Application For Registration As A Municipal Securities Dealer
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13OMB APPROVAL
OMB Number:
3235-0083
Expires:
January 31, 2 020
Estimated average burden
UNITED STATES
hours per response .......
1.5
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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
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.
SEC1534 (02-08)
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