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BankNet
More resources for national banks

Municipal and Government Securities Dealers

A national bank may choose to register as either a municipal securities dealer or a government securities dealer or both. Generally, bank dealer activities include underwriting, dealing in, and trading with or on behalf of customers. Registered bank dealer activities expose the bank to significant compliance and reputation risk. These activities also expose the bank to transaction risk from securities processing, credit risk from issuers or counterparties, and price risk from maintaining a securities inventory.

Forms

Form G-FIN - Notice of Government Securities Broker or Government Securities Dealer Activities (PDF 60 KB)

Form G-FIN-4 - Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer (PDF 154 KB)

Form G-FIN-5 - Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer (PDF 95 KB)

Form G-FINW - Notice by a Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer (PDF 53 KB)

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 (PDF 123 KB)

Form MSD-4 - Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer (PDF 65 KB)

Form MSD-5 - Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer (PDF 84 KB)

Form MSDW - Notice of Withdrawal From Registration as a Municipal Securities Dealer Pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1) (PDF 59 KB)


Related News and Issuances
Publish DateIdentifierTitle
04/14/2014  Alert 2014-17, Lost Cashier's Checks and Money Orders of MB Financial Bank, N.A., Chicago, Ill.
04/11/2014  NR 2014-58, Comptroller Highlights the Importance of Risk Management at Banker Forum
04/10/2014  NR 2014-57, Office of the Comptroller of the Currency Recognizes National Financial Capability Month at Capitol Hill Event