Rule 15c2-5 (17 CFR 240.15c2-5); Disclosure and Other Requirements When Extending or Arranging Credit in Certain Transactions

OMB 3235-0198

OMB 3235-0198

Rule 15c2-5 prohibits a broker-dealer from arranging or extending certain loans to customers in connection with the offer or sale of securities, unless, before entering the transaction, the broker-dealer reasonably determines and documents that the transaction is suitable for the customer.

The latest form for Rule 15c2-5 (17 CFR 240.15c2-5); Disclosure and Other Requirements When Extending or Arranging Credit in Certain Transactions expires 2023-07-31 and can be found here.

All Historical Document Collections
Approved without change
Extension without change of a currently approved collection 2020-05-29
Approved without change
Extension without change of a currently approved collection 2017-09-28
Approved without change
Extension without change of a currently approved collection 2014-07-23
Approved without change
Extension without change of a currently approved collection 2011-07-05
Approved without change
Extension without change of a currently approved collection 2008-09-10
Approved without change
Extension without change of a currently approved collection 2005-07-26
Approved without change
Extension without change of a currently approved collection 2002-07-24
Approved without change
Extension without change of a currently approved collection 1999-07-13
Approved without change
Extension without change of a currently approved collection 1996-08-22
Approved without change
Extension without change of a currently approved collection 1993-08-10
Approved without change
Extension without change of a currently approved collection 1991-01-23
Approved without change
Extension without change of a currently approved collection 1987-12-07
Approved without change
Extension without change of a currently approved collection 1984-10-05
Approved without change
New collection (Request for a new OMB Control Number) 1981-10-27

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