17 CFR 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 § 400.6 of this chapter.
This form is to be used by financial institutions that are government securities brokers or dealers to notify their appropriate regulatory agency that they have ceased to function as a government securities broker or dealer. 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.
- 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.
- 17 CFR 400.6 — Notice of Withdrawal From Business as a Government Securities Broker or Dealer by a Financial Institution.