Exchange Act Rule 15Ba2-5, Registration of fiduciaries (17 CFR 240.15Ba2-5)

OMB 3235-0088

Rule 15Ba-5, adopted July 7, 1975, effective July 16, 1975 (see 41 FR 28948, July 14, 1975), permits a duly-appointed fiduciary to assume immediate responsibility for the operation of a municipal securities dealers's business.

The latest form for Exchange Act Rule 15Ba2-5, Registration of fiduciaries (17 CFR 240.15Ba2-5) expires 2022-12-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0088.pdf Supplementary Document
3235-0088.pdf Supplementary Document
DGL REVISED 2019 Rule 15Ba2-5 Supporting Statement.pdf Supporting Statement A
3235-0088 60 Day Notice.pdf Supplementary Document
30 Day Notice 3235-0088.pdf Supplementary Document
Exchange Act Rule 15Ba2-5, Registration of fiduciaries (17 CFR 240.15Ba2-5)

All Historical Document Collections

202205-3235-033 Approved without change	Revision of a currently approved collection	2022-07-25
201907-3235-007 Approved without change	Extension without change of a currently approved collection	2019-10-28
201605-3235-005 Approved without change	Extension without change of a currently approved collection	2016-11-01
201307-3235-011 Approved without change	Extension without change of a currently approved collection	2013-11-01
201007-3235-021 Approved without change	Extension without change of a currently approved collection	2010-09-02
200708-3235-019 Approved without change	Revision of a currently approved collection	2007-11-05
200507-3235-007 Approved without change	Extension without change of a currently approved collection	2005-07-26
200207-3235-018 Approved without change	Extension without change of a currently approved collection	2002-07-24
199908-3235-009 Approved without change	Extension without change of a currently approved collection	1999-08-17
199609-3235-012 Approved without change	Extension without change of a currently approved collection	1996-09-16
199308-3235-020 Approved without change	Revision of a currently approved collection	1993-08-10
199101-3235-005 Approved without change	Reinstatement with change of a previously approved collection	1991-01-23
198710-3235-020 Approved without change	Extension without change of a currently approved collection	1987-10-27
198408-3235-010 Approved without change	Extension without change of a currently approved collection	1984-08-07
198108-3235-036 Approved without change	New collection (Request for a new OMB Control Number)	1981-08-26