Information Collection

Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer

IC 235137 under ICR 202306-3064-004 · 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⚠️ Notice: This information collection may be referencing outdated material.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-5 Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer	Form and Instruction
G-FIN-5 Uniform Termination Notice for Persons Associated with a G-FIN-5.pdf	Form and Instruction
G-FIN-5 Uniform Termination Notice for Persons Associated with a G-FIN-5.pdf	Form and Instruction

IC Title:

Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Unchanged

Obligation to Respond: Mandatory

CFR Citation: 17 CFR Part 401 (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-5	Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Dealer	G-FIN-5.pdf		Yes	No	Fillable Printable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title:

FR Citation:

Number of Respondents: 1

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
	Approved	Previously Approved
Annual Number of Responses for this IC	5	5
Annual IC Time Burden (Hours)	10	10
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.