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

ICR 202207-1557-005

OMB: 1557-0184

Federal Form Document

ICR Details
1557-0184 202207-1557-005
Received in OIRA 201906-1557-002
TREAS/OCC
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
  
None

Not associated with rulemaking

  87 FR 29782 05/16/2022
87 FR 45401 07/28/2022
No

  Total Request 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 717 718 0 -1 0 0
Annual Time Burden (Hours) 597 587 0 10 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
Miscellaneous Actions
No
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.
07/28/2022


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