Notices Required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)

OMB 3064-0093

The Government Securities Act of 1986 requires all financial institutions acting as government securities brokers and dealers to notify their federal regulatory agencies of their broker-dealer activities, unless exempted from the notice requirement by Treasury Department regulation.

The latest form for Notices Required of Government Securities Dealers or Brokers (Insured State Nonmember Banks) expires 2022-04-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Form G-FIN-5 Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer Form and Instruction
Form G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer Form and Instruction
Form G-FINW Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer Form
Form G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Form
Justification Memo Non Substantive Revisions 3064-0093 June 2023.docx Justification for No Material/Nonsubstantive Change
SPST-0093 Notices from Government Securities Dealers 2022 Renewal FINAL.docx Supporting Statement A
FR2-0093 Notices Required of Government Securities Dealers 87 FR 7449 February 9, 2022.pdf Supplementary Document
FR1-0093 Notices Required of Government Securities Dealers 86 FR 69033 December 6 2021 .pdf Supplementary Document
Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer Form and Instruction
Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer Form and Instruction
Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer Form
Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Form

All Historical Document Collections

202306-3064-004 Approved without change	No material or nonsubstantive change to a currently approved collection	2023-06-08
202201-3064-004 Approved without change	Extension without change of a currently approved collection	2022-02-17
201902-3064-008 Approved without change	Extension without change of a currently approved collection	2019-03-01
201512-3064-001 Approved without change	Extension without change of a currently approved collection	2015-12-18
201210-3064-002 Approved without change	Extension without change of a currently approved collection	2012-10-31
200907-3064-004 Approved without change	Revision of a currently approved collection	2009-09-16
200607-3064-009 Approved without change	Extension without change of a currently approved collection	2006-07-12
200307-3064-006 Approved without change	Extension without change of a currently approved collection	2003-07-07
200005-3064-003 Approved without change	Extension without change of a currently approved collection	2000-05-22
199706-3064-003 Approved without change	Extension without change of a currently approved collection	1997-06-10
199305-3064-002 Approved without change	Revision of a currently approved collection	1993-05-03
199005-3064-002 Approved without change	Revision of a currently approved collection	1990-05-04
198904-3064-006 Approved with change	No material or nonsubstantive change to a currently approved collection	1989-04-10
198808-3064-013 Approved with change	No material or nonsubstantive change to a currently approved collection	1988-08-11
198710-3064-002 Approved without change	New collection (Request for a new OMB Control Number)	1987-10-15

OMB Details

Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form G-FIN-5	Uniform Termination Notice for Persons Associated With a Financial Institution Government Securities Broker of Dealer	Printable Only	Form and instruction
Form G-FIN	Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities	www.occ.gov/tools-forms/forms/capital-markets/gfin.pdf	Form
Form G-FIN-4	Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer	Printable Only	Form and instruction
Form G-FINW	Notice By Financial Institutions of Termination of Activities as a Government Securities Broker of Government Securities Dealer	www.occ.gov/tools-forms/forms/capital-markets/gfinw.pdf	Form

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.