OMB control number
Regulation AC
OMB 3235-0575 · SEC.
OMB 3235-0575
Regulation AC requires that any research report disseminated by a broker or dealer include certifications that the research report accurately reflects the analyst's personal views, and whether the analyst received compensation or other payments in connection with his or her specific recommendations or views. Broker-dealers would also be required to obtain analyst certifications and disclosures in connection with public appearances.
The latest form for Regulation AC expires 2027-12-31 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
|---|
Supplementary Document |
Supplementary Document |
Supporting Statement A |
89 FR 88848 (OMB 3235-0575).pdf
Regulation AC All Historical Document Collections
| Extension without change of a currently approved collection | 2024-11-08 | ||
|
Approved without change |
Extension without change of a currently approved collection | 2022-01-11 | |
|
Approved with change |
Extension without change of a currently approved collection | 2018-10-09 | |
|
Approved without change |
Extension without change of a currently approved collection | 2015-05-06 | |
|
Approved with change |
Extension without change of a currently approved collection | 2012-03-05 | |
|
Approved without change |
Extension without change of a currently approved collection | 2009-02-25 | |
|
Approved without change |
Extension without change of a currently approved collection | 2006-03-08 | |
|
Approved without change |
New collection (Request for a new OMB Control Number) | 2002-12-20 |