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Federal forms, ICRs, and supporting documents

Information Collection

(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal

IC 20062 under ICR 202508-1557-008 · OMB 1557-0184.

Documents and Forms
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Form and Instruction
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Form and Instruction
Information Collection (IC) Details

View Information Collection (IC)

(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal
 
No Modified
 
Required to Obtain or Retain Benefits
 

Document Type Form No. Form Name Instrument File URL Available Electronically? Can Be Submitted Electronically? Electronic Capability
Form and Instruction 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 MSD.pdf https://www.occ.gov/publications-and-resources/forms/index-forms.html Yes No Printable Only
Form and Instruction MSDW Notice of Withdrawal from Registration as a Municipal Securities Dealer Pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1) MSDW.pdf https://www.occ.gov/publications-and-resources/forms/index-forms.html Yes No Printable Only
Form and Instruction MSD-4 Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer MSD-4.fdf https://www.occ.gov/publications-and-resources/forms/index-forms.html Yes No Printable Only
Form and Instruction G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities G-FIN.fdf https://www.occ.gov/publications-and-resources/forms/index-forms.html Yes No Printable Only
Form and Instruction G-FINW Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer G-FINW.fdf https://www.occ.gov/publications-and-resources/forms/index-forms.html Yes No Printable Only
Form and Instruction MSD-5 Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer MSD-5.fdf https://www.occ.gov/publications-and-resources/forms/index-forms.html Yes No Printable Only
Form and Instruction G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer G-FIN-4.pdf https://www.occ.gov/publications-and-resources/forms/index-forms.html Yes No Printable Only
Form and Instruction G-FIN-5 Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer G-FIN-5.pdf https://www.occ.gov/publications-and-resources/forms/index-forms.html Yes No Printable Only

Economic Development Financial Sector Oversight

 

13 0
   
Private Sector Businesses or other for-profits
 
   0 %

  Approved Program Change Due to New Statute Program Change Due to Agency Discretion Change Due to Adjustment in Agency Estimate Change Due to Potential Violation of the PRA Previously Approved
Annual Number of Responses for this IC 612 0 -105 0 0 717
Annual IC Time Burden (Hours) 510 0 -87 0 0 597
Annual IC Cost Burden (Dollars) 0 0 0 0 0 0

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