Form G-FINW Notice By Financial Institutions of Termination of Activ

Form G-FINW
Reporting Burden—Public reporting burden for this collection of information is estimated to average 15 minutes per response, including the time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments
regarding this burden estimate or any other aspect of the collection of information, including suggestions for reducing this burden, to the Office of Information and
Regulatory Affairs, Office of Management and Budget, Washington, DC 20503, and to one of the following: Secretary, Board of Governors of the Federal Reserve System,
20th and C Streets, NW, Washington, DC 20551; Assistant Executive Secretary (Administration), Room F-400, Federal Deposit Insurance Corporation, Washington, DC
20429; Legislative and Regulatory Analysis Division, Office of the Comptroller of the Currency, Washington, DC 20219; Chief Counsel’s Office, Office of Thrift Supervision,
1700 G Street, NW, Washington, DC 20552; or to Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.
An agency may not conduct or sponsor, and an organization (or a person) is not required to respond to, a collection of information unless it displays a currently valid OMB
control number.

Notice By Financial Institutions of Termination
of Activities as a Government Securities
Broker or Government Securities Dealer
(This booklet includes instructions and blank forms.)
Board of Governors of the Federal Reserve System
OMB No. 7100-0224

Federal Deposit Insurance Corporation
OMB No. 3064-0093

Office of the Comptroller of the Currency
OMB No. 1557-0184

Office of Thrift Supervision
OMB No. 1550-0019

Securities and Exchange Commission
OMB No. 3235-0083

This notice is required by law [15 U.S.C. 78o-5(a)(1)(B)].

Form G-FINW

FR G-FINW
OMB No. 7100–0224
Average hours per response: 0.25
Approval expires March 31, 2007
OFFICIAL USE

Notice by Financial Institutions of Termination of Activities as a Government
Securities Broker or Government Securities Dealer
1. Appropriate regulatory agency (check one):
A.
B.
C.

Comptroller of the Currency
Board of Governors of the Federal Reserve System
Federal Deposit Insurance Corporation

D.
E.

Office of Thrift Supervision
Securities and Exchange Commission

2. A. Full name of the financial institution:

B. Address of principal office of financial institution:

C. Mailing address if different from (B):

3. Furnish the name and address of the person who has or will have custody or possession of the financial institution's books and records
with respect to the financial institution's activities as a government securities broker or government securities dealer:
Full Name

Last

First

Middle

Address

4. Furnish the address of the place where such books and records will be located:

5. The financial institution submitting this notice of termination of activities and the person executing it represent that all of the
information contained herein is true, current and complete.
Please print name and title of person executing this notice:
First

Manual Signature

Middle

Last

Title

Date

Form G-FINW

Instructions for completing
Termination of Activities as a Government Securities
Broker or Government Securities Dealer
1. When to file

2. How and where to file: Number of copies

A financial institution that has filed a Notice of Government Securities Broker or Government Securities Dealer Activities (Form
G-FIN) pursuant to section 15C(a)(1)(B) of the Securities
Exchange Act of 1934 must file this notice with its appropriate
regulatory agency (ARA) when the financial institution ceases to act
as a government securities broker or government securities dealer.
A notice to terminate activities as a Government Securities
Broker or Government Securities Dealer shall become effective
for all matters on the 60th day after filing this notice unless the
financial institution is otherwise notified by its ARA.

Each financial institution must file two copies of the notice with its
ARA, one of which will be sent by the ARA to the SEC. Both copies
of this notice filed with the ARA shall be executed with a manual
signature in Item 5. The notice shall be signed in the name of the
financial institution by a principal officer who was directly engaged
in the management, direction, or supervision of the financial
institution's government securities broker or dealer activities.