OMB control number
Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities; Notice by Financial Institutions of Termination of Activities as a Government Securities Br
OMB 7100-0224 · FRS.
OMB 7100-0224
The Securities Exchange Act of 1934, as amended (the Act), requires financial institutions to notify their appropriate regulatory agency (ARA) prior to using the mails or any means or instrumentality of interstate commerce to engage in government securities broker or dealer activities, and to notify their ARA upon terminating such activities. The Board is the ARA for state member banks, foreign banks, uninsured state branches or state agencies of foreign banks, commercial lending companies owned or controlled by foreign banks, and Edge Act corporations (collectively, Board-regulated financial institutions). A Board-regulated financial institution must use Form G-FIN to register as a government securities broker or dealer or to amend a previously submitted Form G-FIN and must use Form G-FINW to notify the Board of its termination of such activities.
The latest form for Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities; Notice by Financial Institutions of Termination of Activities as a Government Securities Br expires 2026-08-31 and is listed under ICR 202302-7100-006.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 Form Form G-FINW Reporting Form G-FINW | Form |
| Form Form G-FIN Reporting Form G-FIN | Form |
| Form Form G-FINW Recordkeeping Form G-FINW | Form |
| Form Form G-FIN Recordkeeping Form G-FIN | Form |
| FormGFIN_FormGFINW_20230222_omb.pdf | Supporting Statement A |
 Reporting Form G-FINW |
Form |
| Reporting Form G-FIN |
Form |
| Recordkeeping Form G-FINW |
Form |
| Recordkeeping Form G-FIN |
Form |
All Historical Document Collections
OMB Details
Reporting Form G-FIN
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight
| Form | Name | Electronic access | Type |
|---|---|---|---|
| Form Form G-FIN | Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities | www.federalreserve.gov/apps/reportingforms | Form |
| Form | www.federalreserve.gov/apps/reportingforms | Instruction |
Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.