Rule 8c-1 prohibits the commingling under the same lien of securities of customers (a) with securities of other customers without their written consent and (b) with the broker-dealer's proprietary securities. The rule also prohibits a broker-dealer from hypothecating customers' securities for a sum in excess of the customer aggregate indebtedness to the broker-dealer.
The latest form for Rule 8c-1, Hypothecation of customer's securities expires 2023-07-31 and can be found here.
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
Supplementary Document |
Supplementary Document |
Approved without change |
Extension without change of a currently approved collection | 2023-05-12 | |
Approved without change |
Extension without change of a currently approved collection | 2020-05-29 | |
Approved without change |
Extension without change of a currently approved collection | 2017-05-19 | |
Approved without change |
Extension without change of a currently approved collection | 2014-03-18 | |
Approved without change |
Extension without change of a currently approved collection | 2011-01-04 | |
Approved without change |
Revision of a currently approved collection | 2007-11-19 | |
Approved without change |
Extension without change of a currently approved collection | 2004-09-13 | |
Approved without change |
Extension without change of a currently approved collection | 2001-08-01 | |
Approved without change |
Existing collection in use without an OMB Control Number | 1998-09-16 |