Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)

Form G-FINW

Instructions for completing
Termination of Activities as a Government Securities
Broker or Government Securities Dealer
1. When to file

2. How and where to file: Number of copies

A financial institution that has filed a Notice of Government Securities Broker or Government Securities Dealer Activities (Form
G-FIN) pursuant to section 15C(a)(1)(B) of the Securities
Exchange Act of 1934 must file this notice with its appropriate
regulatory agency (ARA) when the financial institution ceases to act
as a government securities broker or government securities dealer.
A notice to terminate activities as a Government Securities
Broker or Government Securities Dealer shall become effective
for all matters on the 60th day after filing this notice unless the
financial institution is otherwise notified by its ARA.

Each financial institution must file two copies of the notice with its
ARA, one of which will be sent by the ARA to the SEC. Both copies
of this notice filed with the ARA shall be executed with a manual
signature in Item 5. The notice shall be signed in the name of the
financial institution by a principal officer who was directly engaged
in the management, direction, or supervision of the financial
institution's government securities broker or dealer activities.