Rule 8c-1, Hypothecation of customer's securities

OMB 3235-0514

OMB 3235-0514

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.

Latest Forms, Documents, and Supporting Material
Document
Name
Supplementary Document
Supplementary Document
Supporting Statement A
Supplementary Document
Supplementary Document

© 2024 OMB.report | Privacy Policy