Recordkeeping Form G-FINW

INSTRUCTIONS FOR COMPLETING

Termination of Activities as a
Government Securities Broker or
Government Securities Dealer
FR G-FINW

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.

2. How and where to file: Number
of copies
Each financial institution must file the number of copies of this notice as required by its ARA, a copy of
which will be sent by the ARA to the SEC. 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. 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.

GEN-1
FR G-FINW

August 2019