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

Forms and Documents

Document Name	Status
Form G-FIN-5 Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer Form and Instruction	New
Form G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer Form and Instruction	New
Form G-FINW Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer Form	New
Form G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Form	New
SPST-0093 Notices from Government Securities Dealers 2019 Renewal.doc Supporting Statement A	2019-02-28
FR2-0093 Notices Required of Government Securitues Dealers or Brokers 84 FR 3776 Feb 13 2019.pdf Supplementary Document	2019-02-27
FR1-0093 Notices Required of Government Securitues Dealers or Brokers 83 FR 59382 Nov 23 2018.pdf Supplementary Document	2019-02-27

IC Document Collections

IC ID	Document Title	Status
44173	Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks) Instruction	Removed
235137	Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer Form and Instruction	New
235136	Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer Form and Instruction	New
235118	Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer Form	New
235116	Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Form	New

ICR Details

OMB Control No: 3064-0093	ICR Reference No: 201902-3064-008
Status: Active	Previous ICR Reference No: 201512-3064-001
Agency/Subagency: FDIC	Agency Tracking No:
Title: Notices Required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/05/2019
	Date Received in OIRA: 03/01/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2022	36 Months From Approved	04/30/2019
Responses	8	0	17
Time Burden (Hours)	13	0	17
Cost Burden (Dollars)	0	0	0

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Abstract: The Government Securities Act of 1986 requires all financial institutions acting as government securities brokers and dealers to notify their federal regulatory agencies of their broker-dealer activities, unless exempted from the notice requirement by Treasury Department regulation.

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Authorizing Statute(s): US Code: 15 USC 78o-5 Name of Law: Government Securities Act of 1986
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 59382	11/23/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 3776	02/13/2019
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

IC Title	Form No.	Form Name
Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer	G-FINW	Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer
Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)	G-FIN-5, G-FINW, G-FIN-4, G-FIN	Notice By Financial Institutions of Termination of Activities as a Government Securities Broker of Government Securities Dealer ,   Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer ,   Uniform Termination Notice for Persons Associated With a Financial Institution Government Securities Broker of Dealer ,   Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities
Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN)	G-FIN	Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities
Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer	G-FIN-4	Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer
Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer	G-FIN-5	Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Dealer

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	8	17	0	0	-9	0
Annual Time Burden (Hours)	13	17	0	0	-4	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 03/01/2019

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