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

Forms and Documents

Document Name	Status
Form MSD (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction	Modified
Justification for No Material Change.docx Justification for No Material/Nonsubstantive Change	2014-08-28
1557-0184 - Clean.docx Supporting Statement A	2013-02-12

IC Document Collections

IC ID	Document Title	Status
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: 201408-1557-001
Status: Historical Active	Previous ICR Reference No: 201302-1557-003
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/29/2014
	Date Received in OIRA: 08/28/2014
Terms of Clearance: In it's next renewal or revision to this collection, OCC will upload screen shots of the web based form in the instruments.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2016	05/31/2016	05/31/2016
Responses	920	0	920
Time Burden (Hours)	867	0	867
Cost Burden (Dollars)	0	0	0

---

Abstract: The Securities Act Amendments of 1975 and the Government Securities Act of 1966 amend the Securities Exchange Act of 1934 to require all financial institutions that act as municipal government securities broker-dealers to notify the appropriate Federal regulatory agencies of their broker/ dealer activities unless exempted from the notice requirements. These forms are developed to meet the requirements of the Acts. The OCC is moving to a web-based method for national banks and federal savings associations to submit their municipal and government securities dealer forms to the OCC.

---

Authorizing Statute(s): US Code: 15 USC 78o 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:
	78 FR 9452	02/08/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 22946	04/17/2013
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal	G-FIN, G-FINW, MSD-5, MSD, MSDW, MSD-4	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

---

ICR Summary 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	920	920	0	0	0	0
Annual Time Burden (Hours)	867	867	0	0	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: No

Burden Reduction Due to:

Short Statement: The change in burden reflects the five dealers that have withdrawn since our last submission and the availability of more accurate estimates of the burden per respondent.

---

Annual Cost to Federal Government: $0

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

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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? Uncollected

---

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: 08/28/2014

---