Notices Required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form G-FIN-5 Uniform Termination Notice for Persons Associated With a Financial Institution Government Securities Broker of Dealer	Form and Instruction	Modified	Repair queued
Form G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer	Form and Instruction	Modified	Available
Form G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities	Form	Modified	Available
Form G-FINW Notice By Financial Institutions of Termination of Activities as a Government Securities Broker of Government Securities Dealer	Form	Modified	Available
SPST-0093 Ntcs Rqrd of Scrts Dlrs or Brkrs 10-26-12 .doc	Supporting Statement A	Uploaded 2012-10-26	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
44173	Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)	Form and Instruction	Modified	Uniform Termination Notice for Persons Associated With a Financial Institution Government Securities Broker of Dealer
44173	Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)	Form and Instruction	Modified	Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer
44173	Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)	Instruction	Modified
44173	Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)	Form	Modified	Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities
44173	Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)	Form	Modified	Notice By Financial Institutions of Termination of Activities as a Government Securities Broker of Government Securities Dealer

ICR Details

OMB Control No: 3064-0093	ICR Reference No: 201210-3064-002
Status: Historical Active	Previous ICR Reference No: 200907-3064-004
Agency/Subagency: FDIC	Agency Tracking No:
Title: Notices Required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/09/2012
Retrieve Notice of Action (NOA)	Date Received in OIRA: 10/31/2012
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2015	36 Months From Approved	12/31/2012
Responses	17	0	49
Time Burden (Hours)	17	0	49
Cost Burden (Dollars)	0	0	0

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Abstract: The Government Securities Act of 1986 requires all financial institutions acting as government securities brokers and dealers to notify their federal regulatory agencies of their broker-dealer activities, unless exempted from the notice requirement by Treasury Department regulation.

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 38816	06/06/2012
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 65883	10/31/2012
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)	G-FINW, G-FIN-5, G-FIN-4, G-FIN	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 Broker of Government Securities Dealer ,   Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer ,   Uniform Termination Notice for Persons Associated With a Financial Institution Government Securities Broker of Dealer

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	17	49	0	0	-32	0
Annual Time Burden (Hours)	17	49	0	0	-32	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The current burden estimate reflects an adjustment of -32 hours based on a decrease in the government securities activities of FDIC-supervised institutions.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 10/31/2012

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