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

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.

The latest form for Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal expires 2029-01-31 and can be found here.