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

ICR 202307-3235-017

OMB: 3235-0471

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2023-09-29
Supplementary Document
2023-09-29
Supporting Statement A
2023-07-20
Supplementary Document
2021-01-14
Supplementary Document
2021-01-14
IC Document Collections
IC ID
Document
Title
Status
35183
Modified
ICR Details
3235-0471 202307-3235-017
Received in OIRA 202008-3235-017
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 09/29/2023
  Requested Previously Approved
36 Months From Approved 02/29/2024
175 181
1,750 1,810
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

  88 FR 48278 07/26/2023
88 FR 67407 09/29/2023
No

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

  Total Request 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 175 181 0 0 -6 0
Annual Time Burden (Hours) 1,750 1,810 0 0 -60 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 from 1810 hours per year to 1750 hours per year because of a reduction in the number of broker-dealers affected by the rule from 181 to 175.

$0
No
    No
    No
No
No
No
No
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.
09/29/2023


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