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Federal forms, ICRs, and supporting documents

OMB control number

Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal

OMB 1557-0184 · TREAS/OCC.

OMB 1557-0184

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.

The latest form for Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal expires 2029-01-31 and is listed under ICR 202508-1557-008.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
Form G-FIN-5 Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or DealerForm and Instruction
Form G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or DealerForm and Instruction
Form MSD-5 Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities DealerForm and Instruction
Form G-FINW Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities DealerForm and Instruction
Form G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer ActivitiesForm and Instruction
Form MSD-4 Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities DealerForm and Instruction
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
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 ApplicationForm and Instruction
Form MSD (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and WithdrawalForm and Instruction
1557-0184 Supporting Statement for MSD GFIN (August 2025).docxSupporting Statement A
1557-0184 Supporting Statement for MSD GFIN (August 2025).docxSupporting Statement A
1557-0184 30-Day FRN for MSD and GFIN Forms (90 FR 42064).pdfSupplementary Document
1557-0184 30-Day FRN for MSD and GFIN Forms (90 FR 42064).pdf Supplementary Document
1557-0184 60-Day FRN for MSD and GFIN Forms (90 FR 26678).pdfSupplementary Document
1557-0184 60-Day FRN for MSD and GFIN Forms (90 FR 26678).pdf Supplementary Document
(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction
(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction
(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction
(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction
(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction
(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction
(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction
(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction
(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202508-1557-008 Extension without change of a currently approved collection 2025-08-28
202207-1557-005 Extension without change of a currently approved collection 2022-07-28 Approved without change
201906-1557-002 Revision of a currently approved collection 2019-07-29 Approved without change
201702-1557-001 No material or nonsubstantive change to a currently approved collection 2017-02-07 Approved without change
201603-1557-003 Extension without change of a currently approved collection 2016-05-12 Approved without change
201408-1557-001 No material or nonsubstantive change to a currently approved collection 2014-08-28 Approved without change
201302-1557-003 Extension without change of a currently approved collection 2013-04-17 Approved without change
201108-1557-019 No material or nonsubstantive change to a currently approved collection 2011-09-06 Approved without change
201001-1557-001 Extension without change of a currently approved collection 2010-02-22 Approved without change
200703-1557-001 Revision of a currently approved collection 2007-04-06 Approved without change
200403-1557-003 Extension without change of a currently approved collection 2004-03-22 Approved without change
200009-1557-001 Extension without change of a currently approved collection 2000-09-05 Approved without change
199708-1557-001 Reinstatement with change of a previously approved collection 1997-08-11 Approved without change
199312-1557-002 Revision of a currently approved collection 1993-12-06 Approved without change
199105-1557-001 No material or nonsubstantive change to a currently approved collection 1991-05-23 Approved with change
199103-1557-014 No material or nonsubstantive change to a currently approved collection 1991-03-08 Approved with change
199103-1557-013 No material or nonsubstantive change to a currently approved collection 1991-03-06 Approved with change
199008-1557-002 Revision of a currently approved collection 1990-08-08 Approved without change
198709-1557-001 New collection (Request for a new OMB Control Number) 1987-09-28 Approved without change