Rule 15c1-7, 17 CFR 240.15c1-7 (Discretionary Accounts)

OMB 3235-0134

OMB 3235-0134

The Commission adopted Rule l5c1-7 in 1937 (17 CFR 240.l5c1-7) to protect the public from broker-dealers that transact unauthorized trades. The rule provides that any act of a broker-dealer designed to effect securities transactions with or for a customer account over which the broker-dealer (directly or through an agent or employee) has discretion will be considered a fraudulent, manipulative, or deceptive practice under the federal securities laws, unless a record is made of the transaction immediately by the broker-dealer. The record must include (a) the name of the customer, (b) the name, amount, and price of the security, and (c) the date and time when such transaction took place.

The latest form for Rule 15c1-7, 17 CFR 240.15c1-7 (Discretionary Accounts) expires 2021-04-30 and can be found here.

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