Uniform Application and Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer
Uniform Application and
Uniform Termination Notice for Municipal Securities Principal or
Municipal Securities Representative Associated with a Bank
Municipal Securities Dealer
Extension without change of a currently approved collection
These mandatory information
collections must be submitted in certain circumstances by a
municipal security dealer (MSD) that is itself or is a subsidiary
of a state member bank (SMB), a bank holding company (BHC), a
savings and loan holding company (SLHC), or a foreign dealer bank,
as defined below. Form MSD-4 collects information (such as personal
history and professional qualifications) regarding an employee whom
the MSD wishes to assume the duties of municipal securities
principal or representative. Form MSD-5 collects the date of, and
reason for, termination of such an employee.
As part of this clearance, the
Board will clear the Form MSD-4 and Form MSD-5 under the Form MSD-4
OMB control number (7100-0100), and then discontinue the Form
MSD-5’s separate OMB control number (7100-0101). This
non-substantive change is aimed at simplifying the tracking and
clearance process for the two related forms. This change would not
modify the reporting or recordkeeping requirements of the forms in
any way.
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.