Information Collection

Implementing Regulations: Government Securities Act of 1986, as amended

IC 39270 under ICR 202407-1530-001 · OMB 1530-0064.

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form G-FIN-4 Implementing Regulations: Government Securities Act of 1986, as amended	Form and Instruction
G-405 Part2inst_Apr2018.pdf treasurydirect.gov/forms/gsrg405pt2ainstr.pdf	Instruction
G-405 Part2inst_Apr2018.pdf treasurydirect.gov/forms/gsrg405pt2ainstr.pdf	Instruction
G-405PART2Ainst_Apr2018.pdf treasurydirect.gov/forms/gsrg405pt2ainstr.pdf	Instruction
G-405PART2Ainst_Apr2018.pdf treasurydirect.gov/forms/gsrg405pt2ainstr.pdf	Instruction
G-FIN-4 Disclosure Form for Person Associated with a Financial I gsrgfin4.pdf treasurydirect.gov/forms/gsrgfin4.pdf	Form and Instruction
G-FIN-4 Disclosure Form for Person Associated with a Financial I gsrgfin4.pdf treasurydirect.gov/forms/gsrgfin4.pdf	Form and Instruction
G-FIN-5 Uniform Termination Notice for Person Associated with a gsrgfin5.pdf treasurydirect.gov/forms/gsrgfin5.pdf	Form and Instruction
G-FIN-5 Uniform Termination Notice for Person Associated with a gsrgfin5.pdf treasurydirect.gov/forms/gsrgfin5.pdf	Form and Instruction
G-405 PART I Report on Finances and Operations of Government Securiti gsrg405pt1_Apr2018.pdf treasurydirect.gov/forms/gsrg405pt1.pdf	Form and Instruction
G-405 PART I Report on Finances and Operations of Government Securiti gsrg405pt1_Apr2018.pdf treasurydirect.gov/forms/gsrg405pt1.pdf	Form and Instruction
G-405 PART II Report on Finances and Operations of Government Securiti G-405Part2Form_Apr2018.pdf www.treasurydirect.gov/forms/gsrg405pt2.pdf	Form
G-405 PART II Report on Finances and Operations of Government Securiti G-405Part2Form_Apr2018.pdf www.treasurydirect.gov/forms/gsrg405pt2.pdf	Form
G-405 PART IIA Report on Finances and Operations of Government Securiti G-405Part2Aform_Apr2018.pdf treasurydirect.gov/forms/gsrg405pt2a.pdf	Form
G-405 PART IIA Report on Finances and Operations of Government Securiti G-405Part2Aform_Apr2018.pdf treasurydirect.gov/forms/gsrg405pt2a.pdf	Form
G-405 PART III Report on Finances and Operations of Government Securiti G-405 Part III Form_Apr2018.pdf treasurydirect.gov/forms/gsrg405pt3.pdf	Form and Instruction
G-405 PART III Report on Finances and Operations of Government Securiti G-405 Part III Form_Apr2018.pdf treasurydirect.gov/forms/gsrg405pt3.pdf	Form and Instruction
G-405 SCH I Report on Finances and Operations of Government Securiti G-405Sched1_Apr2018.pdf treasurydirect.gov/forms/gsrg405sched1.pdf	Form and Instruction
G-405 SCH I Report on Finances and Operations of Government Securiti G-405Sched1_Apr2018.pdf treasurydirect.gov/forms/gsrg405sched1.pdf	Form and Instruction
Form for Submitting a Report in Accordance with Treasury Screenshot_Webform for Large Position Report.pdf treasurydirect.gov/laws-and-regulations/gsa/lpr-form/	Form and Instruction
Form for Submitting a Report in Accordance with Treasury Screenshot_Webform for Large Position Report.pdf treasurydirect.gov/laws-and-regulations/gsa/lpr-form/	Form and Instruction

Information Collection (IC) Details

View Information Collection (IC)

IC Title:

Implementing Regulations: Government Securities Act of 1986, as amended

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Required to Obtain or Retain Benefits

CFR Citation: 17 CFR IV (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-4	Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer	gsrgfin4.pdf	https://treasurydirect.gov/forms/gsrgfin4.pdf	Yes	No	Fillable Printable
Form and Instruction	G-FIN-5	Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer	gsrgfin5.pdf	https://treasurydirect.gov/forms/gsrgfin5.pdf	Yes	No	Fillable Printable
Form and Instruction	G-405 PART I	Report on Finances and Operations of Government Securities Brokers and Dealers	gsrg405pt1_Apr2018.pdf	https://treasurydirect.gov/forms/gsrg405pt1.pdf	Yes	No	Fillable Printable
Form	G-405 PART II	Report on Finances and Operations of Government Securities Brokers and Dealers	G-405Part2Form_Apr2018.pdf	https://www.treasurydirect.gov/forms/gsrg405pt2.pdf	Yes	No	Fillable Printable
Instruction			G-405 Part2inst_Apr2018.pdf	https://treasurydirect.gov/forms/gsrg405pt2ainstr.pdf	Yes	No	Printable Only
Form	G-405 PART IIA	Report on Finances and Operations of Government Securities Brokers and Dealers	G-405Part2Aform_Apr2018.pdf	https://treasurydirect.gov/forms/gsrg405pt2a.pdf	Yes	No	Fillable Printable
Instruction			G-405PART2Ainst_Apr2018.pdf	https://treasurydirect.gov/forms/gsrg405pt2ainstr.pdf	Yes	No	Paper Only
Form and Instruction	G-405 PART III	Report on Finances and Operations of Government Securities Brokers and Dealers	G-405 Part III Form_Apr2018.pdf	https://treasurydirect.gov/forms/gsrg405pt3.pdf	Yes	No	Fillable Printable
Form and Instruction	G-405 SCH I	Report on Finances and Operations of Government Securities Brokers and Dealers	G-405Sched1_Apr2018.pdf	https://treasurydirect.gov/forms/gsrg405sched1.pdf	Yes	No	Fillable Printable
Form and Instruction	NA	Form for Submitting a Report in Accordance with Treasuryâs Large Position Reporting Rules (17 CFR part 420)	Screenshot_Webform for Large Position Report.pdf	https://treasurydirect.gov/laws-and-regulations/gsa/lpr-form/	Yes	Yes	Fillable Fileable

Federal Enterprise Architecture Business Reference Module

Line of Business: General Government

Subfunction: Central Fiscal Operations

Privacy Act System of Records

Title: United States Securities

FR Citation: 76 FR 51128

Number of Respondents: 2,879

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	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	2,879	209	2,670
Annual IC Time Burden (Hours)	206,293	-8,818	215,111
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
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Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.