View Information Collection Request (ICR) Package
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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
1557-0184
ICR Reference No:
201702-1557-001
Status:
Historical Active
Previous ICR Reference No:
201603-1557-003
Agency/Subagency:
TREAS/OCC
Agency Tracking No:
Title:
Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal
Type of Information Collection:
No material or nonsubstantive change to a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved without change
Conclusion Date:
02/10/2017
Retrieve Notice of Action (NOA)
Date Received in OIRA:
02/07/2017
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
07/31/2019
07/31/2019
07/31/2019
Responses
802
0
802
Time Burden (Hours)
736
0
736
Cost Burden (Dollars)
0
0
0
Abstract:
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.
Authorizing Statute(s):
US Code:
15 USC 78o
Name of Law: Securities Exchange Act of 1934
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
81 FR 10716
03/01/2016
30-day Notice:
Federal Register Citation:
Citation Date:
81 FR 29621
05/12/2016
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
(MA)-Municipal Securities Dealers and Government Securities Brokers and Dealers Registration and Withdrawal
MSD-4, G-FINW, G-FIN, MSD, MSD-5, MSDW
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
,
Notice of Withdrawal from Registration as a Municipal Securities Dealer Pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1)
,
Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer
,
Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities
,
Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer
,
Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer
ICR Summary of Burden
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
Burden increases because of Program Change due to Agency Discretion:
No
Burden Increase Due to:
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
The decrease in burden is due to the decrease in the number of bank dealers.
Annual Cost to Federal Government:
$0
Does this IC contain surveys, censuses, or employ statistical methods?
No
Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002?
No
Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]?
No
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
No
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
David Barfield 2028741829
Common Form ICR:
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:
(a) It is necessary for the proper performance of agency functions;
(b) It avoids unnecessary duplication;
(c) It reduces burden on small entities;
(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
(f) It indicates the retention periods for recordkeeping requirements;
(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
(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;
(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
(i) It uses effective and efficient statistical survey methodology (if applicable); and
(j) It makes appropriate use of information technology.
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.
Certification Date:
02/07/2017
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