Rule 15c3-1; Net Capital Requirements for Brokers and Dealers

OMB 3235-0200

OMB 3235-0200

Rule 15c3-1 was adopted in 1971 to ensure that brokers and dealers maintain sufficient liquid assets in excess of liabilities to promptly satisfy the claims of customers in the event the broker or dealer fails.

The latest form for Rule 15c3-1; Net Capital Requirements for Brokers and Dealers expires 2023-06-30 and can be found here.

Latest Forms, Documents, and Supporting Material
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Comment filed on proposed rule and continue
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Comment filed on proposed rule and continue
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Extension without change of a currently approved collection 1996-09-16
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Revision of a currently approved collection 1993-08-26
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Revision of a currently approved collection 1993-05-28
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Revision of a currently approved collection 1990-07-18
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Revision of a currently approved collection 1989-09-25
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Revision of a currently approved collection 1987-04-22
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Revision of a currently approved collection 1984-03-12
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New collection (Request for a new OMB Control Number) 1981-10-27
OMB Details

Rule 15c3-1; Notices

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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