Rule 15c6-2

The purpose of the collection under Rule 15c6-2 is to ensure that parties to institutional transactions – that is, transactions where a broker-dealer or its customer must engage with agents of the customer, including the customer’s investment adviser or its securities custodian, to prepare a transaction for settlement – can ensure the completion of the allocation, confirmation, and affirmation process as soon as technologically practicable and no later than the end of the day on trade date.

The latest form for Rule 15c6-2 expires 2026-12-31 and can be found here.