OMB control number
Rule 15g-5; Disclosure of Compensation of Associated Persons in Connection with Penny Stock Transactions
OMB 3235-0394 · SEC.
OMB 3235-0394
Rule 15g-5 (17 CFR 240.15g-5) requires brokers and dealers effecting transactions for or with customer in penny stocks to disclose the amount of compensation to be received by the sales agent in connection with the transaction.
The latest form for Rule 15g-5; Disclosure of Compensation of Associated Persons in Connection with Penny Stock Transactions expires 2027-10-31 and can be found here.
Latest Forms, Documents, and Supporting Material
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89 FR 67114 (OMB 3235-0394).pdf
Rule 15g-5; Disclosure of Compensation of Associated Persons in Connection with Penny Stock Transactions All Historical Document Collections