Form G-FIN, Form G-FINW, Form G-FIN-4, and Form G-FIN-5

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form G-FIN-5	Form and Instruction	New	Repair queued
Form G-FIN-5	Form and Instruction	New	Repair queued
Form G-FIN-4	Form and Instruction	New	Repair queued
Form G-FIN-4	Form and Instruction	New	Repair queued
Form G-FINW	Form	New	Available
Form G-FINW	Form	New	Repair queued
Form G-FIN	Form	New	Repair queued
Form G-FIN	Form	New	Missing upstream
Supporting Statement (Form G-FIN, Form G-FINW, Form G-FIN-4, Form G-FIN-5).pdf	Supporting Statement A	Uploaded 2025-09-12	Repair queued
Supporting Statement (Form G-FIN, Form G-FINW, Form G-FIN-4, Form G-FIN-5).pdf	Supporting Statement A	Uploaded 2025-09-12	Repair queued
20250912_3235-XXXX_G-FIN_2025-17678_90 FR 44261_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2025-09-12	Repair queued
20250912_3235-XXXX_G-FIN_2025-17678_90 FR 44261_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2025-09-12	Repair queued
2025 07 08_90 FR 30119_3235-XXXX_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2025-07-08	Repair queued
2025 07 08_90 FR 30119_3235-XXXX_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2025-07-08	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
275973	Form G-FIN-5	Form and Instruction	New	Form G-FIN-5
275973	Form G-FIN-5	Form and Instruction	New
275972	Form G-FIN-4	Form and Instruction	New	Form G-FIN-4
275972	Form G-FIN-4	Form and Instruction	New
275971	Form G-FINW	Form	New	Form G-FINW
275971	Form G-FINW	Form	New
275971	Form G-FINW	Instruction	New
275970	Form G-FIN	Form	New	Form G-FIN
275970	Form G-FIN	Form	New
275970	Form G-FIN	Instruction	New

ICR Details

OMB Control No: 3235-0818	ICR Reference No: 202506-3235-008
Status: Active	Previous ICR Reference No:
Agency/Subagency: SEC	Agency Tracking No: TM
Title: Form G-FIN, Form G-FINW, Form G-FIN-4, and Form G-FIN-5
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 01/16/2026
Retrieve Notice of Action (NOA)	Date Received in OIRA: 09/12/2025
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2029	36 Months From Approved
Responses	4	0	0
Time Burden (Hours)	5	0	0
Cost Burden (Dollars)	0	0	0

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Abstract: Certain financial institutions that are government securities brokers or government securities dealers submit information regarding their government securities activities to their appropriate regulatory authority (ARA) on the forms in this collection. The information on the forms is used by ARAs to ensure compliance with Section 15C(a)(1)(B) of the Securities Exchange Act of 1934 and with the rules of the Department of the Treasury. The SEC is an ARA, but it has not had any of these forms filed with it in the past and does not expect any to be filed with it in the future. An OMB number is being requested, with a single estimated respondent for each form, in the event circumstances changes.

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Authorizing Statute(s): US Code: 15 USC 78o-5 Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 30119	07/08/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 44261	09/12/2025
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

table that charts list of burden

IC Title	Form No.	Form Name
Form G-FIN	N/A	Form G-FIN
Form G-FIN-4	N/A	Form G-FIN-4
Form G-FIN-5	N/A	Form G-FIN-5
Form G-FINW	N/A	Form G-FINW

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	4	0	0	4	0	0
Annual Time Burden (Hours)	5	0	0	5	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The forms have historically not been filed with the Commission. We don't anticipate that any will be in the future, but we are requesting an OMB Control number in the event circumstances changes. The attached Supporting Statement discusses the collections and estimated burdens in more detail.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 09/12/2025

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