OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

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

ICR 202508-1557-008 · OMB 1557-0184 · Active

Forms and Documents
DocumentTypeStatusAvailability
Form G-FIN-5 Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer Form and Instruction Modified Available
Form G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer Form and Instruction Modified Available
Form MSD-5 Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer Form and Instruction Modified Available
Form G-FINW Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer Form and Instruction Modified Available
Form G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities Form and Instruction Modified Available
Form MSD-4 Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer Form and Instruction Modified Available
Form MSDW Notice of Withdrawal from Registration as a Municipal Securities Dealer Pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1) Form and Instruction Modified Available
Form 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 Form and Instruction Modified Available
Form MSD (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction Modified Repair queued
1557-0184 Supporting Statement for MSD GFIN (August 2025).docx Supporting Statement A Uploaded 2025-08-28 Available
1557-0184 Supporting Statement for MSD GFIN (August 2025).docx Supporting Statement A Uploaded 2025-08-28 Missing upstream
1557-0184 30-Day FRN for MSD and GFIN Forms (90 FR 42064).pdf Supplementary Document Uploaded 2025-08-28 Available
1557-0184 30-Day FRN for MSD and GFIN Forms (90 FR 42064).pdf Supplementary Document Uploaded 2025-08-28 Repair queued
1557-0184 60-Day FRN for MSD and GFIN Forms (90 FR 26678).pdf Supplementary Document Uploaded 2025-08-28 Available
1557-0184 60-Day FRN for MSD and GFIN Forms (90 FR 26678).pdf Supplementary Document Uploaded 2025-08-28 Missing upstream
IC Document Collections
IC IDCollectionTypeStatusForm
20062 (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction ModifiedUniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer
20062 (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction ModifiedDisclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer
20062 (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction ModifiedUniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer
20062 (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction ModifiedNotice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer
20062 (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction ModifiedNotice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities
20062 (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction ModifiedUniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer
20062 (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction ModifiedNotice of Withdrawal from Registration as a Municipal Securities Dealer Pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1)
20062 (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction ModifiedApplication for Registration as a Municipal Securities Dealer Pursuant to Rule 15Ba2-1 under the Securities Exchange Act of 1934 or Amendment to Such Application
20062 (MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal Form and Instruction Modified
ICR Details
1557-0184 202508-1557-008
Active 202207-1557-005
TREAS/OCC
Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal
Extension without change of a currently approved collection   No
Regular
Approved without change 01/16/2026
Retrieve Notice of Action (NOA) 08/28/2025
  Inventory as of this Action Requested Previously Approved
01/31/2029 36 Months From Approved 01/31/2026
612 0 717
510 0 597
0 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
  90 FR 26677 06/23/2025
90 FR 42064 08/28/2025
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 612 717 0 -105 0 0
Annual Time Burden (Hours) 510 597 0 -87 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
Yes
Miscellaneous Actions
The change in burden is due to less registered bank dealers.
$0
No
    No
    No
No
No
No
No
David Barfield 202 649-6396 [email protected]
  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.
08/28/2025