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Regulations last checked for updates: Nov 21, 2024
Title 17 - Commodity and Securities Exchanges last revised: Nov 19, 2024
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Title 17
Chapter IV
Part 449 - PART 449—FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
§ 449.1 - Form G-FIN, notification by financial institutions of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934.
§ 449.2 - Form G-FINW, notification by financial institutions of cessation of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and of this chapter.
§ 449.3 - Form G-FIN-4, notification by persons associated with financial institutions that are government securities brokers and dealers pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and of this chapter.
§ 449.4 - Form G-FIN-5, notification of termination of association with a financial institution that is a government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and of this chapter.
§ 449.5 - Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §and 405.3 of this chapter.
authority:
15 U.S.C. 78o-5
(a), (b)(1)(B), (b)(4)
source:
52 FR 27956, July 24, 1987, unless otherwise noted.
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