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 § 449.5
17 CFR § 449.5
Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §§405.2 and 405.3 of this chapter
April 15, 2021
CFR

This form is to be used by registered government securities brokers and dealers to make the monthly, quarterly and annual financial reports required by part 405 of this chapter. The form is promulgated by the Department of the Treasury and is available from the SEC and the designated examining authorities.

Editorial Note: For Federal Register citations affecting Form G-405, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

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§ 449.4 Form G-FIN-5, notification of termination of association with a financial institution that is a government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and §400.4 of this chapter

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