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 449.5 - Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and Sections 405.2 and 405.3 of this chapter

17 C.F.R. § 449.5

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Current through May 31, 2024
Section 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 Sections 405.2 and 405.3 of this chapter

This form is to be used by registered government securities brokers and dealers to make the monthly, quarterly and annual financial reports required by part 405 of this chapter. The form is promulgated by the Department of the Treasury and is available from the SEC and the designated examining authorities.

17 C.F.R. §449.5

For FEDERAL REGISTER citations affecting Form G-405, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.