OMB control number

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

OMB 3064-0093 · FDIC.

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 2028-06-30 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 Dealer Form and Instruction
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-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-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 Form
Form G-FIN Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Form
SPST-0093 Notices from Govt Securities Dealers 2025 Renewal FINAL.docx Supporting Statement A
SPST-0093 Notices from Govt Securities Dealers 2025 Renewal FINAL.docx Supporting Statement A
30 Day Notice (FR2) - 0093.pdf Supplementary Document
60 Day Notice (FR1) - 0093.pdf Supplementary Document
60 Day Notice (FR1) - 0093.pdf Supplementary Document
Uniform Termination Notice for Persons Associated with a Financial Institution Government Securities Broker or Dealer Form and Instruction
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
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 Termination of Activities as a Government Securities Broker or Government Securities Dealer Form
Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer Instruction
Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Form
Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Form
Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN) Instruction

All Historical Document Collections

202503-3064-002	Extension without change of a currently approved collection	2025-03-28
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

Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (G-FIN)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form G-FIN

Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities

Fillable Printable

Form

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