Information Collection

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

IC 44173 under ICR 201902-3064-008 · OMB 3064-0093.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3064-0093 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)	Form
Form G-FINW Notice By Financial Institutions of Termination of Activities as a Government Securities Broker of Government Securities Dealer Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)	Form
Form G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)	Form and Instruction
Form G-FIN-5 Uniform Termination Notice for Persons Associated With a Financial Institution Government Securities Broker of Dealer Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)	Form and Instruction
FR_G-FIN20070401 INST.pdf	Instruction
FR_G-FINW20070401 INST.pdf	Instruction
G-FIN Notice by Financial Institutions of Government Securitie G-FIN (31 DEC 2015).pdf www.occ.gov/tools-forms/forms/capital-markets/gfin.pdf	Form
G-FINW Notice By Financial Institutions of Termination of Activ G-FIN-W (31 DEC 2015).pdf www.occ.gov/tools-forms/forms/capital-markets/gfinw.pdf	Form
G-FIN-4 Disclosure Form for Person Associated with a Financial I G-FIN-4 FDIC Form.pdf	Form and Instruction
G-FIN-5 Uniform Termination Notice for Persons Associated With a G-FIN-5 FDIC Form.pdf	Form and Instruction

Information Collection (IC) Details

View Information Collection (IC)

IC Title:

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

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Removed

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 401

Information Collection Instruments:

table that charts list of instruments
Document Type	Form No.	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	G-FIN	http://www.occ.gov/tools-forms/forms/capital-markets/gfin.pdf	Yes	No	Printable Only
Instruction			Yes	No	Printable Only
Form	G-FINW	http://www.occ.gov/tools-forms/forms/capital-markets/gfinw.pdf	Yes	No	Printable Only
Instruction			Yes	No	Printable Only
Form and Instruction	G-FIN-4		Yes	No	Printable Only
Form and Instruction	G-FIN-5		Yes	No	Printable Only

Federal Enterprise Architecture Business Reference Module

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 17

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
	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	-17	17
Annual IC Time Burden (Hours)	-17	17
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
No associated records found

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

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