G-FINW Notice by Financial Institutions of Termination of Activ

Board of Governors of the Federal Reserve System OMB Number 7100-0224

Approval expires February 28, 2023

Federal Deposit Insurance Corporation

Office of the Comptroller of the Currency

Securities and Exchange Commission

OMB Number 3064-0093

Approval expires March 31, 2025

OMB Number 1557-0184

Approval expires August 31, 2025

OMB Number 3235-0083

Approval expires November 30, 2022

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Notice by Financial Institutions of Termination of Activities

as a Government Securities Broker or

Government Securities Dealer—Form G-FINW

For further information on the requirements to file this notice, please refer to the instructions.

Public reporting burden for this collection of information is estimated to average 15 minutes per response, including the time for reviewing instructions, searching existing data sources, gath-

ering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of the collection of

information, including suggestions for reducing this burden, to the Office of Information and Regulatory Affairs, Office of Management and Budget, Washington, DC 20503, and to one of the

following:

Secretary,

Board of

Governors of

the Federal

Reserve System,

20th and C Streets,

NW,

Washington,

DC 20551; Assistant

Executive Secretary (Administration),

Room F-400,

Federal

Deposit Insurance Corporation, 550 17th Street, NW, Washington, DC 20429; Legislative and Regulatory Activities Division, Office of the Comptroller of the Currency, 400 7th Street,

SW, Washington, DC 20219; or to Securities and Exchange Commission,100 F Street, NE, Washington, DC 20549.

This notice is required by law (15 U.S.C. §§ 78o-5(a)(1)(b)).

An agency may not conduct or sponsor, and an organization (or a

person) is not

required to respond to,

a collection of

information

unless it displays a currently valid OMB control number.

03/2020

1.

Appropriate regulatory agency (check one):

A.

Comptroller of the Currency

C.

Federal Deposit Insurance Corporation

B.

Board of Governors of the Federal Reserve System

D.

Securities and Exchange Commission

2.

A.

Full name of the financial institution:

B.

Address of principal office of financial institution:

C.

Mailing address if different from B:

3.

Furnish the name and address of the person who has or will

have custody or possession of the financial

institution's books and records

with respect to the financial institution's activities as a government securities broker or government securities dealer:

4.

Furnish the address of the place where such books and records will be located:

5.

The financial institution submitting this notice of termination of activities and the person executing it represent

that all of the information contained herein is true, current, and complete.

Please print name and title of person executing this notice:

Address

Address

Full Name

Address

Address

Name (First, Middle, Last)

Title

Signature

Date

OFFICIAL USE

City

Zip Code

State

City

Zip Code

State

City

Zip Code

State

City

Zip Code

State

INSTRUCTIONS FOR COMPLETING

Termination of

Activities as a

Government Securities Broker or

Government Securities Dealer

G-FINW

1. When to file

A financial institution that has filed a Notice of Gov-

ernment Securities Broker or Government Securities

Dealer Activities (Form G-FIN) pursuant to sec-

tion 15C(a)(1)(B) of the Securities Exchange Act

of 1934 must file this notice with its appropriate regu-

latory agency (ARA) when the financial institution

ceases to act as a government securities broker or gov-

ernment securities dealer.

A notice to terminate activities as a Government Secu-

rities Broker or Government Securities Dealer shall

become effective for all matters on the 60th day after

filing this notice unless the financial institution is other-

wise notified by its ARA.

2. How and where to file: Number

of copies

Each financial institution must file the number of cop-

ies of this notice as required by its ARA, a copy of

which will be sent by the ARA to the SEC. See Sec-

tion E (How and Where to file: Number of copies) of

the Form G-FIN instructions for guidance on how to

file this report with each ARA. Both copies of this

notice filed with the ARA shall be executed with a

manual signature in Item 5. The notice shall be signed

in the name of the financial institution by a principal

officer who was directly engaged in the management,

direction, or supervision of the financial institution’s

government securities broker or dealer activities.

Retain one exact copy for your records for at least

three years.

GEN-1

G-FINW

August 2019