Information Collection

Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer

IC 235136 under ICR 202503-3064-002 · OMB 3064-0093.

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer	Form and Instruction
Form G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer	Form and Instruction
G-FIN-4 Disclosure Form for Person Associated with a Financial I G-FIN-4.pdf	Form and Instruction
G-FIN-4 Disclosure Form for Person Associated with a Financial I G-FIN-4.pdf	Form and Instruction
Justification Memo Non Substantive Revisions 3064-0093 June 2023.docx Justification Memo for Non-Substantive Revision June 2023	IC Document
Justification Memo Non Substantive Revisions 3064-0093 June 2023.docx Justification Memo for Non-Substantive Revision June 2023	IC Document

Information Collection (IC) Details

View Information Collection (IC)

IC Title:

Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Modified

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-4				Yes	No	Fillable Printable

Federal Enterprise Architecture Business Reference Module

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title: Professional Qualification Records for Municipal Securities Dealers, Municipal Securities Representatives and U.S. Government Securities Broker/Dealers

FR Citation: 84 FR 35184

Number of Respondents: 2

Number of Respondents for Small Entity: 0

Affected Public: Individuals or Households

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	-3	5
Annual IC Time Burden (Hours)	4	-6	10
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

table that charts IC Documents
Title	Document	Date Uploaded
Justification Memo for Non-Substantive Revision June 2023		06/08/2023

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

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