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

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.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0198.pdf Supplementary Document
3235-0198.pdf Supplementary Document
DGL REVISED 2023 15c2-5 Supporting Statement (002).pdf Supporting Statement A
3235-0198 30 Day Notice.pdf Supplementary Document
3235-0198 60 Day Notice.pdf Supplementary Document
Rule 15c2-5 (17 CFR 240.15c2-5); Disclosure and Other Requirements When Extending or Arranging Credit in Certain Transactions

All Historical Document Collections

202301-3235-002 Approved without change	Extension without change of a currently approved collection	2023-03-30
202003-3235-008 Approved without change	Extension without change of a currently approved collection	2020-05-29
201703-3235-014 Approved without change	Extension without change of a currently approved collection	2017-09-28
201402-3235-021 Approved without change	Extension without change of a currently approved collection	2014-07-23
201104-3235-018 Approved without change	Extension without change of a currently approved collection	2011-07-05
200809-3235-002 Approved without change	Extension without change of a currently approved collection	2008-09-10
200507-3235-010 Approved without change	Extension without change of a currently approved collection	2005-07-26
200207-3235-022 Approved without change	Extension without change of a currently approved collection	2002-07-24
199907-3235-003 Approved without change	Extension without change of a currently approved collection	1999-07-13
199608-3235-002 Approved without change	Extension without change of a currently approved collection	1996-08-22
199308-3235-021 Approved without change	Extension without change of a currently approved collection	1993-08-10
199101-3235-016 Approved without change	Extension without change of a currently approved collection	1991-01-23
198712-3235-006 Approved without change	Extension without change of a currently approved collection	1987-12-07
198410-3235-008 Approved without change	Extension without change of a currently approved collection	1984-10-05
198110-3235-056 Approved without change	New collection (Request for a new OMB Control Number)	1981-10-27