OMB control number

Rule 15c2-1; Hypothecation of Customer Securities

OMB 3235-0485 · SEC.

OMB 3235-0485

Rule 15c2-1 prohibits the commingling under the same lien of securities of margin customers (a) with other customers without their written consent and (b) with the broker or dealer. The rule also prohibits the rehypothecation of customer margin securities for a sum in excess of the customers' aggregate indebtedness.

The latest form for Rule 15c2-1; Hypothecation of Customer Securities expires 2027-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0485.pdf Supplementary Document
3235-0485.pdf Supplementary Document
Supporting Statement _ Rule 15c2-1 2023 DGL REVISED.pdf Supporting Statement A
3235-0485 60 Day Notice.pdf Supplementary Document
3235-0485 30 Day Notice.pdf Supplementary Document
Rule 15c2-1; Hypothecation of Customer Securities.

All Historical Document Collections

202310-3235-009 Approved without change	Extension without change of a currently approved collection	2023-12-21
202012-3235-004 Approved without change	Extension without change of a currently approved collection	2021-03-08
201710-3235-009 Approved without change	Extension without change of a currently approved collection	2018-04-11
201409-3235-028 Approved without change	Extension without change of a currently approved collection	2015-02-09
201109-3235-007 Approved without change	Extension without change of a currently approved collection	2011-12-05
200810-3235-002 Approved without change	Revision of a currently approved collection	2008-12-19
200603-3235-017 Approved without change	Extension without change of a currently approved collection	2006-03-22
200304-3235-026 Approved without change	Extension without change of a currently approved collection	2003-04-29
200001-3235-012 Approved without change	Extension without change of a currently approved collection	2000-01-12
199701-3235-008 Approved without change	Existing collection in use without an OMB Control Number	1997-01-13