Rule 15c3-3; Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3)

OMB 3235-0078

Rule 15c3-3 provides for the protection of customer funds and securities in the custody of a broker-dealer. The Rule sets forth standards for (i) a broker-dealer's acceptance, custody, and use of customer securities, and (ii) the maintenance of reserves with respect to customer deposits and monies obtained from the use of customer securities. Rule 15c3-3 also contains requirements for broker-dealers that hold security futures products for customers.

The latest form for Rule 15c3-3; Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3) expires 2023-10-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0078 Supporting Statement - 2023 Daily Comp Proposing Release.pdf Supporting Statement A
Rule 15c3-3(e)(B)(1) notification
Rule 15c3-3(p)(4)(ii) - Subordination Agreements (One-Time)
Rule 15c3-3(p)(4)(i) - Counterparty Notice (One-Time)
Rule 15c3-3(p)(4)(ii) - Subordination Agreements
Rule 15c3-3(p)(4)(ii) - Subordination Agreements
Rule 15c3-3(p)(4)(ii) - Subordination Agreements
Rule 15c3-3(p)(4)(i) - Counterparty Notice (Ongoing)
Rule 15c3-3(p)(4)(i) - Counterparty Notice (One-Time)
Rule 15c3-3(p)(3)(iii) - Customer Reserve Computation
Rule 15c3-3(p)(1) Special Accounts (Ongoing)
Rule 15c3-3(p)(1) Special Accounts (One-Time)
Rule 15c3-3(e) - daily
Rule 15c3-3(e) - monthly
Rule 15c3-3(e) - weekly computations
Rule 15c3-3(e) - updates
Rule 15c3-3(e)(3) - monthly
Rule 15c3-3(e)(3) - weekly
Rule 15c3-3(e)(3) - daily computations
Rules 15c3-3(o)(2)
Reference Removal - Note G (initial)
Reference Removal - Note G (annual)
Rule 15c3-3(j)(2) - initial
Rule 15c3-3(j)(2) - annual
Rule 15c3-3(j)(1) - annual
Rule 15c3-3 - amend/update PAB agreement
Rule 15c3-3(b)(5) - notices to affected customers
Rule 15c3-3(b)(5) - draft/update notice
Rule 15c3-3(a)(16)
Rule 15c3-3(o)(3)
Rule 15c3-3(f) - notice
Rule 15c3-3(f) - obtain new letter

All Historical Document Collections

202311-3235-032 Comment filed on proposed rule and continue	Revision of a currently approved collection	2023-12-06
202306-3235-015 Approved without change	Extension without change of a currently approved collection	2023-09-01
202002-3235-019 Approved without change	Extension without change of a currently approved collection	2020-08-07
201703-3235-007 Approved without change	Extension without change of a currently approved collection	2017-05-26
201405-3235-003 Approved without change	Revision of a currently approved collection	2014-05-14
201403-3235-012 Preapproved	Revision of a currently approved collection	2014-04-22
201309-3235-006 Approved without change	Revision of a currently approved collection	2013-09-12
201103-3235-025 Approved without change	Extension without change of a currently approved collection	2011-03-18
201102-3235-008 Approved without change	Extension without change of a currently approved collection	2011-02-15
201011-3235-009 Preapproved	Revision of a currently approved collection	2010-11-15
201006-3235-005 Comment filed on proposed rule and continue	Revision of a currently approved collection	2010-07-14
200709-3235-018 Approved without change	Revision of a currently approved collection	2007-11-28
200410-3235-009 Approved without change	Revision of a currently approved collection	2004-10-27
200209-3235-007 Approved without change	Revision of a currently approved collection	2002-09-20
200111-3235-018 Approved without change	Revision of a currently approved collection	2001-11-28
200101-3235-005 Approved without change	Extension without change of a currently approved collection	2001-01-17
199712-3235-006 Approved without change	Extension without change of a currently approved collection	1997-12-19
199412-3235-003 Approved without change	Extension without change of a currently approved collection	1994-12-27
199201-3235-001 Approved without change	Extension without change of a currently approved collection	1992-01-03
198903-3235-006 Approved without change	Revision of a currently approved collection	1989-03-13
198707-3235-002 Approved without change	Extension without change of a currently approved collection	1987-07-17
198704-3235-003 Approved without change	Extension without change of a currently approved collection	1987-04-15
198402-3235-007 Approved without change	Revision of a currently approved collection	1984-02-24
198308-3235-004 Approved without change	Extension without change of a currently approved collection	1983-08-08
198108-3235-026 Approved without change	New collection (Request for a new OMB Control Number)	1981-08-24

OMB Details

Rule 15c3-3(f) - obtain new letter

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight