Municipal Securities Dealers
and Government Securities Brokers and Dealers Registration and
Withdrawal
Extension without change of a currently approved collection
No
Regular
07/28/2022
Requested
Previously Approved
36 Months From Approved
09/30/2022
717
718
597
587
0
0
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.
US Code:
15
USC 78o Name of Law: Securities Exchange Act of 1934
The change in burden
constitutes a minor adjustment.
$0
No
No
No
No
No
No
No
David Barfield 202 649-6396
david.barfield@occ.treas.gov
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:
(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;
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.