Uniform Application/Uniform Termination for Municipal Securities Principal or Representative

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 6200-55 Form MSD-5 Uniform Termination Notice for Municipal Principal or Municipal Securities Representative Associated With a Bank Municipal Securities Dealer	Form	Modified	Available
Form 6200-55 Uniform Termination Notice for Securities Principal or Represenatative	Form	Modified	Repair queued
Form 6200/54 Form MSD-4 Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated With a Bank Municipal Securities Dealer	Form	Modified	Available
Form 6200/54 Uniform Application for Municipal Securities Principal or Representative	Form	Modified	Repair queued
SPST-0022 Uniform Application and Termination Notice Municipal Securities Principal 2024 Renewal FINAL.docx	Supporting Statement A	Uploaded 2024-03-21	Repair queued
FR2-0022 Uniform Application Termination of Municipal Securities Principal 89 FR 12336 Feb 16, 2024.pdf	Supplementary Document	Uploaded 2024-03-20	Repair queued
FR1-0022 Uniform Application Termination of Municipal Securities Principal 88 FR 86646 Dec 14 2023.pdf	Supplementary Document	Uploaded 2024-03-20	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
230576	Uniform Termination Notice for Securities Principal or Represenatative	Form	Modified	Form MSD-5 Uniform Termination Notice for Municipal Principal or Municipal Securities Representative Associated With a Bank Municipal Securities Dealer
230576	Uniform Termination Notice for Securities Principal or Represenatative	Form	Modified
230576	Uniform Termination Notice for Securities Principal or Represenatative	Instruction	Modified
230575	Uniform Application for Municipal Securities Principal or Representative	Form	Modified	Form MSD-4 Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated With a Bank Municipal Securities Dealer
230575	Uniform Application for Municipal Securities Principal or Representative	Form	Modified
230575	Uniform Application for Municipal Securities Principal or Representative	Instruction	Modified

ICR Details

OMB Control No: 3064-0022	ICR Reference No: 202310-3064-001
Status: Active	Previous ICR Reference No: 202102-3064-010
Agency/Subagency: FDIC	Agency Tracking No:
Title: Uniform Application/Uniform Termination for Municipal Securities Principal or Representative
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: 05/28/2024
Retrieve Notice of Action (NOA)	Date Received in OIRA: 04/24/2024
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2027	36 Months From Approved	06/30/2024
Responses	2	0	4
Time Burden (Hours)	2	0	4
Cost Burden (Dollars)	0	0	0

---

Abstract: An Insured state nonmember bans or state savings association that serves as a municipal securities dealer must file Form MSD-4 or MSD-5, as applicable, to permit an employee to become associated, or to terminate the association, with the municipal securities dealer.

---

Authorizing Statute(s): US Code: 15 USC 78q Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78o-4 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:
	88 FR 86646	12/14/2023
30-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 12336	02/16/2024
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

IC Title	Form No.	Form Name
Uniform Application for Municipal Securities Principal or Representative	6200/54	Form MSD-4 Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated With a Bank Municipal Securities Dealer
Uniform Termination Notice for Securities Principal or Represenatative	6200-55	Form MSD-5 Uniform Termination Notice for Municipal 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	2	4	0	0	-2	0
Annual Time Burden (Hours)	2	4	0	0	-2	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:

---

Annual Cost to Federal Government: $0

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

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? No

---

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: 04/24/2024

---