Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control

ICR 201709-3235-004

OMB: 3235-0471

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2018-02-23
IC Document Collections
IC ID
Document
Title
Status
35183
Modified
ICR Details
3235-0471 201709-3235-004
Active 201409-3235-025
SEC TM 270-422
Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control
Extension without change of a currently approved collection   No
Regular
Approved without change 04/03/2018
Retrieve Notice of Action (NOA) 02/23/2018
  Inventory as of this Action Requested Previously Approved
04/30/2021 36 Months From Approved 04/30/2018
197 0 223
1,970 0 2,230
0 0 0

Rule 15c1-5 states that any broker-dealer controlled by, controlling, or under common control with the issuer of a security that the broker-dealer is trying to sell to or buy from a customer must give the customer written notification disclosing the control relationship 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 43423 09/15/2017
82 FR 56293 11/28/2017
No

1
IC Title Form No. Form Name
Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control.

  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 197 223 0 0 -26 0
Annual Time Burden (Hours) 1,970 2,230 0 0 -260 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
The estimated burden of collecting information pursuant to Rule 15c1-5 has decreased slightly because of 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.
02/23/2018


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