Recordkeeping Form G-FINW

Form G-FINW

Instructions for completing
Termination of Activities as a Government Securities
Broker or Government Securities Dealer

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the number of copies of this
notice as required by its
ARA, a copy

2. How and where to file: Number of copies

1. When to file
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.

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Each financial institution must file two
copies of the notice with
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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.
Retain one exact copy for your records for at least three years.

See Section E (How and Where to file: Number
of copies) of the Form G-FIN instructions for
guidance on how to file this report with each
ARA.

DRAFT

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