Application For Registration As A Municipal Securities Dealer Page 9
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13OFFICIAL USE
FORM MSD Page 6
YES NO
10. (a) If applicant is a bank, does applicant maintain a municipal securities investment portfolio? .....................
(b) If applicant is a bank, does applicant buy and sell municipal securities in a fiduciary capacity or as agent for YES NO
customers? ..............................................................................................................................................
(c) If applicant is a bank, does any person named in item 5 above or any person controlled by applicant in
connection with applicant’s municipal securities dealer activities, including any employee, engage in any YES NO
activities of the bank with respect to municipal securities other than municipal securities dealer activities?
If the answer to (c) is “yes” explain fully on Schedule C, setting forth the name of each such person, if such
person is named in item 5, or the function performed by each such person if not so named, and the nature of
each such person’s activities other than municipal securities dealer activities.
11. How many employees does applicant have engaged in its municipal securities dealer activities?
SUPERVISORY AND MANAGERIAL:
OTHER:
12. If applicant is a department or division of a bank:
(a) Identify on Schedule C each geographic, organizational and operational unit of the bank of which applicant
is a part in which applicant’s municipal securities dealer activities are conducted, specifying the name and
location of each such unit and the nature of the municipal securities dealer activities conducted in each such
unit. Indicate on Schedule C whether any business activities other than municipal securities dealer activities
are conducted in any such unit, and describe the nature of such other activities.
(b) Does any unit of the bank of which applicant is a part, other than those identified in response to item 12(a), YES NO
perform any municipal securities dealer activities? ..................................................................................
If the answer to (b) is “yes,” explain on Schedule C hereto, identifying each such unit and the nature of the
activities performed by such unit.
(c) Are all records relating to applicant’s municipal securities dealer activities maintained separate and apart from YES NO
all other records of the applicant or of the bank of which applicant is a part? ...................................
(
d) Are all records relating to applicant’s municipal securities dealer activities separately extractable from YES NO
applicant’s facilities or from the facilities of the bank of which applicant is a part? ..................................
Describe on Schedule C the manner in which all records relating to applicant’s municipal securities dealer
activities are maintained, including their location, how such records are collected and retrieved, the period of
time required to collect or retrieve any such record, the category of employees having authority to collect or
retrieve such records, and the name of each person who supervises the maintenance of such records.
(e) Are separate financial records maintained with respect to applicant’s municipal securities dealer activities? YES NO
If the answer to (e) is “yes,” explain on Schedule C the nature of such separate financial records.
YES NO
(f) Does the bank of which applicant is a part maintain a municipal securities investment portfolio? ............
(g) Does the bank of which applicant is a part buy and sell municipal securities in a fiduciary capacity or as agent YES NO
for customers? .........................................................................................................................................
(h) Does any person named in item 5 above or any person controlled by applicant in connection with applicant’s
municipal securities dealer activities, including any employee, engage in any activities of the bank with respect YES NO
to municipal securities other than municipal securities dealer activities? ......................................
If the answer to (h) is “yes,” explain fully on Schedule C, setting forth the name of each such person if such
person is named in item 5 or the function performed by each such person if not so named, and the nature of each
such person’s activities other than municipal securities dealer activities. If any of such other activities with
respect to municipal securities are performed by applicant, so specify on Schedule C.
If any item on this page is amended, you must answer in full all other items on this page and file
with a completed page 1, and signed execution page. No Schedule required by any item on this page
need be filed with an amended item unless the Schedule itself is amended.
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