Form G-FIN Files Dataset

Form G-FIN filings provide notice by financial institutions of their government securities broker or government securities dealer activities, as required under Section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and the Government Securities Act of 1986. Financial institutions must file Form G-FIN with their appropriate regulatory agency to notify regulators of their intent to engage in, amend, or terminate government securities broker or dealer operations. The dataset includes all Form G-FIN and Form G-FIN/A filings submitted to EDGAR from February 2002 to present. Form G-FIN/A filings represent amendments to previously submitted notices. 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 institution's identifying information, the names and titles of persons managing government securities activities, the institution's appropriate regulatory agency designation, and disclosure of any disciplinary history related to securities activities for associated persons.

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