Customer Identification Program Regulatory Requirements for Broker or Dealers in Securities

OMB 1506-0034

Broker-dealers are required to establish and maintain a customer identification program. A copy of the program must be maintained for five years. See 31 CFR 1023.220

The latest form for Customer Identification Program Regulatory Requirements for Broker or Dealers in Securities expires 2021-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
1506-0034 BD CIP Supplemental Statement 8_29_2024.docx Supporting Statement A
Implementation of a Customer Identification Program
Customer Identification Program Notification to Customers
Maintenance of a Customer Identification Program

All Historical Document Collections

202408-1506-005	Extension without change of a currently approved collection	2024-08-30
202011-1506-005	Extension without change of a currently approved collection	2020-11-30
201808-1506-011 Approved without change	Extension without change of a currently approved collection	2018-11-30
201509-1506-006 Approved without change	Revision of a currently approved collection	2015-09-30
201205-1506-005 Approved without change	Extension without change of a currently approved collection	2012-07-16
200905-1506-008 Approved without change	Extension without change of a currently approved collection	2009-05-27
200605-1506-003 Approved without change	Extension without change of a currently approved collection	2006-05-03
200305-1506-001 Approved without change	Extension without change of a currently approved collection	2003-05-02
200304-1506-003 Approved without change	New collection (Request for a new OMB Control Number)	2003-04-18