17 CFR § 449.5 - Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §§ 405.2 and 405.3 of this chapter.

---
identifier: "/us/cfr/t17/s449.5"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 449.5 - Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §§ 405.2 and 405.3 of this chapter."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "449.5"
section_name: "Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §§ 405.2 and 405.3 of this chapter."
chapter_name: "DEPARTMENT OF THE TREASURY"
subchapter_number: "A"
subchapter_name: "REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934"
part_number: "449"
part_name: "FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "15 U.S.C. 78o-5(a), (b)(1)(B), (b)(4)."
regulatory_source: "52 FR 27956, July 24, 1987, unless otherwise noted."
cfr_part: "449"
---


# 449.5 Form G-405, information required of registered government securities brokers and dealers pursuant to section 15C of the Securities Exchange Act of 1934 and §§ 405.2 and 405.3 of this chapter.

This form is to be used by registered government securities brokers and dealers to make the monthly, quarterly and annual financial reports required by part 405 of this chapter. The form is promulgated by the Department of the Treasury and is available from the SEC and the designated examining authorities.

For  citations affecting Form G-405, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at