Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.

OMB 3235-0472

OMB 3235-0472

Rule 15c1-6 states that any broker-dealer trying to sell to or buy from a customer a security in a primary or secondary distribution in which the broker-dealer is participating or is otherwise financially interested must give the customer written notification of the broker-dealer's participation or interest at or before completion of the transaction.

The latest form for Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution. expires 2024-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Supplementary Document
Supplementary Document
Supporting Statement A
Supplementary Document
Supplementary Document
All Historical Document Collections
Approved without change
 Extension without change of a currently approved collection 2023-09-29
Extension without change of a currently approved collection 2020-11-09
Approved without change
 Extension without change of a currently approved collection 2017-12-08
Approved without change
 Extension without change of a currently approved collection 2015-01-13
Approved with change
 Extension without change of a currently approved collection 2012-01-03
Approved without change
 Extension without change of a currently approved collection 2009-01-28
Approved without change
 Extension without change of a currently approved collection 2005-10-11
Approved without change
 Extension without change of a currently approved collection 2002-08-09
Approved without change
 Extension without change of a currently approved collection 1999-08-17
Approved without change
 Existing collection in use without an OMB Control Number 1996-09-26
© 2024 OMB.report | Privacy Policy