12 C.F.R. § 10.2 Filing requirements.
Title 12 - Banks and Banking
(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 250 E Street, SW., Washington, DC 20219, Attention: Bank Dealer Activities. [63 FR 29094, May 28, 1998, as amended at 63 FR 71343, Dec. 24, 1998]
Title 12: Banks and Banking
PART 10—MUNICIPAL SECURITIES DEALERS
§ 10.2 Filing requirements.
