Notice2022-16159
Agency Information Collection Activities: Information Collection Renewal; Submission for OMB Review; 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
July 28, 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 continuing 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 renewal of its information collection titled, "Municipal Securities Dealers and Government Securities Brokers and Dealers--Registration and Withdrawal." The OCC also is giving notice that it has sent the collection to OMB for review.
Full Text
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<title>Federal Register, Volume 87 Issue 144 (Thursday, July 28, 2022)</title>
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[Federal Register Volume 87, Number 144 (Thursday, July 28, 2022)]
[Notices]
[Pages 45401-45402]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-16159]
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DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency
Agency Information Collection Activities: Information Collection
Renewal; Submission for OMB Review; 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 continuing
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 renewal of its information collection titled,
``Municipal Securities Dealers and Government Securities Brokers and
Dealers--Registration and Withdrawal.'' The OCC also is giving notice
that it has sent the collection to OMB for review.
DATES: You should submit written comments by August 29, 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#cabab8aba3a4aca58aa5a9a9e4beb8afabb9e4ada5bc"><span class="__cf_email__" data-cfemail="d8a8aab9b1b6beb798b7bbbbf6acaabdb9abf6bfb7ae">[email protected]</span></a>.
<bullet> Mail: Chief Counsel's Office, Attention: Comment
Processing, 1557-0184, Office of the Comptroller of the Currency, 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,
[[Page 45402]]
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.
Written comments and recommendations for the proposed information
collection should also be sent within 30 days of publication of this
notice to <a href="http://www.reginfo.gov/public/do/PRAMain">www.reginfo.gov/public/do/PRAMain</a>. Find this particular
information collection by selecting ``Currently under 30-day Review--
Open for Public Comments'' or by using the search function.
On May 16, 2022, the OCC published a 60-day notice for this
information collection, 87 FR 29782. You may review comments and other
related materials that pertain to this information collection following
the close of the 30-day comment period for this notice 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'' tab and click on
``Information Collection Review'' from the drop-down menu. 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. The OCC asks that OMB extend its approval of the
collection in this notice.
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 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.
On May 16, 2022, the OCC published a 60-day notice for this
information collection, 87 FR 29782. No comments were received.
Comments continue to be 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. 2022-16159 Filed 7-27-22; 8:45 am]
BILLING CODE P
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