[Federal Register Volume 87, Number 94 (Monday, May 16, 2022)]
[Notices]
[Pages 29782-29783]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[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:
     Email: [email protected].
     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.
     Hand Delivery/Courier: 400 7th Street SW, Suite 3E-218, 
Washington, DC 20219.
     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 www.reginfo.gov 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.
     Viewing Comments Electronically: Go to www.reginfo.gov. 
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.
     For assistance in navigating www.reginfo.gov, 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]
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