OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

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

ICR 201902-3064-008 · OMB 3064-0093 · Active

Forms and Documents
DocumentTypeStatusAvailability
Form G-FIN-5 Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer Form and Instruction New Repair queued
Form G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer Form and Instruction New Repair queued
Form G-FINW Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer Form New Repair queued
Form G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Form New Repair queued
SPST-0093 Notices from Government Securities Dealers 2019 Renewal.doc Supporting Statement A Uploaded 2019-02-28 Available
FR2-0093 Notices Required of Government Securitues Dealers or Brokers 84 FR 3776 Feb 13 2019.pdf Supplementary Document Uploaded 2019-02-27 Available
FR1-0093 Notices Required of Government Securitues Dealers or Brokers 83 FR 59382 Nov 23 2018.pdf Supplementary Document Uploaded 2019-02-27 Available
IC Document Collections
IC IDCollectionTypeStatusForm
44173 Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks) Instruction Removed
235137 Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer Form and Instruction New
235136 Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer Form and Instruction New
235118 Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer Form New
235116 Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Form New
ICR Details
3064-0093 201902-3064-008
Active 201512-3064-001
FDIC
Notices Required of Government Securities Dealers or Brokers (Insured State Nonmember Banks)
Extension without change of a currently approved collection   No
Regular
Approved without change 04/05/2019
Retrieve Notice of Action (NOA) 03/01/2019
  Inventory as of this Action Requested Previously Approved
04/30/2022 36 Months From Approved 04/30/2019
8 0 17
13 0 17
0 0 0
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.
US Code: 15 USC 78o-5 Name of Law: Government Securities Act of 1986
  
None
Not associated with rulemaking
  83 FR 59382 11/23/2018
84 FR 3776 02/13/2019
No
4
IC Title Form No. Form Name
Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer G-FINW Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer
Notices required of Government Securities Dealers or Brokers (Insured State Nonmember Banks) G-FIN-5, G-FINW, G-FIN-4, G-FIN Notice By Financial Institutions of Termination of Activities as a Government Securities Broker of Government Securities Dealer ,   Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer ,   Uniform Termination Notice for Persons Associated With a Financial Institution Government Securities Broker of Dealer ,   Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities
Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities
Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer
Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer G-FIN-5 Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Dealer
  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 8 17 0 0 -9 0
Annual Time Burden (Hours) 13 17 0 0 -4 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
$0
No
    Yes
    Yes
No
No
No
Uncollected
Manuel Cabeza 202 898-3781 [email protected]
  No
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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
03/01/2019