OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3235-0078 · SEC.

OMB 3235-0078

Rule 15c3-3 (17 CFR 240.15c3-3) 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 Commission is revising the collection of information in connection with a recent rulemaking to amend the reserve computation requirements for certain broker-dealers pursuant to its authority under Section 15(c)(3)(A) of the Exchange Act.

The latest form for Rule 15c3-3; Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3) expires 2026-10-31 and is listed under ICR 202501-3235-015.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
3235-0078 Supporting Statement - 2023 Daily Comp Adopting Release.pdfSupporting Statement A
3235-0078 Supporting Statement - 2023 Daily Comp Adopting Release.pdfSupporting Statement A
Rule 15c3-3(e)(3)(v) notification Information collection
Rule 15c3-3(e)(3)(i)(B)(2) notification Information collection
Rule 15c3-3(p)(4)(ii) - Subordination Agreements (One-Time) Information collection
Rule 15c3-3(p)(4)(i) - Counterparty Notice (One-Time) Information collection
Rule 15c3-3(p)(4)(ii) - Subordination Agreements Information collection
Rule 15c3-3(p)(4)(ii) - Subordination Agreements Information collection
Rule 15c3-3(p)(4)(ii) - Subordination Agreements Information collection
Rule 15c3-3(p)(4)(i) - Counterparty Notice (Ongoing) Information collection
Rule 15c3-3(p)(4)(i) - Counterparty Notice (One-Time) Information collection
Rule 15c3-3(p)(3)(iii) - Customer Reserve Computation Information collection
Rule 15c3-3(p)(1) Special Accounts (Ongoing) Information collection
Rule 15c3-3(p)(1) Special Accounts (One-Time) Information collection
Rule 15c3-3(e) - daily Information collection
Rule 15c3-3(e) - monthly Information collection
Rule 15c3-3(e) - weekly computations Information collection
Rule 15c3-3(e) - updates Information collection
Rule 15c3-3(e)(3) - monthly Information collection
Rule 15c3-3(e)(3) - weekly Information collection
Rule 15c3-3(e)(3) - daily computations Information collection
Rules 15c3-3(o)(2) Information collection
Reference Removal - Note G (initial) Information collection
Reference Removal - Note G (annual) Information collection
Rule 15c3-3(j)(2) - initial Information collection
Rule 15c3-3(j)(2) - annual Information collection
Rule 15c3-3(j)(1) - annual Information collection
Rule 15c3-3 - amend/update PAB agreement Information collection
Rule 15c3-3(b)(5) - notices to affected customers Information collection
Rule 15c3-3(b)(5) - draft/update notice Information collection
Rule 15c3-3(a)(16) Information collection
Rule 15c3-3(o)(3) Information collection
Rule 15c3-3(f) - notice Information collection
Rule 15c3-3(f) - obtain new letter Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202501-3235-015 Revision of a currently approved collection 2025-01-24
202311-3235-032 Revision of a currently approved collection 2023-12-06 Comment filed on proposed rule and continue
202306-3235-015 Extension without change of a currently approved collection 2023-09-01 Approved without change
202002-3235-019 Extension without change of a currently approved collection 2020-08-07 Approved without change
201703-3235-007 Extension without change of a currently approved collection 2017-05-26 Approved without change
201405-3235-003 Revision of a currently approved collection 2014-05-14 Approved without change
201403-3235-012 Revision of a currently approved collection 2014-04-22 Preapproved
201309-3235-006 Revision of a currently approved collection 2013-09-12 Approved without change
201103-3235-025 Extension without change of a currently approved collection 2011-03-18 Approved without change
201102-3235-008 Extension without change of a currently approved collection 2011-02-15 Approved without change
201011-3235-009 Revision of a currently approved collection 2010-11-15 Preapproved
201006-3235-005 Revision of a currently approved collection 2010-07-14 Comment filed on proposed rule and continue
200709-3235-018 Revision of a currently approved collection 2007-11-28 Approved without change
200410-3235-009 Revision of a currently approved collection 2004-10-27 Approved without change
200209-3235-007 Revision of a currently approved collection 2002-09-20 Approved without change
200111-3235-018 Revision of a currently approved collection 2001-11-28 Approved without change
200101-3235-005 Extension without change of a currently approved collection 2001-01-17 Approved without change
199712-3235-006 Extension without change of a currently approved collection 1997-12-19 Approved without change
199412-3235-003 Extension without change of a currently approved collection 1994-12-27 Approved without change
199201-3235-001 Extension without change of a currently approved collection 1992-01-03 Approved without change
198903-3235-006 Revision of a currently approved collection 1989-03-13 Approved without change
198707-3235-002 Extension without change of a currently approved collection 1987-07-17 Approved without change
198704-3235-003 Extension without change of a currently approved collection 1987-04-15 Approved without change
198402-3235-007 Revision of a currently approved collection 1984-02-24 Approved without change
198308-3235-004 Extension without change of a currently approved collection 1983-08-08 Approved without change
198108-3235-026 New collection (Request for a new OMB Control Number) 1981-08-24 Approved without change

OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight