Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control

ICR 201409-3235-025

OMB: 3235-0471

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2015-01-16
IC Document Collections
IC ID
Document
Title
Status
35183
Modified
ICR Details
3235-0471 201409-3235-025
Historical Active 201110-3235-021
SEC TM 270-422
Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control
Extension without change of a currently approved collection   No
Regular
Approved without change 03/25/2015
Retrieve Notice of Action (NOA) 01/16/2015
  Inventory as of this Action Requested Previously Approved
03/31/2018 36 Months From Approved 03/31/2015
223 0 241
2,230 0 2,410
0 0 0

Rule 15c1-5 states that any broker-dealer controlled by, controlling, or under common control with the issuer of a security that the broker-dealer is trying to sell to or buy from a customer must give the customer written notification disclosing the control relationship at or before completion of the transaction.

US Code: 15 USC 78o(c)(2), 78w(a) Name of Law: Sections 15(c)(2) and 23(a) of the Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  79 FR 57992 09/26/2014
79 FR 71464 12/02/2014
No

1
IC Title Form No. Form Name
Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control.

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 223 241 0 0 -18 0
Annual Time Burden (Hours) 2,230 2,410 0 0 -180 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The estimated burden of collecting information pursuant to Rule 15c1-5 has decreased slightly because of a reduction in the number of broker-dealers affected by the rule.

$0
No
No
No
No
No
Uncollected
Darren Vieira 202 551-5575 vieirad@sec.gov

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
01/16/2015


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