Notice By Financial Institutions of Government Securities Broker or Government Securities Dealer Activities;  Notice By Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer
The Securities Exchange Act of 1934, as amended, requires financial institutions to notify their appropriate regulatory agency (ARA) prior to using the mails or any means or instrumentality of interstate commerce to engage in government securities broker or dealer activities, and to notify their ARA upon terminating …