Rule 15c3-3; Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3)

OMB 3235-0078

OMB 3235-0078

Rule 15c3-3 provides for the protection of customer funds and securities in the custody of a broker-dealer. The Rule sets forth standards for (i) a broker-dealer's acceptance, custody, and use of customer securities, and (ii) the maintenance of reserves with respect to customer deposits and monies obtained from the use of customer securities. Rule 15c3-3 also contains requirements for broker-dealers that hold security futures products for customers.

The latest form for Rule 15c3-3; Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3) expires 2023-10-31 and can be found here.

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Comment filed on proposed rule and continue
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Revision of a currently approved collection 2004-10-27
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Revision of a currently approved collection 2002-09-20
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Revision of a currently approved collection 2001-11-28
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Extension without change of a currently approved collection 2001-01-17
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Extension without change of a currently approved collection 1997-12-19
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Extension without change of a currently approved collection 1994-12-27
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Extension without change of a currently approved collection 1992-01-03
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Revision of a currently approved collection 1989-03-13
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Extension without change of a currently approved collection 1987-07-17
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Extension without change of a currently approved collection 1987-04-15
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Revision of a currently approved collection 1984-02-24
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Extension without change of a currently approved collection 1983-08-08
Approved without change
New collection (Request for a new OMB Control Number) 1981-08-24
OMB Details

Rule 15c3-3(f) - obtain new letter

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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