(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

OMB: 1557-0184

IC ID: 20062

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
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 www.occ.gov/publications-and-resources/forms/index-forms.html 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 www.occ.gov/publications-and-resources/forms/index-forms.html Form and Instruction
MSD-4 Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer MSD-4.fdf www.occ.gov/publications-and-resources/forms/index-forms.html Form and Instruction
G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities G-FIN.fdf www.occ.gov/publications-and-resources/forms/index-forms.html Form and Instruction
G-FINW Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer G-FINW.fdf www.occ.gov/publications-and-resources/forms/index-forms.html Form and Instruction
MSD-5 Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer MSD-5.fdf www.occ.gov/publications-and-resources/forms/index-forms.html Form and Instruction
G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer G-FIN-4.pdf www.occ.gov/publications-and-resources/forms/index-forms.html Form and Instruction
G-FIN-5 Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer G-FIN-5.pdf www.occ.gov/publications-and-resources/forms/index-forms.html Form and Instruction