Information Collection

Implementing Regulations: Government Securities Act of 1986, as amended

IC 39270 under ICR 201406-1535-001 · OMB 1535-0089.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 1535-0089 can be found here:

2014-12-18 - Revision of a currently approved collection

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form G-FIN-4 Implementing Regulations: Government Securities Act of 1986, as amended	Form and Instruction
G-405_PART_II_(Instructions).pdf www.treasurydirect.gov/instit/forms/forms_govsec.htm	Instruction
G-405_PART_IIA_(Instructions).pdf www.treasurydirect.gov/instit/forms/forms_govsec.htm	Instruction
G-FIN-4 Disclosure Form for Person Associated with a Financial I G-FIN-4.pdf www.treasurydirect.gov/instit/forms/forms_govsec.htm	Form and Instruction
G-FIN-5 Uniform Termination Notice for Person Associated with a G-FIN-5.pdf www.treasurydirect.gov/instit/forms/forms_govsec.htm	Form and Instruction
G-405 PART I Report on Finances and Operations of Government Securiti G-405_PART_I.pdf www.treasurydirect.gov/instit/forms/forms_govsec.htm	Form and Instruction
G-405 PART II Report on Finances and Operations of Government Securiti G-405_PART_II_(Form).pdf www.treasurydirect.gov/instit/forms/forms_govsec.htm	Form
G-405 PART IIA Report on Finances and Operations of Government Securiti G-405_PART_IIA_(Form).pdf www.treasurydirect.gov/instit/forms/forms_govsec.htm	Form
G-405 PART III Report on Finances and Operations of Government Securiti G-405_PART_III.pdf www.treasurydirect.gov/instit/forms/forms_govsec.htm	Form and Instruction
G-405 SCH I Report on Finances and Operations of Government Securiti G-405_SCH_I.pdf www.treasurydirect.gov/instit/forms/forms_govsec.htm	Form and Instruction
Summary of Burden-GSA Increase for LPR NPRM_(May 2014).xls Summary of Burden - Govt Securities Act	IC Document

Information Collection (IC) Details

View Information Collection (IC)

IC Title:

Implementing Regulations: Government Securities Act of 1986, as amended

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Required to Obtain or Retain Benefits

CFR Citation: 17 CFR IV (To search for a specific CFR, visit the Code of Federal Regulations.)

Information Collection Instruments:

table that charts list of instruments
Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	G-FIN-4	Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer	G-FIN-4.pdf	https://www.treasurydirect.gov/instit/forms/forms_govsec.htm	Yes	No	Fillable Printable
Form and Instruction	G-FIN-5	Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer	G-FIN-5.pdf	https://www.treasurydirect.gov/instit/forms/forms_govsec.htm	Yes	No	Fillable Printable
Form and Instruction	G-405 PART I	Report on Finances and Operations of Government Securities Brokers and Dealers	G-405_PART_I.pdf	https://www.treasurydirect.gov/instit/forms/forms_govsec.htm	Yes	No	Fillable Printable
Form	G-405 PART II	Report on Finances and Operations of Government Securities Brokers and Dealers	G-405_PART_II_(Form).pdf	https://www.treasurydirect.gov/instit/forms/forms_govsec.htm	Yes	No	Fillable Printable
Instruction			G-405_PART_II_(Instructions).pdf	https://www.treasurydirect.gov/instit/forms/forms_govsec.htm	Yes	No	Printable Only
Form	G-405 PART IIA	Report on Finances and Operations of Government Securities Brokers and Dealers	G-405_PART_IIA_(Form).pdf	https://www.treasurydirect.gov/instit/forms/forms_govsec.htm	Yes	No	Fillable Printable
Instruction			G-405_PART_IIA_(Instructions).pdf	https://www.treasurydirect.gov/instit/forms/forms_govsec.htm	Yes	No	Paper Only
Form and Instruction	G-405 PART III	Report on Finances and Operations of Government Securities Brokers and Dealers	G-405_PART_III.pdf	https://www.treasurydirect.gov/instit/forms/forms_govsec.htm	Yes	No	Fillable Printable
Form and Instruction	G-405 SCH I	Report on Finances and Operations of Government Securities Brokers and Dealers	G-405_SCH_I.pdf	https://www.treasurydirect.gov/instit/forms/forms_govsec.htm	Yes	No	Fillable Printable

Federal Enterprise Architecture Business Reference Module

Line of Business: General Government

Subfunction: Central Fiscal Operations

Privacy Act System of Records

Title: United States Securities

FR Citation: 76 FR 51128

Number of Respondents: 3,122

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

table that charts list of burden
	Requested	Program Change Due to New Statute	Previously Approved
Annual Number of Responses for this IC	8,293	8	8,285
Annual IC Time Burden (Hours)	283,090	104	282,986
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
Summary of Burden - Govt Securities Act	Summary of Burden-GSA Increase for LPR NPRM_(May 2014).xls	06/11/2014

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.