17 CFR 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.

Regulations last checked for updates: Apr 23, 2024

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

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

§ 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.

This form is to be used by financial institutions that are government securities brokers or dealers to notify the appropriate regulatory agency of the fact that an associated person is no longer associated with the government securities broker or dealer function of the financial institution. The form is promulgated by the Department of the Treasury 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 449.4