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)

OMB: 3064-0093

IC ID: 235136

Information Collection (IC) Details

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Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer
 
No Modified
 
Mandatory
 
17 CFR Part 401  (To search for a specific CFR, visit the Code of Federal Regulations.)

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 Securities Broker or Dealer G-FIN-4.pdf Yes No Fillable Printable

Economic Development Financial Sector Oversight

Professional Qualification Records for Municipal Securities Dealers, Municipal Securities Representatives and U.S. Government Securities Broker/Dealers  80 FR 66982

1 0
   
Individuals or Households
 
   0 %

  Approved Program Change Due to New Statute Program Change Due to Agency Discretion Change Due to Adjustment in Agency Estimate Change Due to Potential Violation of the PRA Previously Approved
Annual Number of Responses for this IC 5 0 0 4 0 1
Annual IC Time Burden (Hours) 10 0 0 8 0 2
Annual IC Cost Burden (Dollars) 0 0 0 0 0 0

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

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