OMB control number
Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control
OMB 3235-0471 · SEC.
OMB 3235-0471
Rule 15c1-5 states that any broker-dealer controlled by, controlling, or under common control with the issuer of a security that the broker-dealer is trying to sell to or buy from a customer must give the customer written notification disclosing the control relationship at or before completion of the transaction.
The latest form for Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control expires 2026-12-31 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
|---|
Supplementary Document |
Supplementary Document |
Supporting Statement A |
Supplementary Document |
Supplementary Document |
3235-0471.pdf
Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control. All Historical Document Collections
|
Approved without change |
Extension without change of a currently approved collection | 2023-09-29 | |
|
Approved without change |
Extension without change of a currently approved collection | 2021-01-14 | |
|
Approved without change |
Extension without change of a currently approved collection | 2018-02-23 | |
|
Approved without change |
Extension without change of a currently approved collection | 2015-01-16 | |
|
Approved with change |
Extension without change of a currently approved collection | 2012-01-13 | |
|
Approved without change |
Extension without change of a currently approved collection | 2009-01-28 | |
|
Approved without change |
Extension without change of a currently approved collection | 2005-10-11 | |
|
Approved without change |
Extension without change of a currently approved collection | 2002-08-09 | |
|
Approved without change |
Extension without change of a currently approved collection | 1999-08-17 | |
|
Approved without change |
Existing collection in use without an OMB Control Number | 1996-09-26 |