Notice2022-10436
Agency Information Collection Activities: Information Collection Revision; Comment Request; Municipal Securities Dealers and Government Securities Brokers and Dealers-Registration and Withdrawal
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
May 16, 2022
Issuing agencies
Treasury DepartmentComptroller of the Currency
Abstract
The OCC, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on a revised information collection, as required by the Paperwork Reduction Act of 1995 (PRA). In accordance with the requirements of the PRA, the OCC may not conduct or sponsor, and respondents are not required to respond to, an information collection unless it displays a currently valid Office of Management and Budget (OMB) control number. The OCC is soliciting comment concerning the revision of its information collection titled, "Municipal Securities Dealers and Government Securities Brokers and Dealers--Registration and Withdrawal."
Full Text
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<title>Federal Register, Volume 87 Issue 94 (Monday, May 16, 2022)</title>
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[Federal Register Volume 87, Number 94 (Monday, May 16, 2022)]
[Notices]
[Pages 29782-29783]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-10436]
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DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency
Agency Information Collection Activities: Information Collection
Revision; Comment Request; Municipal Securities Dealers and Government
Securities Brokers and Dealers--Registration and Withdrawal
AGENCY: Office of the Comptroller of the Currency (OCC), Treasury.
ACTION: Notice and request for comment.
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SUMMARY: The OCC, as part of its continuing effort to reduce paperwork
and respondent burden, invites the general public and other Federal
agencies to take this opportunity to comment on a revised information
collection, as required by the Paperwork Reduction Act of 1995 (PRA).
In accordance with the requirements of the PRA, the OCC may not conduct
or sponsor, and respondents are not required to respond to, an
information collection unless it displays a currently valid Office of
Management and Budget (OMB) control number. The OCC is soliciting
comment concerning the revision of its information collection titled,
``Municipal Securities Dealers and Government Securities Brokers and
Dealers--Registration and Withdrawal.''
DATES: You should submit written comments by July 15, 2022.
ADDRESSES: Commenters are encouraged to submit comments by email, if
possible. You may submit comments by any of the following methods:
<bullet> Email: <a href="/cdn-cgi/l/email-protection#4f3f3d2e262129200f202c2c613b3d2a2e3c61282039"><span class="__cf_email__" data-cfemail="e49496858d8a828ba48b8787ca9096818597ca838b92">[email protected]</span></a>.
<bullet> Mail: Chief Counsel's Office, Attention: Comment
Processing, Office of the Comptroller of the Currency, Attention: 1557-
0184, 400 7th Street SW, Suite 3E-218, Washington, DC 20219.
<bullet> Hand Delivery/Courier: 400 7th Street SW, Suite 3E-218,
Washington, DC 20219.
<bullet> Fax: (571) 465-4326.
Instructions: You must include ``OCC'' as the agency name and
``1557-0184'' in your comment. In general, the OCC will publish
comments on <a href="http://www.reginfo.gov">www.reginfo.gov</a> without change, including any business or
personal information provided, such as name and address information,
email addresses, or phone numbers. Comments received, including
attachments and other supporting materials, are part of the public
record and subject to public disclosure. Do not include any information
in your comment or supporting materials that you consider confidential
or inappropriate for public disclosure.
Following the close of this notice's 60-day comment period, the OCC
will publish a second notice with a 30-day comment period. You may
review comments and other related materials that pertain to this
information collection beginning on the date of publication of the
second notice for this collection by the method set forth in the next
bullet.
<bullet> Viewing Comments Electronically: Go to <a href="http://www.reginfo.gov">www.reginfo.gov</a>.
Hover over the ``Information Collection Review'' drop down menu. Click
on ``Information Collection Review.'' From the ``Currently under
Review'' drop-down menu, select ``Department of Treasury'' and then
click ``submit.'' This information collection can be located by
searching by OMB control number ``1557-0184'' or ``Municipal Securities
Dealers and Government Securities Brokers and Dealers--Registration and
Withdrawal.'' Upon finding the appropriate information collection,
click on the related ``ICR Reference Number.'' On the next screen,
select ``View Supporting Statement and Other Documents'' and then click
on the link to any comment listed at the bottom of the screen.
<bullet> For assistance in navigating <a href="http://www.reginfo.gov">www.reginfo.gov</a>, please
contact the Regulatory Information Service Center at (202) 482-7340.
FOR FURTHER INFORMATION CONTACT: Shaquita Merritt, Clearance Officer,
(202) 649-5490, Chief Counsel's Office, Office of the Comptroller of
the Currency, 400 7th Street SW, Suite 3E-218, Washington, DC 20219. If
you are deaf, hard of hearing, or have a speech disability, please dial
7-1-1 to access telecommunications relay services.
SUPPLEMENTARY INFORMATION: Under the PRA, Federal agencies must obtain
approval from the OMB for each collection of information that they
conduct or sponsor. ``Collection of information'' is defined in 44
U.S.C. 3502(3) and 5 CFR 1320.3(c) to include obtaining, causing to be
obtained, soliciting, or requiring the disclosure to an agency of
information by means of identical questions posed to, or identical
reporting, recordkeeping, or disclosure requirements imposed on, ten or
more persons. Section 3506(c)(2)(A) of title 44 requires Federal
agencies to provide a 60-day notice in the Federal Register concerning
each proposed collection of information, including each proposed
extension or revision of an existing collection of information, before
submitting the collection to OMB for approval. In compliance with the
PRA, the OCC is publishing notice of the proposed revision of the
collection of information set forth in this document.
Title: Municipal Securities Dealers and Government Securities
Brokers and Dealers--Registration and Withdrawal.
OMB Control No.: 1557-0184.
Form Numbers: MSD, MSDW,\1\ MSD-4, MSD-5, G-FIN, G-FINW, GFIN-4 and
GFIN-5.\2\
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\1\ The Securities and Exchange Commission (SEC) maintains
collections for the MSD and MSDW under OMB Control Nos. 3235-0083
and 3235-0087; however, there is a requirement that these be filed
with the OCC, which is covered by OMB Control No. 1557-0184.
\2\ The Department of the Treasury maintains collections for the
G-FIN-4 and G-FIN-5 under OMB Control No. 1535-0089; however, there
is a requirement that the forms be filed with the OCC, which is
covered by OMB Control No. 1557-0184.
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Abstract: This information collection is required to satisfy the
requirements of section 15B \3\ and section 15C \4\ of the Securities
Exchange Act of 1934, which require, in part, any national bank or
Federal savings association that acts as a government securities
broker/dealer or a municipal securities dealer, and certain national
bank and FSA employees, to file the appropriate form with the OCC to
inform the agency of its broker/dealer activities. The OCC uses this
information to determine which national banks and Federal savings
associations are acting as government securities broker/dealers and
municipal securities dealers and to monitor entry into and exit from
these activities by institutions and registered persons. The OCC also
uses the information in planning national bank and Federal savings
association examinations.
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\3\ 15 U.S.C. 78o-4.
\4\ 15 U.S.C. 78o-5.
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Type of Review: Renewal of a currently approved collection.
Affected Public: Businesses or other for-profit; individuals.
Estimated Number of Respondents: 15 (5 government securities
dealers and 10 municipal and government securities dealers).
Estimated Number of Responses: 717.
Frequency of Response: On occasion.
Estimated Annual Burden: 597 burden hours.
Comments submitted in response to this notice will be summarized,
[[Page 29783]]
included in the request for OMB approval, and become a matter of public
record. Comments are invited on:
(a) Whether the collection of information is necessary for the
proper performance of the functions of the OCC, including whether the
information has practical utility;
(b) The accuracy of the OCC's estimate of the information
collection burden;
(c) Ways to enhance the quality, utility, and clarity of the
information to be collected;
(d) Ways to minimize the burden of the collection on respondents,
including through the use of automated collection techniques or other
forms of information technology; and
(e) Estimates of capital or start-up costs and costs of operation,
maintenance, and purchase of services to provide information.
Theodore J. Dowd,
Deputy Chief Counsel, Office of the Comptroller of the Currency.
[FR Doc. 2022-10436 Filed 5-13-22; 8:45 am]
BILLING CODE P
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