17 CFR 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.

Regulations last checked for updates: Nov 22, 2024

Title 17 - Commodity and Securities Exchanges last revised: Nov 19, 2024

View all text of Part 449 [§ 449.1 - § 449.5]

§ 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.

This form is to be used by financial institutions that are government securities brokers or dealers not exempt under part 401 of this chapter to notify their appropriate regulatory agency of their status. The form is promulgated by the Board of Governors of the Federal Reserve System and is available from the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, the Federal Deposit Insurance Corporation, and the SEC.

[52 FR 27956, July 24, 1987, as amended at 79 FR 38456, July 8, 2014]

authority: 15 U.S.C. 78o-5(a), (b)(1)(B), (b)(4)

source: 52 FR 27956, July 24, 1987, unless otherwise noted.

cite as: 17 CFR 449.1