Reporting Form FR G-FINW Notices by Financial Institutions to Engage in or to Cease Government Securities Broker or Government Securities Dealer Activities

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Reporting Form

FR G-FINW Notices by Financial Institutions to Engage in or to Cease Government Securities Broker or Government Securities Dealer Activities

Description:

A financial institution that intends to engage in broker or dealer activities must notify its regulator by using the Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (FR G-FIN). This notice collects the institution's identifying information and the names and titles of its managers of government securities activities; this notice requires the institution to state whether any person associated with the respondent's government securities activities has been involved in disciplinary proceedings related to securities sales. A financial institution that intends to cease engaging in broker or dealer activities must notify its regulator by using the Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer (FR G-FINW).

Subjects:

Government Securities

Audiences:

Financial Institutions

Form and Instructions: Offsite

Current and historical versions of this form and their instructions are maintained on the Board of Governors' website in PDF format.

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