Form G-405N Files Dataset

Form G-405N filings contain capital deficiency notifications submitted by registered government securities brokers and dealers pursuant to 17 CFR 405.3 and Section 15C of the Securities Exchange Act of 1934. These notifications must be filed promptly, within 24 hours, when a firm's liquid capital falls below 150 percent of total haircuts or when capital after deducting total haircuts falls below 120 percent of the minimum capital requirement. The dataset includes all Form G-405N and Form G-405N/A filings submitted to EDGAR from July 2002 to present. Form G-405N/A filings represent amendments to previously submitted notifications. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains the name and identifying information of the reporting government securities broker or dealer, the date the capital deficiency was identified, the applicable liquid capital computation, and details regarding the nature and amount of the shortfall relative to the required minimum thresholds.

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