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.
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.
Title 17 published on 16-Dec-2017 03:45
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 449 after this date.
- 17 CFR 400.5 — Amendments to Application for Registration and to Notice of Status as a Government Securities Broker or Dealer.
- 17 CFR 400.1 — Scope of Regulations.
- 17 CFR 404.4 — Records to Be Made and Preserved by Government Securities Brokers and Dealers That Are Financial Institutions.
- 17 CFR 400.2 — Office Responsible for Regulations; Filing of Requests for Exemptions, for Interpretations and of Other Materials.