Form MSD Application For Registration As A Municipal Securities Dealer (SEC1534) {MSD} | Pdf Fpdf Doc Docx | Official Federal Forms

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Form MSD Application For Registration As A Municipal Securities Dealer (SEC1534) {MSD} | Pdf Fpdf Doc Docx | Official Federal Forms

Form MSD Application For Registration As A Municipal Securities Dealer (SEC1534) {MSD}

This is a Official Federal Forms form that can be used for Securities And Exchange Commission.

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0083 January 31, 2 017 Expires: Estimated average burden 1.5 hours per response ....... FORM MSD APPLICATION FOR REGISTRATION AS A MUNICIPAL SECURITIES DEALER PURSUANT TO RULE 15Ba2-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934 OR AMENDMENT TO SUCH APPLICATION GENERAL INSTRUCTIONS A. Use of Form This form is to be used by a bank or a separately identifiable department or division of a bank (as defined by the Municipal Securities Rulemaking Board) to apply for registration as a municipal securities dealer with the Securities and Exchange Commission pursuant to section 15B(a) of the Securities Exchange Act of 1934 (the "Act"), or to amend such application. If applicant is a department or division of a bank, the application or amendment shall be deemed to have been made by the bank on behalf of the applicant. B. Presentation of Information All information required by Form MSD must be submitted in typewritten or printed manner on the prescribed form or mechanical reproductions thereof. The execution page on each copy of the form must contain an original manual signature of the appropriate duly authorized individual. Mechanical reproductions of signatures for this purpose are not acceptable. All other pages containing correct information may be mechanically reproduced by any method producing clear, legible copies of identical type size. Retain one exact copy for your records. Additional copies of Form MSD are available from the Securities and Exchange Commission, Washington, D.C. 20549. C. Signature Form MSD shall be signed in the name of the applicant by a principal officer of the applicant or, if applicant is a department or division of a bank, by a principal officer of the bank, in each case duly authorized to sign this Form, who is directly engaged in the management, direction or supervision of the applicant's municipal securities dealer activities. D. Additional Space If the space provided for any answer on Form MSD, other than the Schedules to the Form, is insufficient, the answer may be completed on an additional sheet attached to the Form and appropriately identified. E. Names Individuals' names, except for executing signatures, shall be given in full wherever required (last name, first name, middle name). The full middle name is required. Initials are not acceptable unless the individual legally has only an initial. If so,indicate this after the initial. F. Acceptance for Filing A Form MSD which is not prepared and executed in compliance with applicable requirements may be returned as not acceptable for filing. However, acceptance of this Form shall not constitute any finding that it has been filed as required or that the information submitted is true, current, or complete. G. General Definitions a. Unless the context clearly indicates otherwise or unless otherwise specified in these instructions, all terms used in Form MSD have the same meaning as in the Act and the General Rules and Regulations of the Securities and Exchange Commission. In particular, the terms "self-regulatory organization," "rules of a self-regulatory organization," "municipal securities," "municipal securities dealer," "person associated with a municipal securities dealer," "municipal securities investment portfolio," "appropriate regulatory agency," and "records" shall have the respective meanings set forth in sections 3(a)(26), 3(a)(28), 3(a)(29), 3(a)(30), 3(a)(32), 3(a)(33), 3(a)(34), and 3(a)(37) of the Act. b. Jurisdiction -- The term "jurisdiction" means a state, a territory, the District of Columbia, the Commonwealth of Puerto Rico, or any SEC1534 (02-08) Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. American LegalNet, Inc. www.FormsWorkFlow.com subdivision or regulatory body thereof. c. Person -- The term "person" includes a corporation, partnership, other organization, trust and estate, as well as natural person. d. Municipal securities dealer activities -- The term "municipal securities dealer activities" has the meaning set forth in Municipal Securities Rulemaking Board rule G-1(b), which defines the terms "separately identifiable department or division of a bank" for purposes of Section 3(a)(30) of the Securities Exchange Act of 1934. H. Amendments The information contained in Form MSD is of a continuing nature and must be updated or amended periodically in the event any of the information previously submitted to the Commission becomes incomplete or inaccurate. Where an item is being amended, only those items which are being amended or which have changed since the previous filing need to be filed, except that a completed page one and a completed execution page, manually signed, must be filed with each amendment. WHEN ANY ITEM ON A PAGE IS AMENDED, IT IS NECESSARY TO ANSWER IN FULL ALL OTHER ITEMS ON THE PAGE BEING AMENDED. I. Items Not Applicable If Form MSD is being filed as an application for registration, all applicable items must be answered in full. If any item is not applicable, indicate by "none" or "N/A" as appropriate. J. Schedules to Form Each Schedule to Form MSD is deemed to be a part of the Form. K. Filing of Form Form MSD must be filed in triplicate with the Securities and Exchange Commission, Washington, D.C. 20549. The execution page of each copy shall contain an original manual signature. In addition, an original signed copy of the Form must be filed with the applicant's appropriate regulatory agency, determined in accordance with section 3(a)(34) of the Act. Applicants which are national banks, or departments or divisions of such banks, must file Form MSD with the Comptroller of the Currency, Credit & Market Risk, 250 E Street, SW, MS 9-14, Washington, D.C. 20219; applicants which are State member banks of the Federal Reserve System, or departments or division of such banks, must file Form MSD with the Board of Governors of the Federal Reserve System, Risk Policy Section, Mail Stop 1810, 20th and C Streets, NW, Washington, D.C. 20551; applicants which are banks insured by the Federal Deposit Insurance Corporation (other than members of the Federal Reserve System), or departments or divisions of such banks, must file Form MSD with the Federal Deposit Insurance Corporation, 550 17th Street, NW,Washington, D.C. 20429; applicants which are federal sav

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