Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer

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⚠️ Notice: This information collection may be referencing outdated material.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-5 Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer Form and Instruction
G-FIN-5 Uniform Termination Notice for Persons Associated with a G-FIN-5.pdf Form and Instruction
G-FIN-5 Uniform Termination Notice for Persons Associated with a G-FIN-5.pdf Form and Instruction

Information Collection (IC) Details

IC Title:	Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR Part 401 (To search for a specific CFR, visit the Code of Federal Regulations.)

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	G-FIN-5	Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Dealer	G-FIN-5.pdf		Yes	No	Fillable Printable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 1	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	5	5
Annual IC Time Burden (Hours)	10	10
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.