Information Collection Request
Rule 15g-4; Disclosure of compensation to brokers or dealers
ICR 202106-3235-011 · OMB 3235-0393 · Received in OIRA
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0393 can be found here:
Forms and Documents
| Document | Type | Status | Availability |
|---|---|---|---|
 3235-0393 30 Day Notice.pdf |
Supplementary Document | Uploaded 2021-09-16 | Repair queued |
| 3235-0393 60 Day Notice.pdf |
Supplementary Document | Uploaded 2021-09-16 | Repair queued |
| DGL REVISED 2021 15g-4 justification.doc.pdf |
Supporting Statement A | Uploaded 2021-06-15 | Missing upstream |
IC Document Collections
| IC ID | Collection | Type | Status | Form |
|---|---|---|---|---|
| 34987 |  Rule 15g-4; Disclosure of compensation to brokers or dealers |
Modified |
ICR Details
| Status | Received in OIRA |
|---|---|
| Agency/Subagency | SEC |
| OMB Control No | 3235-0393 |
| Type of Information Collection | Extension without change of a currently approved collection |
| Previous ICR Reference No | 201803-3235-013 |
| Agency Tracking No | TM-270-347 |
| Date Submitted to OIRA | 1969-12-31 |
| Requested Expiration Date | 1969-12-31 |