Title 17

PART 449 Part 449 - Forms, Section 15c Of The Securities Exchange Act Of 1934

PART 449 - FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 Authority:15 U.S.C. 78o-5(a), (b)(1)(B), (b)(4). Source:52 FR 27956, July 24, 1987, unless otherwise noted.

Authority: 15 U.S.C. 78o-5(a), (b)(1)(B), (b)(4).
Source: 52 FR 27956, July 24, 1987, unless otherwise noted.

17:4.0.2.1.8.0.154.1	SECTION 449.1	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.
17:4.0.2.1.8.0.154.2	SECTION 449.2	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.
17:4.0.2.1.8.0.154.3	SECTION 449.3	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 § 400.4 of this chapter.
17:4.0.2.1.8.0.154.4	SECTION 449.4	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 § 400.4 of this chapter.
17:4.0.2.1.8.0.154.5	SECTION 449.5	449.5 Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §§ 405.2 and 405.3 of this chapter.