Form G-FINW Files Dataset

Form G-FINW is a notice filed by financial institutions to report the termination of their activities as a government securities broker or government securities dealer. It is required under the Government Securities Act of 1986, and the appropriate regulatory agency uses the information to enforce Treasury Department regulations applicable to government securities brokers and dealers at financial institutions. The dataset includes all Form G-FINW filings submitted to EDGAR from October 2002 to present. 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 managers overseeing government securities activities, the effective date of termination, and any required disclosures regarding disciplinary proceedings involving persons associated with the institution's government securities operations.

Dataset APIs

Dataset Files