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Government Securities Act Forms

Our forms are available for download in Portable Document Format (PDF). To read or print a PDF document, you need the Adobe Acrobat Reader (v5.0 or higher) software installed on your computer. You can download the Adobe Acrobat Reader from the Adobe Website.

The G-FIN-4, G-FIN-5 and G-405 forms may be downloaded, and select forms are electronically fillable; but the forms must be printed, signed, and mailed to the appropriate regulatory agency or self-regulatory organization.

Note: If you need help downloading

Form Number
Form Description
By Downloading
G-FIN-4 (and instructions) Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer - G-FIN-4 and Instructions PDF
file size-154K
file uploaded 4/29/2003
Fillable Form
G-FIN-5 (and instructions) Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer - G-FIN-5 and Instructions PDF
File size-96K
file uploaded 4/29/2003
Fillable Form
G-405 Part I (and instructions) Report on Finances and Operations of Government Securities Brokers and Dealers - Part I Form and Instructions PDF
File size-280K
file uploaded 4/29/2003
G-405 Part II Report on Finances and Operations of Government Securities Brokers and Dealers - Part II Form PDF
File size-255K
file uploaded 6/12/2003
G-405 Part II Instructions Report on Finances and Operations of Government Securities Brokers and Dealers - Part II Instructions PDF
File size-154K
file uploaded 4/29/2003
G-405 Part IIA Form Report on Finances and Operations of Government Securities Brokers and Dealers - Part IIA Form PDF
file size-303K
file uploaded 4/29/2003
G-405 Part IIA Instructions Report on Finances and Operations of Government Securities Brokers and Dealers - Part IIA Instructions PDF
File size-85K
file uploaded 4/29/2003
G-405 Schedule 1
(and instructions)
Report on Finances and Operations of Government Securities Brokers and Dealers - Schedule 1 Form and Instructions PDF
File size-277K
file uploaded 4/29/2003
Fillable Form
G-405 Part III
(and instructions)
Report on Finances and Operations of Government Securities Brokers and Dealers - Part III Form and Instructions PDF
File size-62K
file uploaded 4/29/2003