OMB control number
Rule 15g-4; Disclosure of compensation to brokers or dealers
OMB 3235-0393 · SEC.
OMB 3235-0393
Rule 15g-4 (17 CFR 240.15g-4) requires brokers and dealers effecting transactions in penny stocks for or with customers to disclose the amount of compensation received by the broker- dealer in connection with the transaction.
The latest form for Rule 15g-4; Disclosure of compensation to brokers or dealers expires 2027-09-30 and can be found here.
Latest Forms, Documents, and Supporting Material
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
Supplementary Document |
Supplementary Document |
89 FR 47661 (OMB 3235-0393).pdf
Rule 15g-4; Disclosure of compensation to brokers or dealers All Historical Document Collections