Rule 15c3-1; Net Capital Requirements for Brokers and Dealers

OMB 3235-0200

OMB 3235-0200

Rule 15c3-1 was adopted in 1971 to ensure that brokers and dealers maintain sufficient liquid assets in excess of liabilities to promptly satisfy the claims of customers in the event the broker or dealer fails.

The latest form for Rule 15c3-1; Net Capital Requirements for Brokers and Dealers expires 2023-06-30 and can be found here.

Latest Forms, Documents, and Supporting Material
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Name
Supplementary Document
Supplementary Document
Supporting Statement A
Supplementary Document
All Historical Document Collections
Approved without change
Extension without change of a currently approved collection 2020-04-20
Approved without change
Revision of a currently approved collection 2019-08-26
Approved without change
Extension without change of a currently approved collection 2017-05-26
Comment filed on proposed rule and continue
Revision of a currently approved collection 2016-04-01
Approved without change
Revision of a currently approved collection 2014-05-14
Preapproved
Revision of a currently approved collection 2014-04-22
Approved without change
Revision of a currently approved collection 2013-09-12
Approved without change
Extension without change of a currently approved collection 2013-06-20
Comment filed on proposed rule and continue
Revision of a currently approved collection 2010-07-14
Approved without change
Extension without change of a currently approved collection 2009-10-06
Approved without change
Revision of a currently approved collection 2006-11-01
Approved without change
No material or nonsubstantive change to a currently approved collection 2004-05-17
Approved without change
Revision of a currently approved collection 2003-10-30
Approved without change
Extension without change of a currently approved collection 2002-07-10
Approved without change
Extension without change of a currently approved collection 1999-08-17
Approved without change
Extension without change of a currently approved collection 1996-09-16
Approved without change
Revision of a currently approved collection 1993-08-26
Approved without change
Revision of a currently approved collection 1993-05-28
Approved without change
Revision of a currently approved collection 1990-07-18
Approved without change
Revision of a currently approved collection 1989-09-25
Approved without change
Revision of a currently approved collection 1988-12-30
Approved without change
Revision of a currently approved collection 1987-04-22
Approved without change
Revision of a currently approved collection 1984-03-12
Approved without change
New collection (Request for a new OMB Control Number) 1981-10-27
OMB Details

Rule 15c3-1; Notices

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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