Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities; Notice by Financial Institutions of Termination of Activities as a Government Securities Br

OMB 7100-0224

OMB 7100-0224

The Securities Exchange Act of 1934, as amended (the Act), requires financial institutions to notify their appropriate regulatory agency (ARA) prior to using the mails or any means or instrumentality of interstate commerce to engage in government securities broker or dealer activities, and to notify their ARA upon terminating such activities. The Board is the ARA for state member banks, foreign banks, uninsured state branches or state agencies of foreign banks, commercial lending companies owned or controlled by foreign banks, and Edge Act corporations (collectively, Board-regulated financial institutions). A Board-regulated financial institution must use Form G-FIN to register as a government securities broker or dealer or to amend a previously submitted Form G-FIN, and must use Form G-FINW to notify the Board of its termination of such activities.

The latest form for Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities; Notice by Financial Institutions of Termination of Activities as a Government Securities Br expires 2023-02-28 and can be found here.

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Revision of a currently approved collection 1995-02-21
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Extension without change of a currently approved collection 1993-04-23
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Revision of a currently approved collection 1990-06-06
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No material or nonsubstantive change to a currently approved collection 1989-06-06
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No material or nonsubstantive change to a currently approved collection 1989-04-28
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New collection (Request for a new OMB Control Number) 1987-06-30
OMB Details

Reporting Form G-FIN

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form Form G-FINNotice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activitieswww.federalreserve.gov/apps/reportforms/default.aspxForm
Form www.federalreserve.gov/apps/reportforms/default.aspxOther
Form www.federalreserve.gov/apps/reportforms/default.aspxOther
Form www.federalreserve.gov/apps/reportforms/default.aspxInstruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.


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