OMB control number
Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.
OMB 3235-0472 · SEC.
OMB 3235-0472
Rule 15c1-6 states that any broker-dealer trying to sell to or buy from a customer a security in a primary or secondary distribution in which the broker-dealer is participating or is otherwise financially interested must give the customer written notification of the broker-dealer's participation or interest at or before completion of the transaction.
The latest form for Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution. expires 2026-12-31 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
Supplementary Document |
Supplementary Document |
3235-0472.pdf
Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution. All Historical Document Collections
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Approved without change |
Extension without change of a currently approved collection | 2023-09-29 | |
| Extension without change of a currently approved collection | 2020-11-09 | ||
|
Approved without change |
Extension without change of a currently approved collection | 2017-12-08 | |
|
Approved without change |
Extension without change of a currently approved collection | 2015-01-13 | |
|
Approved with change |
Extension without change of a currently approved collection | 2012-01-03 | |
|
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 |