Title 17--Commodity and Securities Exchanges

CHAPTER IV--DEPARTMENT OF THE TREASURY

PART 449--FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934

TEXT PDF449.1 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.
TEXT PDF449.2 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.
TEXT PDF449.3 Form G-FIN-4, notification by persons associated with financial institutions that are government securities brokers and dealers pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and 400.4 of this chapter.
TEXT PDF449.4 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.
TEXT PDF449.5 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.

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