Description:
A financial institution that intends to engage in broker or dealer activities must notify its regulator by using the Notice by Financial Institutions of Government Securities Broker or Government Securities Dealer Activities (FR G-FIN). This notice collects the institution's identifying information and the names and titles of its managers of government securities activities; the notice requires the institution to state whether any person associated with the respondent's government securities activities has been involved in disciplinary proceedings related to securities sales. A financial institution that intends to cease engaging in broker or dealer activities must notify its regulator by using the Notice by Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer (FR G-FINW).

Subjects:
Government Securities

Audiences:
Financial Institutions