Reporting Form FR MSD-4 Uniform Application and Termination Notices for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer

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Reporting Form

FR MSD-4 Uniform Application and Termination Notices for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer

Description:

Financial institutions submit the interagency MSD-4 and MSD-5 forms for the employees in their municipal securities dealer departments. The FR MSD-4 is the source document for initial information submitted to each regulatory agency; it collects information, such as personal history and professional qualifications, on an employee whom the bank wishes to assume the duties of a municipal securities principal or representative. The FR MSD-5 is the source document for updating the information when an associated person's employment is terminated for any reason; it collects the date of, and reason for, termination of such an employee.

Subjects:

Applications/Structure

Audiences:

Financial Institutions

Form and Instructions: Offsite

Current and historical versions of this form and their instructions are maintained on the Board of Governors' website in PDF format.

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