

12.
Bank Municipal Securities Dealer Address
City

State

Zip Code

13.
Attention

When the Form MSD-5 is received by the appropriate regulatory agency, this acknowledgment will be stamped to show
receipt and returned to the person named in item 13. The stamped acknowledgment should be retained to substantiate filing.

MAIL THE FORM TO THE REGULATOR INDICATED IN ITEM 9.
Board of Governors of the Federal Reserve System
Submit completed forms in Portable Document Format (PDF) to the Federal Reserve’s secure email address:
[email protected]
Federal Deposit Insurance Corporation
Submit completed forms in Portable Document Format (PDF) to the Federal Deposit Insurance Corporations’s secure e-mail
address: [email protected] or alternatively, mail the form and any attachments to:
Federal Deposit Insurance Corporation
Policy & Program Development Section
550 17th Street, NW, Room MB-5100
Washington, D.C. 20429
The Office of the Comptroller of the Currency
Upload completed forms via the OCC’s BankNet website www.banknet.gov
For assistance call (202) 649-6438

06/2019