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

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

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 1557-0184 can be found here:

Documents and Forms

Document Name Document Type
Form MSD (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction
MSD4 Instructions.pdf Instruction
MSD5 Instructions.pdf Instruction
GFINW_insts.pdf Instruction
GFIN_insts.pdf Instruction
MSD Application for Registration as a Municipal Securities D msd.pdf Form and Instruction
MSDW Notice of Withdrawal from Registration as a Municipal Se msdw.pdf Form and Instruction
MSD-4 Uniform Application for Municipal Securities Principal o MSD4 Form.pdf Form
G-FIN Notice by Financial Institutions of Government Securitie GFIN_form.pdf Form
G-FINW Notice by Financial Institutions of Termination of Activ GFINW_form.pdf Form
MSD-5 Uniform Termination Notice for Municipal Securities Prin MSD5 Form.pdf Form

Information Collection (IC) Details

IC Title:	(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Required to Obtain or Retain Benefits

CFR Citation:

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	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	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	Yes	No	Printable Only
Form	MSD-4	Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer	MSD4 Form.pdf	Yes	No	Printable Only
Form	G-FIN	Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities	GFIN_form.pdf	Yes	No	Printable Only
Form	G-FINW	Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer	GFINW_form.pdf	Yes	No	Printable Only
Form	MSD-5	Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer	MSD5 Form.pdf	Yes	No	Printable Only
Instruction			MSD4 Instructions.pdf	Yes	No	Printable Only
Instruction			MSD5 Instructions.pdf	Yes	No	Printable Only
Instruction			GFINW_insts.pdf	Yes	No	Printable Only
Instruction			GFIN_insts.pdf	Yes	No	Printable Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 17	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	718	-84	802
Annual IC Time Burden (Hours)	587	-149	736
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

Title	Document	Date Uploaded
No associated records found

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.