Forms for Treasury Marketable Securities

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<main id="main"> <section class="jumbo-stage"> <div class="background text-center" style="background-image: url('/images/content/stage-forms.jpg');"> <div class="container-xxl"> <img src="/images/content-icons/icon-circle-form.svg" alt=""> <h1>Forms for Treasury Marketable Securities</h1> </div> </div> <div class="container-xxl"> <div class="content"> <div class="content-inner"> <p>This page has links to forms you may need for Treasury Bills, Notes, Bonds, TIPS, and FRNs.</p> </div> </div> </div> </section> <section> <div class="section-container container-xxl"> <div class="alert alert-important" role="alert"> <div> <h3>Treasury Bonds are different from U.S. savings bonds</h3> <p>EE Bonds, I Bonds, and HH Bonds are U.S. savings bonds. For forms related to savings bonds, see <a href="/savings-bonds/forms/">Forms for savings bonds</a>.</p> </div> </div> <h2>Signatures</h2> <p>Some forms require a certified signature. Read the instructions on these forms carefully and wait to sign them when you are with the person who will certify your signature. For more about who can certify, see <a href="/research-center/signature-certification/">Signature certification</a>.</p> <h2>Death certificates or other legal evidence</h2> <p>If a form asks for legal evidence, such as a death certificate, be sure to include it. A photocopy is fine, as long as the stamp or seal is legible. <strong>We don't return documents you send us</strong>.</p> <h2>Getting the form you need</h2> <p>The forms are fillable PDFs. Download them with Adobe Acrobat Reader, which you can get for free from Adobe.</p> <p>To use the downloaded form, you need a printer. You can:</p> <ul> <li>fill out the form on the computer and then print it, or</li> <li>print it and fill it out by hand</li> </ul> <h2>Filling out, signing, and sending the form</h2> <p>Each form has instructions for filling out, signing, and mailing the form to us.</p> </div> </section> <section> <div class="section-container container-xxl"> <div class="body-copy"> <h2 class="h1">Treasury Marketable Securities</h2> <table class="table table-striped table-hover"> <thead> <tr class="bg-td-blue-lighter"> <th style="width: 20%">Form Number</th> <th style="width: 80%">Title and Description</th> </tr> </thead> <tbody> <tr> <th><strong><a href="/forms/sav0385.pdf">FS Form 0385</a></strong> </td> <td><strong>Certificate of Identity</strong></td> </tr> <tr> <th><strong><a href="/forms/sec1010.pdf">FS Form 1010</a></strong> </td> <td><strong>Resolution for Transactions Involving Treasury Securities</strong><br> Authorizes individuals in an organization to conduct transactions regarding Treasury securities </td> </tr> <tr> <th><strong><a href="/forms/sec1014.pdf">FS Form 1014</a></strong> </td> <td><strong>Certificate of Incumbency of Officers (Corporation or Unincorporated Association)</strong></td> </tr> <tr> <th><strong><a href="/forms/sec1022.pdf">FS Form 1022</a></strong> </td> <td><strong>Report/Application for Relief on Account of Loss, Theft, or Destruction of United States Bearer Securities (Organizations)</strong><br> Apply for relief on account of loss, theft, or destruction of United States bearer securities owned by or in the custody of an organization at the time of loss </td> </tr> <tr> <th><strong><a href="/forms/sec1022-1.pdf">FS Form 1022-1</a></strong> </td> <td><strong>Report/Application for Relief on Account of Loss, Theft, or Destruction of United States Bearer Securities (Individuals)</strong><br> Apply for relief on account of loss, theft, or destruction of United States bearer securities or bearer securities of other agencies or corporations for which the Treasury Department acts as transfer agent </td> </tr> <tr> <th><strong><a href="/forms/sav1025.pdf">FS Form 1025</a></strong> </td> <td><strong>Claim for Lost, Stolen, or Destroyed United States Registered Securities</strong><br> Apply for relief on account of loss, theft, or destruction of United States registered securities and registered securities for which the Treasury Department acts as transfer agent </td> </tr> <tr> <th><strong><a href="/forms/sav1050.pdf">FS Form 1050</a></strong> </td> <td><strong>Creditor's Request for Payment of Treasury Securities Belonging to a Decedent's Estate Being Settled Without Administration</strong></td> </tr> <tr> <th><strong><a href="/forms/sec1071.pdf">FS Form 1071</a></strong> </td> <td><strong>Supporting Statement of Ownership for Overdue United States Bearer Securities</strong><br> Supports the payment of an overdue bearer security being presented to the Fiscal Service for payment </td> </tr> <tr> <th><strong><a href="/forms/sav1455.pdf">FS Form 1455</a></strong> </td> <td><strong>Request by Fiduciary for Distribution of United States Treasury Securities</strong><br> Used by fiduciary to establish entitlement and request distribution of Treasury securities to the person lawfully entitled </td> </tr> <tr> <th><strong><a href="/forms/sec1832.pdf">FS Form 1832</a></strong> </td> <td><strong>Special Form of Assignment for U.S. Registered Definitive Securities</strong><br> Used at the discretion of the Fiscal Service to certify assignments of U. S. registered definitive securities, to correct a defective assignment already made, to accommodate owners required to sign a large number of registered definitive securities, or to obtain the assignment of two or more geographically separated assignors </td> </tr> <tr> <th><strong><a href="/forms/sav1849.pdf">FS Form 1849</a></strong> </td> <td><strong>Disclaimer and Consent with Respect to United States Treasury Securities</strong></td> </tr> <tr> <th><strong><a href="/forms/sav1980.pdf">FS Form 1980</a></strong> </td> <td><strong>Change of Address and/or Identification of Account for United States Registered Securities</strong><br> Description of bonds to show new address for interest payments or to identify accounts </td> </tr> <tr> <th><strong><a href="/forms/sav2066.pdf">FS Form 2066</a></strong> </td> <td><strong>Application by Survivors for Payment of Bond or Check Issued Under the Armed Forces Leave Act of 1946, As Amended</strong><br> Request payment of an Armed Forces Leave Bond or check, where the owner died without assigning the bond to the Administrator of Veterans Affairs prior to payment, or without presenting the check for payment </td> </tr> <tr> <th><strong><a href="/forms/sav2243.pdf">FS Form 2243</a></strong> </td> <td><strong>Supplemental Statement for United States Securities</strong><br> Support claim made on FS Form 1048, 3062, or 3062-4 </td> </tr> <tr> <th><strong><a href="/forms/sav2778-1.pdf">FS Form 2778-1</a></strong> </td> <td><strong>Certification Attachment</strong></td> </tr> <tr> <th><strong><a href="/forms/sec3987.pdf">FS Form 3987</a></strong> </td> <td><strong>Information Concerning the Loss, Theft, or Destruction of United States Bearer or Registered Securities Assigned as Payable to Bearer</strong></td> </tr> <tr> <th><strong><a href="/forms/sec5178.pdf">FS Form 5178</a></strong> </td> <td><strong>Transaction Request</strong><br> Request changes to your Legacy TreasuryDirect account, such as address, direct-deposit instructions, account name </td> </tr> <tr> <th><strong><a href="/forms/sec5179.pdf">FS Form 5179</a></strong> </td> <td><strong>Security Transfer Request</strong><br> Transfers securities from a Legacy TreasuryDirect account </td> </tr> <tr> <th><strong><a href="/forms/sav5188.pdf">FS Form 5188</a></strong> </td> <td><strong>Durable Power of Attorney for Securities and Savings Bonds Transactions</strong><br> Assign a power of attorney for transactions involving Treasury securities </td> </tr> <tr> <th><strong><a href="/forms/sec5191.pdf">FS Form 5191</a></strong> </td> <td><strong>Application for Recognition as Natural Guardian of a Minor</strong><br> Authorize an individual to act on behalf of a minor who owns Treasury securities in Legacy TreasuryDirect </td> </tr> <tr> <th><strong><a href="/forms/sec5235.pdf">FS Form 5235</a></strong> </td> <td><strong>Report of Nonreceipt, Loss, Theft, or Destruction of Fiscal Agency Check and Application for Replacement</strong><br> Request replacement of check that is lost, stolen, or destroyed </td> </tr> <tr> <th><strong><a href="/forms/sav5336.pdf">FS Form 5336</a></strong> </td> <td><strong>Disposition of Treasury Securities Belonging to a Decedent's Estate Being Settled Without Administration</strong><br> Use for disposition and/or payment according to the Order of Precedence For Voluntary Representatives </td> </tr> <tr> <th><strong><a href="/forms/sav5394.pdf">FS Form 5394</a></strong> </td> <td><strong>Agreement and Request for Disposition of a Decedent's Treasury Securities</strong><br> Request disposition of securities in a closed estate or an estate being settled in accordance with state statute </td> </tr> <tr> <th><strong><a href="/forms/acctauth.pdf">FS Form 5444</a></strong> </td> <td><strong>TreasuryDirect® Account Authorization</strong></td> </tr> <tr> <th><strong><a href="/forms/sav5446.pdf">FS Form 5446</a></strong> </td> <td><strong>TreasuryDirect® Offline Transaction Request</strong><br> Use for certain TreasuryDirect transactions that can't be conducted online </td> </tr> <tr> <th><strong><a href="/forms/pdf5511.pdf">FS Form 5511</a></strong> </td> <td><strong>TreasuryDirect® Transfer Request</strong><br> Use to transfer securities you hold in TreasuryDirect </td> </tr> <tr> <th><strong><a href="/forms/sec5512.pdf">FS Form 5512</a></strong> </td> <td><strong>TreasuryDirect® Redemption and Bank Change Request</strong><br> For an account in TreasuryDirect, use this form to change bank information or redeem savings bonds<br> <strong>Do NOT use this form for paper savings bonds or other paper securities</strong> </td> </tr> <tr> <th><strong><a href="/forms/sec009.pdf">FS Publication 009</a></strong> </td> <td><strong>Investing Directly with the U.S. Treasury</strong><br> Booklet describes TreasuryDirect, Legacy TreasuryDirect, and Treasury bills, notes, bonds, TIPS, and Floating Rate Notes </td> </tr> <tr> <th><strong><a href="/forms/sec0011.pdf">FS Publication 0011</a></strong> </td> <td><strong>Interest Income Reporting for Marketable Treasury Securities</strong><br> Publication covers taxation of Treasury bills, notes, bonds, and TIPS </td> </tr> <tr> <th><strong><a href="/forms/sec0042.pdf">FS Publication 0042</a></strong> </td> <td><strong>Treasury Inflation-Protected Securities (TIPS)</strong><br> Publication explains these securities that are protected against inflation </td> </tr> <tr> <th><strong><a href="/forms/sec0103.pdf">FS Publication 0103</a></strong> </td> <td><strong>Trust Transactions: Legacy TreasuryDirect</strong><br> Publication gives information on the forms and documents you need to conduct transactions involving trusts </td> </tr> <tr> <th><strong><a href="/forms/sec0104.pdf">FS Publication 0104</a></strong> </td> <td><strong>Power of Attorney: Legacy TreasuryDirect</strong><br> Publication gives instructions for doing business through an attorney-in-fact </td> </tr> </tbody> </table> </div> <div class="body-copy"> <h2 class="h1">TAAPS Program</h2> <p>Institutions must fill out and submit the following forms to participate in TAAPS:</p> <ul> <li><a href="/forms/FSForm5441.pdf">Submitter Agreement</a></li> <li>If you do not have both a securities and funds account in the Federal Reserve system, your institution must also fill out an <a href="/forms/FS5441-3E.pdf">Autocharge Agreement</a>.</li> <li><a href="/forms/ComputerSystemMaintenanceRequirements.pdf">Computer System Maintenance Requirements</a></li> </ul> <p>To establish your firm's End User Authorization Contact, please call <a href="tel:+12025043550">(202) 504 - 3550</a>.</p> </div> <div class="body-copy"> <span id="gsa"></span> <h2>Government Securities Act Forms</h2> <p>Our forms are available for download in Portable Document Format (PDF). To read or print a PDF document, you need the Adobe Acrobat Reader (v5.0 or higher) software installed on your computer. You can download the Adobe Acrobat Reader from the Adobe Website.</p> <p>The G-FIN-4, G-FIN-5 and G-405 forms may be downloaded, and select forms are electronically fillable; but the forms must be printed, signed, and mailed to the appropriate regulatory agency or self-regulatory organization.</p> <table class="table table-striped table-hover"> <thead> <tr class="bg-td-blue-lighter"> <th style="width: 20%">Form Number</th> <th style="width: 50%">Form Description</th> <th style="width: 30%">By Downloading</th> </tr> </thead> <tbody> <tr> <th><a href="/forms/gsrgfin4.pdf">G-FIN-4 (and instructions)</a> </td> <td>Disclosure Form for Person Associated with a Financial Institution Government Securities Broker or Dealer - G-FIN-4 and Instructions</td> <td>PDF, file uploaded 3/30/2018, Fillable Form</td> </tr> <tr> <th><a href="/forms/gsrgfin5.pdf">G-FIN-5 (and instructions)</a> </td> <td>Uniform Termination Notice for Person Associated with a Financial Institution Government Securities Broker or Dealer - G-FIN-5 and Instructions</td> <td>PDF, file uploaded 3/30/2018, Fillable Form</td> </tr> <tr> <th><a href="/forms/gsrg405pt1.pdf">G-405 Part I (and instructions)</a> </td> <td>Report on Finances and Operations of Government Securities Brokers and Dealers - Part I Form and Instructions</td> <td>PDF, file uploaded 4/16/2018</td> </tr> <tr> <th><a href="/forms/gsrg405pt2.pdf">G-405 Part II</a> </td> <td>Report on Finances and Operations of Government Securities Brokers and Dealers - Part II Form</td> <td>PDF, file uploaded 12/27/2018</td> </tr> <tr> <th><a href="/forms/gsrg405pt2instr.pdf">G-405 Part II Instructions</a> </td> <td>Report on Finances and Operations of Government Securities Brokers and Dealers - Part II Instructions</td> <td>PDF, file uploaded 12/27/2018</td> </tr> <tr> <th><a href="/forms/gsrg405pt2a.pdf">G-405 Part IIA Form</a> </td> <td>Report on Finances and Operations of Government Securities Brokers and Dealers - Part IIA Form</td> <td>PDF, file uploaded 12/27/2018</td> </tr> <tr> <th><a href="/forms/gsrg405pt2ainstr.pdf">G-405 Part IIA Instructions</a> </td> <td>Report on Finances and Operations of Government Securities Brokers and Dealers - Part IIA Instructions</td> <td>PDF, file uploaded 12/27/2018</td> </tr> <tr> <th><a href="/forms/gsrg405sched1.pdf">G-405 Schedule 1 (and instructions)</a> </td> <td>Report on Finances and Operations of Government Securities Brokers and Dealers - Schedule 1 Form and Instructions</td> <td>PDF, file uploaded 4/16/2018, Fillable Form</td> </tr> <tr> <th><a href="/forms/gsrg405pt3.pdf">G-405 Part III (and instructions)</a> </td> <td>Report on Finances and Operations of Government Securities Brokers and Dealers - Part III Form and Instructions</td> <td>PDF, file uploaded 12/27/2018</td> </tr> </tbody> </table> </div> <section> <div class="section-container container-xxl"> <div class="body-copy"> <h4 class="h1">We're Here to Help</h4> </div> <div class="row"> <div class="col-md d-flex align-items-center"> <div class="contact-icon mr-3"> <span class="icon-email"></span> </div> <div class="contact-content"> <div class="contact-heading h2"><a href="/contact-us/"" class="no-icon" >Contact Us</a></div> <p class="contact-text"> </p> </div> </div> </div> </div> </section> </div> </section> <button type="button" class="btn btn-td-blue scrollButton d-print-none" onclick="topFunction()" id="myBtn" title="Back to Top" style="display: none; 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Forms for Treasury Marketable Securities — TreasuryDirect