Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.

ICR 202007-3235-021

OMB: 3235-0472

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2020-11-09
Supplementary Document
2020-11-09
Supporting Statement A
2020-07-28
IC Document Collections
ICR Details
3235-0472 202007-3235-021
Received in OIRA 201709-3235-001
SEC TM 270-243
Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.
Extension without change of a currently approved collection   No
Regular 11/09/2020
  Requested Previously Approved
36 Months From Approved 02/28/2021
365 394
3,650 3,940
0 0

Rule 15c1-6 states that any broker-dealer trying to sell to or buy from a customer a security in a primary or secondary distribution in which the broker-dealer is participating or is otherwise financially interested must give the customer written notification of the broker-dealer's participation or interest 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

  85 FR 50860 08/18/2020
85 FR 71383 11/09/2020
No

1
IC Title Form No. Form Name
Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.

  Total Request 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 365 394 0 0 -29 0
Annual Time Burden (Hours) 3,650 3,940 0 0 -290 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The estimated burden of collecting information pursuant to Rule 15c1-6 has decreased from approximately 3,940 hours per year to approximately 3,650 hours per year due to a reduction in the number of broker-dealers affected by the rule.

$0
No
    No
    No
No
No
No
No
Jane Wetterau 202 551-4483

  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.
11/09/2020


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