OMB control number
Rules 15aa-1 and 15aa-2 and Form 15A
OMB 3235-0030 ยท SEC.
OMB 3235-0030
Rules 15Aa-1 and 15Aa-2 requires applications for registration as a national securities association and currently registered national securities associations to complete Form 15A. The Commission adopted amendments to its rules to re-number Form X-15AA-1 as Form 15A and to repeal Form X-15AJ-1 and Form X-15AJ-2 and incorporate those information requirements into new Form 15A. The amendments also included in a new electronic submission requirement for Form 15A. The Commission subsequently adopted a final rule to extend the compliance date for the Form 15A electronic submission requirement to allow additional time for the orderly transition from paper to electronic filing.
The latest form for Rules 15aa-1 and 15aa-2 and Form 15A expires 2029-09-30 and is listed under ICR 202408-3235-023.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 Form 15A Application for Registration as a National or Affiliated Securities Association and Amendments and Supplements Thereto | Form and Instruction |
| Form 15A Application for Registration as a National or Affiliated | Form and Instruction |
| 3235-0030 Supporting Statement.pdf | Supporting Statement A |
 APPLICATION FOR AND REGISTRATION OF A NATIONAL OR AN_AFFILIATED |
Information collection |
| 15aa-2 |
Form and Instruction |
| 15aa-2 |
Form and Instruction |
| Rule 15aa-1 |
Form and Instruction |
| Rule 15aa-1 |
Form and Instruction |
All Historical Document Collections
OMB Details
APPLICATION FOR AND REGISTRATION OF A NATIONAL OR AN_AFFILIATED
Federal Enterprise Architecture: -
| Form | Name | Electronic access | Type |
|---|---|---|---|
| Form RULE 15AA-1 | Form | ||
| Form X-15AA-1 | Form |
Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.