Notice2025-17678
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Request for a New OMB Control Number: Form G-FIN, Form G-FINW, Form G-FIN-4, and Form G-FIN-5
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
September 12, 2025
Issuing agencies
Securities and Exchange Commission
Full Text
<html>
<head>
<title>Federal Register, Volume 90 Issue 175 (Friday, September 12, 2025)</title>
</head>
<body><pre>
[Federal Register Volume 90, Number 175 (Friday, September 12, 2025)]
[Notices]
[Pages 44261-44262]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2025-17678]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-XXXX]
Agency Information Collection Activities; Submission for OMB
Review; Comment Request; Request for a New OMB Control Number: Form G-
FIN, Form G-FINW, Form G-FIN-4, and Form G-FIN-5
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (SEC or ``Commission'') is submitting to the Office of
Management and Budget (``OMB'') this request for a new OMB Control
Number for the collection of information in Form G-FIN, Form G-FINW,
Form G-FIN-4, and Form G-FIN-5.
Under Section 15C(a)(1)(B) of the Securities Exchange Act of 1934
(``Act'') and regulations adopted by the Department of the Treasury,
certain financial institutions that are government securities brokers
or government securities dealers submit information regarding their
government securities activities to their appropriate regulatory
authority (``ARA'') on the Form G-FIN, 17 CFR 499.1, Form G-FINW, 17
CFR 449.2, Form G-FIN-4, 17 CFR 449.3, and Form G-FIN-5, 17 CFR 449.4.
The Commission is designated as the ARA for certain of these financial
institutions.1 These institutions have not been engaged in government
securities activities in the past and, therefore, have not been
required to file the forms with the Commission. We do not anticipate
that these financial institutions will submit the forms in the future,
but we are requesting an OMB Control Number in the event circumstances
change.
The information collections in the forms are mandatory and, if any
financial institutions are required to file the forms with the
Commission, the Commission would use the information to ensure that
financial institutions and persons who are or are seeking to be
associated persons of financial institutions are in compliance with
Section 15C(a)(1)(B) of the Act and with the rules of the Department of
the Treasury. As a placeholder, the Commission staff estimates that
there would be one respondent per year for each form, and that the
estimated annual burden for filing the Form G-FIN is 1.25 hours, the
Form G-FINW is .5 hours, the Form G-FIN-4 is 2.25 hours, and the Form
G-FIN-5 is 1.25 hours. Information filed on Form G-FIN and Form G-FINW
is available to the public, while the information provided by each
respondent on Form G-FIN-4 and G-FIN-5 is regarded as confidential.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB Control Number.
Written comments are invited on: (a) whether this proposed
collection of information is necessary for the proper performance of
the functions of the SEC, including whether the information will have
practical utility; (b) the accuracy of the SEC's estimate of the burden
imposed by the proposed collection of information, including the
validity of the methodology and the assumptions used; (c) ways to
enhance the quality, utility, and clarity of the information to be
collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated,
electronic collection techniques or other forms of information
technology.
The public may view and comment on this information collection
request at: <a href="https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202506-3235-008">https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202506-3235-008</a> or email comment to
<a href="/cdn-cgi/l/email-protection#763b342e58393b3458393f243758253335291213051d291910101f15130436191b145813190658111900"><span class="__cf_email__" data-cfemail="28656a700667656a0667617a69067b6d6b774c4d5b4377474e4e414b4d5a6847454a064d4758064f475e">[email protected]</span></a> within 30 days of the day
after publication of this notice, by October 14, 2025.
[[Page 44262]]
Dated: September 10, 2025.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2025-17678 Filed 9-11-25; 8:45 am]
BILLING CODE 8011-01-P
</pre><script data-cfasync="false" src="/cdn-cgi/scripts/5c5dd728/cloudflare-static/email-decode.min.js"></script></body>
</html>Indexed from Federal Register on September 12, 2025.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.