1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter IV - DEPARTMENT OF THE TREASURY
  4. Subchapter A - REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
  5. Part 449 - FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
  6. 17 CFR § 449.1
17 CFR § 449.1
Form G-FIN, notification by financial institutions of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934
April 15, 2021
CFR

This form is to be used by financial institutions that are government securities brokers or dealers not exempt under part 401 of this chapter to notify their appropriate regulatory agency of their status. The form is promulgated by the Board of Governors of the Federal Reserve System and is available from the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, the Federal Deposit Insurance Corporation, and the SEC.

[52 FR 27956, July 24, 1987, as amended at 79 FR 38456, July 8, 2014]

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§ 449.2 Form G-FINW, notification by financial institutions of cessation of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and §400.6 of this chapter

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