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 G-FIN-5 Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer	Form and Instruction	Modified	Available
Form G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer	Form and Instruction	Modified	Available
Form MSD-5 Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer	Form and Instruction	Modified	Available
Form G-FINW Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer	Form and Instruction	Modified	Available
Form G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities	Form and Instruction	Modified	Available
Form MSD-4 Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer	Form and Instruction	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
Form MSD (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal	Form and Instruction	Modified	Repair queued
1557-0184 Supporting Statement for MSD GFIN (August 2025).docx	Supporting Statement A	Uploaded 2025-08-28	Available
1557-0184 Supporting Statement for MSD GFIN (August 2025).docx	Supporting Statement A	Uploaded 2025-08-28	Repair queued
1557-0184 30-Day FRN for MSD and GFIN Forms (90 FR 42064).pdf	Supplementary Document	Uploaded 2025-08-28	Available
1557-0184 30-Day FRN for MSD and GFIN Forms (90 FR 42064).pdf	Supplementary Document	Uploaded 2025-08-28	Repair queued
1557-0184 60-Day FRN for MSD and GFIN Forms (90 FR 26678).pdf	Supplementary Document	Uploaded 2025-08-28	Available
1557-0184 60-Day FRN for MSD and GFIN Forms (90 FR 26678).pdf	Supplementary Document	Uploaded 2025-08-28	Repair queued

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 and Instruction	Modified	Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer
20062	(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal	Form and Instruction	Modified	Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer
20062	(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal	Form and Instruction	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 and Instruction	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 and Instruction	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 and Instruction	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
20062	(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal	Form and Instruction	Modified

ICR Details

OMB Control No: 1557-0184	ICR Reference No: 202508-1557-008
Status: Active	Previous ICR Reference No: 202207-1557-005
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: 01/16/2026
Retrieve Notice of Action (NOA)	Date Received in OIRA: 08/28/2025
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2029	36 Months From Approved	01/31/2026
Responses	612	0	717
Time Burden (Hours)	510	0	597
Cost Burden (Dollars)	0	0	0

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Abstract: Section 15B and section 15C of the Securities Exchange Act of 1934 (the “Exchange Act”) require, in part, that all national banks and federal savings associations (“FSAs”) that act as a municipal securities dealer or a government securities broker/dealer, respectively, file the relevant form with the appropriate regulatory agency to inform such agency of their broker/dealer activities. This information collection is required to satisfy the requirements of the Exchange Act. National banks and FSAs planning to engage in broker/dealer activities must file the required forms before beginning these activities.

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

Citations for New Statutory Requirements: None

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

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 26677	06/23/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 42064	08/28/2025
Did the Agency receive public comments on this ICR? No

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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	G-FIN-4, G-FIN-5, MSDW, G-FIN, G-FINW, MSD-4, MSD, 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 ,   Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer ,   Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer

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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	612	717	0	-105	0	0
Annual Time Burden (Hours)	510	597	0	-87	0	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The change in burden is due to less registered bank dealers.

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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.     No

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.     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? No

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Common Form ICR:  No

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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: 08/28/2025

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