12 CFR 10.2 - Filing requirements.
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(a) A national bank shall use Form MSD-4 (Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer) for obtaining the information required by MSRB Rule G-7(b)(i)-(x) from a person identified in§ 10.1(b). A national bank receiving a completed MSD-4 form from a person identified in § 10.1(b) must submit this form to the OCC before permitting the person to be associated with it as a municipal securities principal or a municipal securities representative.
(b) A national bank must submit Form MSD-5 (Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer) to the OCC within 30 days of terminating a person's association with the bank as a municipal securities principal or municipal securities representative.
(c) Forms MSD-4 and MSD-5, with instructions, may be obtained by contacting the OCC at 400 7th Street SW., Washington, DC 20219, Attention: Bank Dealer Activities.
Title 12 published on 2015-01-01.
No entries appear in the Federal Register after this date, for 12 CFR Part 10.