Statutes, codes, and regulations
Code of Federal Regulations
Title 17 - COMMODITY AND SECURITIES EXCHANGESChapter IV - DEPARTMENT OF THE TREASURYSubchapter A - REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
Part 449 - FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
Section 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 Section 400.4 of this chapter

17 C.F.R. § 449.3

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Current through November 30, 2024
Section 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 Section 400.4 of this chapter

This form is to be used by associated persons of financial institutions that are government securities brokers or dealers to provide certain information to the financial institution and the appropriate regulatory agency concerning employment, residence, and statutory disqualification. 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.

17 C.F.R. §449.3

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

For FEDERAL REGISTER citations affecting Form G-FIN-4, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.