81 FR 10716 - Agency Information Collection Activities: Information Collection Renewal; Comment Request; Municipal Securities Dealers and Government Securities Brokers and Dealers-Registration and Withdrawal

DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency

Federal Register Volume 81, Issue 40 (March 1, 2016)

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. Under the Paperwork Reduction Act of 1995 (the PRA), Federal Agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information and to allow 60 days for public comment in response to the notice. In accordance with the requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. chapter 35), the OCC may not conduct or sponsor, and the respondent is 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.''

[Federal Register Volume 81, Number 40 (Tuesday, March 1, 2016)]
[Notices]
[Pages 10716-10717]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-04354]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF THE TREASURY

Office of the Comptroller of the Currency


Agency Information Collection Activities: Information Collection 
Renewal; 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.

-----------------------------------------------------------------------

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.
    Under the Paperwork Reduction Act of 1995 (the PRA), Federal 
Agencies are required to publish notice in the Federal Register 
concerning each proposed collection of information, including each 
proposed extension of an existing collection of information and to 
allow 60 days for public comment in response to the notice.
    In accordance with the requirements of the Paperwork Reduction Act 
of 1995 (44 U.S.C. chapter 35), the OCC may not conduct or sponsor, and 
the respondent is 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.''

DATES:  You should submit written comments by May 2, 2016.

ADDRESSES: Because paper mail in the Washington, DC area and at the OCC 
is subject to delay, commenters are encouraged to submit comments by 
email, if possible. Comments may be sent to: Legislative and Regulatory 
Activities Division, Office of the Comptroller of the Currency, Mail 
Stop 9W-11, Attention: 1557-0184, Washington, DC 20219. In addition, 
comments may be sent by fax to (571) 465-4326 or by electronic mail to 
[email protected]. You may personally inspect and photocopy 
comments at the OCC, 400 7th Street SW., Washington, DC 20219. For 
security reasons, the OCC requires that visitors make an appointment to 
inspect comments. You may do so by calling (202) 649-6700 or, for 
persons who are deaf or hard of hearing, TTY, (202) 649-5597. Upon 
arrival, visitors will be required to present valid government-issued 
photo identification and to submit to security screening in order to 
inspect and photocopy comments.
    All 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.

FOR FURTHER INFORMATION CONTACT: Shaquita Merritt, Clearance Officer, 
(202) 649-5490 or, for persons who are deaf or hard of hearing, TTY, 
(202) 649-5597, Legislative and Regulatory Activities Division, Office 
of the Comptroller of the Currency, 400 7th Street SW., Washington, DC 
20219.

SUPPLEMENTARY INFORMATION:  Under the PRA, Federal agencies must obtain 
approval from the OMB for each collection of information 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 the PRA 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 extension of the 
collection of information set forth in this document.
    The OCC is proposing to extend OMB approval of the following 
information collection:
    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\
---------------------------------------------------------------------------

    \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 they be filed with the OCC, which is covered 
by OMB Control No. 1557-0184.
---------------------------------------------------------------------------

    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.
---------------------------------------------------------------------------

    \3\ 15 U.S.C. 78o-4.
    \4\ 15 U.S.C. 78o-5.
---------------------------------------------------------------------------

    Type of Review: Renewal of a currently approved collection. The 
collection has not changed. The OCC asks only that OMB approve its 
revised estimates and extend its approval of the forms.
    Affected Public: Businesses or other for-profit; individuals.
    Estimated Number of Respondents: 19 (8 government securities 
dealers; 1 municipal securities dealer; and 10 municipal and government 
securities dealers).
    Estimated Number of Responses: 802. Frequency of Response: On 
occasion.
    Estimated Annual Burden: 735.5 burden hours.
    Comments submitted in response to this notice will be summarized 
and included in the request for OMB approval. All comments will become 
a

[[Page 10717]]

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.

    Dated: February 24, 2016.
Mary Hoyle Gottlieb,
Regulatory Specialist, Legislative & Regulatory Activities Division.
[FR Doc. 2016-04354 Filed 2-29-16; 8:45 am]
 BILLING CODE 4810-33-P