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

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

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3064-0093 can be found here:

Documents and Forms

Document Name Document Type
Form G-FIN Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks) Form
FR_G-FIN20070401 INST.pdf Instruction
FR_G-FINW20070401 INST.pdf Instruction
G-FIN Notice by Financial Institutions of Government Securitie G-FIN (31 DEC 2015).pdf www.occ.gov/tools-forms/forms/capital-markets/gfin.pdf Form
G-FINW Notice By Financial Institutions of Termination of Activ G-FIN-W (31 DEC 2015).pdf www.occ.gov/tools-forms/forms/capital-markets/gfinw.pdf Form
G-FIN-4 Disclosure Form for Person Associated with a Financial I G-FIN-4 FDIC Form.pdf Form and Instruction
G-FIN-5 Uniform Termination Notice for Persons Associated With a G-FIN-5 FDIC Form.pdf Form and Instruction

Information Collection (IC) Details

IC Title:	Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 401

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	G-FIN	Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities	G-FIN (31 DEC 2015).pdf	http://www.occ.gov/tools-forms/forms/capital-markets/gfin.pdf	Yes	No	Printable Only
Instruction			FR_G-FIN20070401 INST.pdf		Yes	No	Printable Only
Form	G-FINW	Notice By Financial Institutions of Termination of Activities as a Government Securities Broker of Government Securities Dealer	G-FIN-W (31 DEC 2015).pdf	http://www.occ.gov/tools-forms/forms/capital-markets/gfinw.pdf	Yes	No	Printable Only
Instruction			FR_G-FINW20070401 INST.pdf		Yes	No	Printable Only
Form and Instruction	G-FIN-4	Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer	G-FIN-4 FDIC Form.pdf		Yes	No	Printable Only
Form and Instruction	G-FIN-5	Uniform Termination Notice for Persons Associated With a Financial Institution Government Securities Broker of Dealer	G-FIN-5 FDIC Form.pdf		Yes	No	Printable Only

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 17	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Previously Approved
Annual Number of Responses for this IC	17	17
Annual IC Time Burden (Hours)	17	17
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded
No associated records found

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.