12 CFR 10.2
§ 10.2 Filing requirements.
United States · 12 CFR — Banks and Banking · Status: effective
Cite this
- Citation
- 12 CFR 10.2, § 10.2 Filing requirements, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/43053
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Full text
(a) A national bank or Federal savings association 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) from a person identified in § 10.1(b). A national bank or Federal savings association 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 or Federal savings association shall 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 national bank or Federal savings association as a municipal securities principal or municipal securities representative.
(c) Forms MSD-4 and MSD-5, with instructions, may be obtained at http://www.banknet.gov/.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.