Rule 101, 17 CFR 242.101 (Activities by Distribution Participants)

OMB 3235-0464

OMB 3235-0464

Rule 101 restricts certain activities of distribution participants and their affiliated purchasers during the distribution period. The proposed amendments would require distribution participants and their affiliated purchasers to maintain records of all instances of reliance on the de minimis transactions exception from Rule 101 of Regulation M.

The latest form for Rule 101, 17 CFR 242.101 (Activities by Distribution Participants) expires 2023-07-31 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Supporting Statement A
All Historical Document Collections
Approved without change
 Revision of a currently approved collection 2023-08-24
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2023-02-22
Approved without change
 Extension without change of a currently approved collection 2023-06-07
Approved without change
 Extension without change of a currently approved collection 2020-06-09
Approved without change
 Extension without change of a currently approved collection 2017-05-05
Approved without change
 Extension without change of a currently approved collection 2014-06-05
Approved without change
 Extension without change of a currently approved collection 2011-04-15
Approved without change
 Extension without change of a currently approved collection 2008-04-03
Approved without change
 Revision of a currently approved collection 2004-12-21
Approved without change
 Extension without change of a currently approved collection 2002-04-17
Approved without change
 Extension without change of a currently approved collection 1999-04-12
Approved without change
 New collection (Request for a new OMB Control Number) 1996-05-15
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