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Federal forms, ICRs, and supporting documents

Information Collection Request

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

ICR 201702-1557-001 · OMB 1557-0184 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
Form MSD (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction Modified Repair queued
Removal of SSN.docx Justification for No Material/Nonsubstantive Change Uploaded 2017-02-07 Repair queued
1557-0184 5-4-2016.docx Supporting Statement A Uploaded 2016-05-06 Available
IC Document Collections
IC IDCollectionTypeStatusForm
20062 (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction Modified
ICR Details
1557-0184 201702-1557-001
Historical Active 201603-1557-003
TREAS/OCC
Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal
No material or nonsubstantive change to a currently approved collection   No
Regular
Approved without change 02/10/2017
Retrieve Notice of Action (NOA) 02/07/2017
  Inventory as of this Action Requested Previously Approved
07/31/2019 07/31/2019 07/31/2019
802 0 802
736 0 736
0 0 0
The Securities Act Amendments of 1975 and the Government Securities Act of 1966 amended the Securities Exchange Act of 1934 to require all financial institutions that act as municipal government securities broker-dealers to notify the appropriate Federal regulatory agencies of their broker/ dealer activities unless exempted from the notice requirements. These forms were developed to meet the requirements of the Acts. This nonmaterial change removes personally identifiable information (social security number) from the MSD-4 and MSD-5 Forms. There are no changes to the respondents or burden.
US Code: 15 USC 78o Name of Law: Securities Exchange Act of 1934
  
None
Not associated with rulemaking
  81 FR 10716 03/01/2016
81 FR 29621 05/12/2016
No
  Total Approved 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 802 802 0 0 0 0
Annual Time Burden (Hours) 736 736 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The decrease in burden is due to the decrease in the number of bank dealers.
$0
No
No
No
No
No
Uncollected
David Barfield 2028741829
  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.
02/07/2017