OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

Rule 15c3-3; Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3)

OMB 3235-0078 ยท SEC.

OMB 3235-0078

Rule 15c3-3 (17 CFR 240.15c3-3) provides for the protection of customer funds and securities in the custody of a broker-dealer. The Rule sets forth standards for (i) a broker-dealer's acceptance, custody, and use of customer securities, and (ii) the maintenance of reserves with respect to customer deposits and monies obtained from the use of customer securities. Rule 15c3-3 also contains requirements for broker-dealers that hold security futures products for customers. The Commission is revising the collection of information in connection with a recent rulemaking to amend the reserve computation requirements for certain broker-dealers pursuant to its authority under Section 15(c)(3)(A) of the Exchange Act.

The latest form for Rule 15c3-3; Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3) expires 2026-10-31 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Supporting Statement A
All Historical Document Collections
 Revision of a currently approved collection 2025-01-24
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2023-12-06
Approved without change
 Extension without change of a currently approved collection 2023-09-01
Approved without change
 Extension without change of a currently approved collection 2020-08-07
Approved without change
 Extension without change of a currently approved collection 2017-05-26
Approved without change
 Revision of a currently approved collection 2014-05-14
Preapproved
 Revision of a currently approved collection 2014-04-22
Approved without change
 Revision of a currently approved collection 2013-09-12
Approved without change
 Extension without change of a currently approved collection 2011-03-18
Approved without change
 Extension without change of a currently approved collection 2011-02-15
Preapproved
 Revision of a currently approved collection 2010-11-15
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2010-07-14
Approved without change
 Revision of a currently approved collection 2007-11-28
Approved without change
 Revision of a currently approved collection 2004-10-27
Approved without change
 Revision of a currently approved collection 2002-09-20
Approved without change
 Revision of a currently approved collection 2001-11-28
Approved without change
 Extension without change of a currently approved collection 2001-01-17
Approved without change
 Extension without change of a currently approved collection 1997-12-19
Approved without change
 Extension without change of a currently approved collection 1994-12-27
Approved without change
 Extension without change of a currently approved collection 1992-01-03
Approved without change
 Revision of a currently approved collection 1989-03-13
Approved without change
 Extension without change of a currently approved collection 1987-07-17
Approved without change
 Extension without change of a currently approved collection 1987-04-15
Approved without change
 Revision of a currently approved collection 1984-02-24
Approved without change
 Extension without change of a currently approved collection 1983-08-08
Approved without change
 New collection (Request for a new OMB Control Number) 1981-08-24
OMB Details

Rule 15c3-3(f) - obtain new letter

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight