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Federal forms, ICRs, and supporting documents

Information Collection Request

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

ICR 202503-3064-002 · OMB 3064-0093 · Active

Forms and Documents
DocumentTypeStatusAvailability
Form G-FIN-5 Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Dealer Form and Instruction Modified Repair queued
Form G-FIN-5 Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer Form and Instruction Modified Repair queued
Form G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer Form and Instruction Modified Available
Form G-FIN-4 Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer Form and Instruction Modified Repair queued
Form G-FINW Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer Form Modified Repair queued
Form G-FINW Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer Form Modified Repair queued
Form G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities Form Modified Available
Form G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Form Modified Repair queued
SPST-0093 Notices from Govt Securities Dealers 2025 Renewal FINAL.docx Supporting Statement A Uploaded 2025-03-27 Available
SPST-0093 Notices from Govt Securities Dealers 2025 Renewal FINAL.docx Supporting Statement A Uploaded 2025-03-27 Repair queued
30 Day Notice (FR2) - 0093.pdf Supplementary Document Uploaded 2025-03-25 Repair queued
30 Day Notice (FR2) - 0093.pdf Supplementary Document Uploaded 2025-03-25 Repair queued
60 Day Notice (FR1) - 0093.pdf Supplementary Document Uploaded 2025-03-25 Available
60 Day Notice (FR1) - 0093.pdf Supplementary Document Uploaded 2025-03-25 Repair queued
IC Document Collections
IC IDCollectionTypeStatusForm
235137 Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer Form and Instruction ModifiedUniform Termination Notice for Persons Associated with a Financial Institution Government Securities Dealer
235137 Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer Form and Instruction Modified
235136 Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer Form and Instruction ModifiedDisclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer
235136 Disclosure Form for Person Associated with a Financial Institution Securities Broker or Dealer Form and Instruction Modified
235118 Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer Form ModifiedNotice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer
235118 Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer Form Modified
235118 Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer Instruction Modified
235116 Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Form ModifiedNotice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities
235116 Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Form Modified
235116 Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Instruction Modified
ICR Details
3064-0093 202503-3064-002
Active 202306-3064-004
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 06/02/2025
Retrieve Notice of Action (NOA) 03/28/2025
  Inventory as of this Action Requested Previously Approved
06/30/2028 36 Months From Approved 05/31/2025
10 0 12
11 0 21
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
  90 FR 8027 01/23/2025
90 FR 13600 03/25/2025
No
  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 10 12 0 0 -2 0
Annual Time Burden (Hours) 11 21 0 0 -10 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
$0
No
    Yes
    Yes
No
No
No
No
Robert Meiers 571 645-3062 [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.
03/28/2025