Form SEC1588 Form MSDW

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM MSDW
Notice of Withdrawal From Registration as a Municipal Securities Dealer
Pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1)
Read instruction sheet before preparing form. Please print or type.
IN COMPLIANCE WITH THE APPLICABLE SECURITIES LAWS,
THE REGISTRANT HEREBY SUBMITS THE FOLLOWING INFORMATION:
1. Registrant is a:

Bank

Department or Division of a Bank

2. Full name of registrant:

3. Name under which municipal securities dealer activities are conducted, if different from above:

4. Address of actual location of registrant’s principal place of business:

No. and Street

City

State

Zip Code

5. a. If registrant is a department or division of a bank, name, principal business address, mailing address, if different, and
telephone number of bank:

Name

No. and Street
City
Address of bank’s principal place of business:

State

Zip Code

No. and Street

State

Zip Code

City

b. Telephone Number:
Area Code

Telephone Number

6. In connection with its activities as a municipal securities dealer, does registrant owe any money or securities to any
customer, broker, dealer, or municipal securities dealer?
Yes
If answer is “yes” furnish all the following information:

No

(a) Amount of money owed
(b) Market value of securities owed
(c) Arrangements made for payment

7. Is registrant involved in any legal action or proceeding?
If so, furnish complete information with respect to each.

Persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB control number.

Yes

No

SEC1588 (08-25)

8. Are there any unsatisfied judgments or liens against registrant?
If so, furnish complete information regarding each judgment and lien.

Yes

No

9. Furnish below the name and address of the person who has or will have custody or possession of registrant’s books and
records with respect to registrant’s activities as a municipal securities dealer:

Name

No. and Street

City

State

Zip Code

10. Furnish below the address of the place where such books and records will be located:

No. and Street

City

State

Zip Code

11. EXECUTION. The registrant submitting this Form and its attachments and the person executing it to the best of the undersigned’s knowledge
and belief and on the basis of diligent inquiry, represent hereby that it, and all materials filed in connection with it, contain a true, correct and
complete statement of all required information.
Registrant also consents hereby to make the books and records he is required to preserve by rule or regulation of the Securities and Exchange
Commission or the Municipal Securities Rulemaking Board available for examination by authorized representatives of the Securities and
Exchange Commission during the period such rules require that such books and records be preserved; and hereby authorizes the person having
custody of such books and records to make them available.
Dated the

day of

ATTENTION
Intentional misstatements or
omissions of facts constitute
federal criminal violations.

(Name of Registrant)
(Manual signature of duly authorized officer)

(See 18 U.S.C. 1001 and
15 U.S.C. 78ff(a).)

(Title)

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Form MSDW General Instructions
1.

This
Form
is
required
by
Securities
Exchange
Act
Rule
15Bc3-1
(17
CFR
240.15Bc3-1),
which
states:
Rule
15Bc3-1

Withdrawal
from
registration
of
municipal
securities
dealers.

(a) Notice
of
withdrawal
from
registration
as
a
municipal
securities
dealer
pursuant
to
Section
15B(c)
shall
be
filed
on
Form
MSDW,
in
the
case
of
a
municipal
securities
dealer
which
is
a
bank
or
a
separately
identifiable
department
or
division
of
a
bank,
or
Form
BDW,
in
the
case
of
any
other
municipal
securities
dealer,
in
accordance
with
the
instructions
contained
therein.
(b) Except
as
hereinafter
provided,
a
notice
to
withdraw
from
registration
filed
by
a
municipal
securities
dealer
pursuant
to
Section
15B(c)
shall
become
effective
for
all
matters
on
the
60th
day
after
the
filing
thereof
with
the
Commission
or
within
such
shorter
period
of
time
as
the
Commission
may
determine.
If
a
notice
to
withdraw
from
registration
is
filed
with
the
Commission
at
any
time
subsequent
to
the
date
of
the
issuance
of
a
Commission
order
instituting
proceedings
pursuant
to
Section
15B(c)
to
censure,
place
limitations
on
the
activities,

functions
or
operations
of,
or
suspend
or
revoke
the
registration
of,
such
municipal
securities
dealer,
or
if,
before
the
effective
date
of
the

notice
of
withdrawal
pursuant
to
this
paragraph
(b),
the
Commission
institutes
such
a
proceeding
or
a
proceeding
to
impose
terms
or
conditions
upon
such
withdrawal,
the
notice
of
withdrawal
shall
not
become
effective
pursuant
to
this
paragraph
(b)
except
at
such
time
and
upon
such
terms
and
conditions
as
the
Commission
deems
necessary
or
appropriate
in
the
public
interest
or
for
the
protection
of
investors.
(c) Every
notice
of
withdrawal
filed
pursuant
to
this
section
shall
constitute
a
“report”
within
the
meaning
of
Sections
17
and
32(a)
of
the
Act.

2.

One
signed
original
and
one
signed
copy
of
this
Form
must
be
completed
and
filed
with
the
Securities
and
Exchange
Commission,
Washington,

D.C.
20549,
before
registration
as
a
municipal
securities
dealer
may
be
terminated.
An
exact
copy
should
be
retained
by
the
registrant.

In
addition,
an
original
signed
copy
of
the
Form
must
be
filed
with
registrant’s
appropriate
regulatory
agency,
determined
in
accordance
with
section
3(a)(34)
of
the
Securities
Exchange
Act
of
1934.
Registrants
which
are
national
banks,
or
departments
or
divisions
of
such
banks,
must

file
Form
MSDW
with
the
Comptroller
of
the
Currency,
Credit
&
Market
Risk,
250
E
Street,
SW,
MS
9-14,Washington,
D.C.
20219;
registrants
which
are
State
member
banks
of
the
Federal
Reserve
System,
or
departments
or
divisions
of
such
banks,
must
file
Form
MSDW
with
the

Board
of
Governors
of
the
Federal
Reserve
System,
Risk
Policy Section,
Mail
Stop
1810,
20th
and
C
Streets,
NW,
Washington,
D.C.
20551;

registrants
which
are
banks
insured
by
the
Federal
Deposit
Insurance
Corporation
(other
than
members
of
the
Federal
Reserve
System),
or
departments
or
divisions
of
such
banks,
must
file
Form
MSDW
with
the
Federal
Deposit
Insurance
Corporation,
550
17th
Street,
NW,
Washington,
D.C.
20429;
registrants
which
are
federal
savings
associations,
or
departments
or
divisions
of
such
savings
associations,
must
file

Form
MSDW
with
Office
of
Thrift
Supervision,
Assistant
Managing
Director,
Examinations
and
Supervision
Policy,
1700
G
Street,
NW,
Washington,
D.C.
20552.

3.

Both
copies
of
this
Form
filed
with
the
Commission
shall
be
executed
with
a
manual
signature
in
Item
11.
Form
MSDW
shall
be
signed
in
the

name
of
the
registrant
by
a
principal
officer
of
the
registrant
or,
if
the registrant
is
a
department
or
division
of
a
bank,
by
a
principal
officer
of

the bank,
in
each
case
duly
authorized
to
sign
this
Form,
who
is
directly
engaged
in
the
management,
direction,
or
supervision
of
the

registrant’s municipal
securities
dealer
activities.

4.

Individuals’
names,
except
the
executing
signature
in
Item
11,
must
be
given
in
full,
and
all
other
items
must
be
answered
in
full.

5.

If
the
space
provided
for
any
answer
is
insufficient,
the
complete
answer
should
be
prepared
on
a
separate
sheet
under
the
heading
“Answer
to
Item
____
”
and
attached
to
the
Form.
Reference
thereto
must
be
made
on
the
Form
under
the
Item.

6.

A
Form
MSDW
which
is
not
completed
and
signed
properly
may
be
returned
as
not
acceptable
for
filing.
Acceptance
of
this
Form,
however,

will
not
mean
that
the
Commission
has
found
that
it
has
been
filed
as
required
or
that
the
information
submitted
is
true,
correct,
or
complete.

7.

Definitions:
(a) Unless
the
context
clearly
indicates
otherwise,
all
terms
used
in
this
Form
have
the
same
meaning
as
in
the
Securities
Exchange
Act
of
1934

and
in
the
General
Rules
and
Regulations
of
the
Commission
thereunder
(17
Code
of
Federal
Regulations,
Part
240).
(b) Municipal
securities
dealer
activities
—
The
term
“municipal
securities
dealer
activities”
includes:
(1) underwriting,
trading
and
sales
of
municipal
securities;
(2) processing
and
clearance
activities
with
respect
to
municipal
securities;
(3) research,
analysis
and
the
preparation
of
literature
for
use
in
connection
with
the
activities
described
in
(1)
above;
and
(4) maintenance
of
records
pertaining
to
the
activities
described
in
(1)
through
(3)
above.

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