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Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3235-0198 · SEC.

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 2029-06-30 and is listed under ICR 202601-3235-005.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
3235-0198_30-Day Submission Notice.pdf.pdfSupplementary Document
20260116_3235-0198_2026-00791_91 FR 2227_60-Day Collection Notice.pdfSupplementary Document
2026 Rule 15c2-5 Supporting Statement.pdfSupporting Statement A
Rule 15c2-5 (17 CFR 240.15c2-5); Disclosure and Other Requirements when Extending or Arranging Credit in Certain Transactions Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202601-3235-005 Extension without change of a currently approved collection 2026-03-23
202301-3235-002 Extension without change of a currently approved collection 2023-03-30 Approved without change
202003-3235-008 Extension without change of a currently approved collection 2020-05-29 Approved without change
201703-3235-014 Extension without change of a currently approved collection 2017-09-28 Approved without change
201402-3235-021 Extension without change of a currently approved collection 2014-07-23 Approved without change
201104-3235-018 Extension without change of a currently approved collection 2011-07-05 Approved without change
200809-3235-002 Extension without change of a currently approved collection 2008-09-10 Approved without change
200507-3235-010 Extension without change of a currently approved collection 2005-07-26 Approved without change
200207-3235-022 Extension without change of a currently approved collection 2002-07-24 Approved without change
199907-3235-003 Extension without change of a currently approved collection 1999-07-13 Approved without change
199608-3235-002 Extension without change of a currently approved collection 1996-08-22 Approved without change
199308-3235-021 Extension without change of a currently approved collection 1993-08-10 Approved without change
199101-3235-016 Extension without change of a currently approved collection 1991-01-23 Approved without change
198712-3235-006 Extension without change of a currently approved collection 1987-12-07 Approved without change
198410-3235-008 Extension without change of a currently approved collection 1984-10-05 Approved without change
198110-3235-056 New collection (Request for a new OMB Control Number) 1981-10-27 Approved without change