(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

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
MSD4 Instructions.pdf Instruction
MSD5 Instructions.pdf Instruction
MSD5 Instructions.pdf Instruction
GFINW_insts.pdf Instruction
GFINW_insts.pdf Instruction
GFIN_insts.pdf Instruction
GFIN_insts.pdf Instruction
MSD Application for Registration as a Municipal Securities D msd.pdf Form and 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
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
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-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
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
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: 15	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	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	717	-1	718
Annual IC Time Burden (Hours)	597	10	587
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.