Code of Federal Regulations > Title 17 > Chapter IV > Part 449 - PART 449—FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934

U.S. Code of Federal Regulations

Regulations most recently checked for updates: Aug 27, 2025

§ 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.

§ 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 of this chapter.

§ 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 of this chapter.

§ 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 of this chapter.

§ 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 §and 405.3 of this chapter.