Agency Information Collection Activities: Information Collection Revision; Comment Request; Municipal Securities Dealers and Government Securities Brokers and Dealers-Registration and Withdrawal, 12324-12325 [2019-06155]
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Federal Register / Vol. 84, No. 62 / Monday, April 1, 2019 / Notices
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
Office of the Comptroller of the
Currency (OCC), Treasury.
ACTION: Notice and request for
comment.
AGENCY:
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 May 31, 2019.
ADDRESSES: Commenters are encouraged
to submit comments by email, if
possible. You may submit comments by
any of the following methods:
• Email: prainfo@occ.treas.gov.
• Mail: Chief Counsel’s Office, 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
SUMMARY:
VerDate Sep<11>2014
17:22 Mar 29, 2019
Jkt 247001
confidential or inappropriate for public
disclosure.
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 1 by any of the
following methods:
• Viewing Comments Electronically:
Go to www.reginfo.gov. Click on the
‘‘Information Collection Review’’ tab.
Underneath the ‘‘Currently under
Review’’ section heading, from the dropdown 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.
• Viewing Comments Personally: You
may personally inspect comments at the
OCC, 400 7th Street SW, Washington,
DC. 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 hearing
impaired, TTY, (202) 649–5597. Upon
arrival, visitors will be required to
present valid government-issued photo
identification and submit to security
screening in order to inspect comments.
FOR FURTHER INFORMATION CONTACT:
Shaquita Merritt, Clearance Officer,
(202) 649–5490 or, for persons who are
deaf or hearing impaired, TTY, (202)
649–5597, Chief Counsel’s Office, Office
of the Comptroller of the Currency, 400
7th Street SW, Suite 3E–218,
Washington, DC 20219.
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
1 Following the close of the 60-day comment
period for this notice, the OCC will publish a notice
for 30 days of comment for this collection.
PO 00000
Frm 00135
Fmt 4703
Sfmt 4703
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,2 MSD–
4, MSD–5, G–FIN, G–FINW, GFIN–4
and GFIN–5.3
Abstract: This information collection
is required to satisfy the requirements of
section 15B 4 and section 15C 5 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.
The OCC proposes to revise Form
MSD–4 and Form MSD–5 to: (1) Remove
the date of birth and place of birth items
from the ‘‘Personal History of the
Applicant’’ section of the Form MSD–4
report form and instructions; and (2)
include the OCC’s Privacy Act notice on
the respective Form MSD–4 and Form
MSD–5. The proposed revisions would
be effective June 1, 2019.
The date of birth and place of birth
data fields are considered personally
identifiable information (PII), and the
OCC generally does not need these
fields in order to perform their
2 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.
3 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.
4 15 U.S.C. 78o–4.
5 15 U.S.C. 78o–5.
E:\FR\FM\01APN1.SGM
01APN1
Federal Register / Vol. 84, No. 62 / Monday, April 1, 2019 / Notices
supervisory responsibilities regarding
applications to become municipal
securities principals or representatives
but could obtain this information on a
case-by-case basis when needed. The
OCC is making an effort to remove PII
from its supervisory reports if that PII is
not critical to fulfilling its supervisory
responsibilities.
The OCC also proposes to include its
Privacy Act notice on the forms. The
Privacy Act governs the collection,
maintenance, use, and dissemination of
information about individuals that is
maintained in systems of records by
federal agencies. A system of records is
a group of records under the control of
the agency from which information
about individuals is retrieved by name
of the individual or some identifier
assigned to the individual. Under the
Privacy Act, an agency that maintains a
system of records must provide notice to
individuals, at the point of collection of
information maintained in the system of
records, of: (1) The authority which
authorizes the collection and whether
the collection is mandatory or
voluntary; (2) the purpose of the
collection; (3) the routine uses which
may be made of the information; and (4)
the effects of not disclosing the
information.
Type of Review: Revision of a
currently approved collection.
Affected Public: Businesses or other
for-profit; individuals. Estimated
Number of Respondents: 17 (6
government securities dealers and 11
municipal and government securities
dealers).
Estimated Number of Responses: 672.
Frequency of Response: On occasion.
Estimated Annual Burden: 587
burden hours.
Comments submitted in response to
this notice will be summarized,
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,
VerDate Sep<11>2014
17:22 Mar 29, 2019
Jkt 247001
maintenance, and purchase of services
to provide information.
Dated: March 25, 2019.
Theodore J. Dowd,
Deputy Chief Counsel, Office of the
Comptroller of the Currency.
[FR Doc. 2019–06155 Filed 3–29–19; 8:45 am]
BILLING CODE 4810–33–P
DEPARTMENT OF THE TREASURY
Office of the Comptroller of the
Currency
Agency Information Collection
Activities: Information Collection
Renewal; Submission for OMB Review;
Funding and Liquidity Risk
Management
Office of the Comptroller of the
Currency (OCC), Treasury.
ACTION: Notice and request for
comment.
AGENCY:
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 renewal of its information
collection titled ‘‘Funding and Liquidity
Risk Management.’’ The OCC also is
giving notice that it has sent the
collection to OMB for review.
DATES: Comments must be received by
May 1, 2019.
ADDRESSES: Commenters are encouraged
to submit comments by email, if
possible. You may submit comments by
any of the following methods:
• Email: prainfo@occ.treas.gov.
• Mail: Chief Counsel’s Office, Office
of the Comptroller of the Currency,
Attention: 1557–0244, 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–
0244’’ in your comment. In general, the
OCC will publish comments on
www.reginfo.gov without change,
including any business or personal
SUMMARY:
PO 00000
Frm 00136
Fmt 4703
Sfmt 4703
12325
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.
Additionally, please send a copy of
your comments by mail to: OCC Desk
Officer, 1557–0244, U.S. Office of
Management and Budget, 725 17th
Street NW, #10235, Washington, DC
20503 or by email to oira_submission@
omb.eop.gov.
You may review comments and other
related materials that pertain to this
information collection 1 following the
close of the 30-day comment period for
this notice by any of the following
methods:
• Viewing Comments Electronically:
Go to www.reginfo.gov. Click on the
‘‘Information Collection Review’’ tab.
Underneath the ‘‘Currently under
Review’’ section heading, from the dropdown menu select ‘‘Department of
Treasury’’ and then click ‘‘submit.’’ This
information collection can be located by
searching by OMB control number
‘‘1557–0244’’ or ‘‘Funding and Liquidity
Risk Management.’’ 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.
• Viewing Comments Personally: You
may personally inspect comments at the
OCC, 400 7th Street SW, Washington,
DC. 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 hearing
impaired, TTY, (202) 649–5597. Upon
arrival, visitors will be required to
present valid government-issued photo
identification and submit to security
screening in order to inspect comments.
FOR FURTHER INFORMATION CONTACT:
Shaquita Merritt, Clearance Officer,
(202) 649–5490 or, for persons who are
deaf or hearing impaired, TTY, (202)
649–5597, Chief Counsel’s Office, Office
of the Comptroller of the Currency, 400
1 On December 4, 2018, the OCC published a 60day notice for this information collection, 83 FR
62671.
E:\FR\FM\01APN1.SGM
01APN1
]]>Agencies
[Federal Register Volume 84, Number 62 (Monday, April 1, 2019)]
[Notices]
[Pages 12324-12325]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-06155]
[[Page 12324]]
=======================================================================
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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.
-----------------------------------------------------------------------
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 May 31, 2019.
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, 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.
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 \1\ by any of the following methods:
---------------------------------------------------------------------------
\1\ Following the close of the 60-day comment period for this
notice, the OCC will publish a notice for 30 days of comment for
this collection.
---------------------------------------------------------------------------
Viewing Comments Electronically: Go to www.reginfo.gov.
Click on the ``Information Collection Review'' tab. Underneath the
``Currently under Review'' section heading, from the 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.
Viewing Comments Personally: You may personally inspect
comments at the OCC, 400 7th Street SW, Washington, DC. 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 hearing impaired, TTY, (202) 649-5597. Upon arrival,
visitors will be required to present valid government-issued photo
identification and submit to security screening in order to inspect
comments.
FOR FURTHER INFORMATION CONTACT: Shaquita Merritt, Clearance Officer,
(202) 649-5490 or, for persons who are deaf or hearing impaired, TTY,
(202) 649-5597, Chief Counsel's Office, Office of the Comptroller of
the Currency, 400 7th Street SW, Suite 3E-218, Washington, DC 20219.
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,\2\ MSD-4, MSD-5, G-FIN, G-FINW, GFIN-4 and
GFIN-5.\3\
Abstract: This information collection is required to satisfy the
requirements of section 15B \4\ and section 15C \5\ 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.
---------------------------------------------------------------------------
\2\ 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.
\3\ 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.
\4\ 15 U.S.C. 78o-4.
\5\ 15 U.S.C. 78o-5.
---------------------------------------------------------------------------
The OCC proposes to revise Form MSD-4 and Form MSD-5 to: (1) Remove
the date of birth and place of birth items from the ``Personal History
of the Applicant'' section of the Form MSD-4 report form and
instructions; and (2) include the OCC's Privacy Act notice on the
respective Form MSD-4 and Form MSD-5. The proposed revisions would be
effective June 1, 2019.
The date of birth and place of birth data fields are considered
personally identifiable information (PII), and the OCC generally does
not need these fields in order to perform their
[[Page 12325]]
supervisory responsibilities regarding applications to become municipal
securities principals or representatives but could obtain this
information on a case-by-case basis when needed. The OCC is making an
effort to remove PII from its supervisory reports if that PII is not
critical to fulfilling its supervisory responsibilities.
The OCC also proposes to include its Privacy Act notice on the
forms. The Privacy Act governs the collection, maintenance, use, and
dissemination of information about individuals that is maintained in
systems of records by federal agencies. A system of records is a group
of records under the control of the agency from which information about
individuals is retrieved by name of the individual or some identifier
assigned to the individual. Under the Privacy Act, an agency that
maintains a system of records must provide notice to individuals, at
the point of collection of information maintained in the system of
records, of: (1) The authority which authorizes the collection and
whether the collection is mandatory or voluntary; (2) the purpose of
the collection; (3) the routine uses which may be made of the
information; and (4) the effects of not disclosing the information.
Type of Review: Revision of a currently approved collection.
Affected Public: Businesses or other for-profit; individuals.
Estimated Number of Respondents: 17 (6 government securities dealers
and 11 municipal and government securities dealers).
Estimated Number of Responses: 672.
Frequency of Response: On occasion.
Estimated Annual Burden: 587 burden hours.
Comments submitted in response to this notice will be summarized,
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.
Dated: March 25, 2019.
Theodore J. Dowd,
Deputy Chief Counsel, Office of the Comptroller of the Currency.
[FR Doc. 2019-06155 Filed 3-29-19; 8:45 am]
BILLING CODE 4810-33-P
