Uniform Application/Uniform Termination for Municipal Securities Principal or Representative

Forms and Documents

Document Name	Status
Form MSD-5 Uniform Termination Notice for Securities Principal or Represenatative Form	New
Form MSD-4 Uniform Application for Municipal Securities Principal or Representative Form	New
FR2-0022 Uniform Application Termination of Municipal Securities Principal 83 FR 10850 March 12, 2018.pdf Supplementary Document	2018-03-13
FR1-0022 Uniform Application Termination of Municipal Securities Principal 82 FR 61566 Dec 28 2017.pdf Supplementary Document	2018-03-07
SPST-0022 Uniform Application and Termination Notice Municipal Securities Principal 2018 Renewal.doc Supporting Statement A	2018-03-07

IC Document Collections

IC ID	Document Title	Status
31758	Uniform Application/Uniform Termination for Municipal Securities Principal or Representative Instruction	Removed
230576	Uniform Termination Notice for Securities Principal or Represenatative Form	New
230575	Uniform Application for Municipal Securities Principal or Representative Form	New

ICR Details

OMB Control No: 3064-0022	ICR Reference No: 201803-3064-001
Status: Historical Active	Previous ICR Reference No: 201702-3064-003
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: 04/30/2018
	Date Received in OIRA: 03/13/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2021	36 Months From Approved	04/30/2018
Responses	4	0	75
Time Burden (Hours)	3	0	75
Cost Burden (Dollars)	0	0	0

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Abstract: An insured state nonmember bank 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. FEB 2017 - The agencies are making nonsubstantive revisions to the forms and instructions associated with this information collection to remove a requirement to provide Social Security Number information and to permit alternative means of filing.

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Authorizing Statute(s): US Code: 15 USC 78o-4 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:
	82 FR 61566	12/28/2017
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 10850	03/13/2018
Did the Agency receive public comments on this ICR? No

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

IC Title	Form No.	Form Name
Uniform Application for Municipal Securities Principal or Representative	MSD-4	Uniform Application for Municipal Securities Principal of Representative
Uniform Application/Uniform Termination for Municipal Securities Principal or Representative	MSD-4, MSD-5	Uniform Application for Muncipal Securities Principal or Rep ,   Uniform Termination Notice for Municipal Securities Principal
Uniform Termination Notice for Securities Principal or Represenatative	MSD-5	Uniform Termination Notice for Municipal Securities Principal or Representative

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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	4	75	0	0	-71	0
Annual Time Burden (Hours)	3	75	0	0	-72	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:

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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.     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? Uncollected

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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: 03/13/2018

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