Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.

ICR 201709-3235-001

OMB: 3235-0472

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2017-12-08
IC Document Collections
ICR Details
3235-0472 201709-3235-001
Active 201409-3235-026
SEC TM 270-243
Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.
Extension without change of a currently approved collection   No
Regular
Approved without change 02/21/2018
Retrieve Notice of Action (NOA) 12/08/2017
  Inventory as of this Action Requested Previously Approved
02/28/2021 36 Months From Approved 03/31/2018
394 0 446
3,940 0 4,460
0 0 0

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.

US Code: 15 USC 78o(c)(2), 78w(a) Name of Law: Sections 15(c)(2) and 23(a) of the Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  82 FR 42871 09/12/2017
82 FR 57321 12/04/2017
No

1
IC Title Form No. Form Name
Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 394 446 0 0 -52 0
Annual Time Burden (Hours) 3,940 4,460 0 0 -520 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The estimated burden of collecting information pursuant to Rule 15c1-6 has decreased slightly due to a reduction in the number of broker-dealers affected by the rule.

$0
No
    No
    No
No
No
No
Uncollected
Jane Wetterau 202 551-4483

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
12/08/2017


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