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Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3235-0200 · SEC.

OMB 3235-0200

Rule 15c3-1, 17 CFR 240.15c3-1, 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 2029-08-31 and is listed under ICR 202603-3235-022.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
3235-0200_30-Day Submission Notice.pdf.pdfSupplementary Document
3235-0200_60-Day Collection Notice.pdfSupplementary Document
3235-0200 Supporting Statement (2026 Extension).pdfSupporting Statement A
Rule 15c3-1; Notices Information collection
Rule 15c3-1(c)(2)(xiv): Account control agreements – Opinion of Counsel Information collection
Rule 5c3-1 Account Control Agreements – Outside Counsel Review (Costs) Information collection
Rule 15c3-1(c)(2)(xiv): Account control agreements – Outside Counsel Review (Hours) Information collection
Rule 15c3-1(c)(2(vi)(O)(l)(iii): Industry sector classification Information collection
Rule 15c3-4: Risk management control system Information collection
Rule 15c3-1 -- Reviewing procedures to determine creditworthiness to avoid 15% haircut Information collection
Rule 15c3-1 -- Creating procedures to determine creditworthiness to avoid 15% haircut Information collection
Rule 15c3-1; Opinion of counsel to file consolidated financial reports under Appendix C Information collection
Rule 15c3-1; Appendix G updating risk management profile for new ANC firms Information collection
Rule 15c3-1; Appendix G updating risk management profile for existing ANC firms Information collection
Rule 15c3-1; Appendix G notification provision for new ANC firms Information collection
Rule 15c3-1; Appendix G notification provision for existing ANC firms Information collection
Rule 15c3-1; Appendix G recordkeeping for new ANY firms (ongoing) Information collection
Rule 15c3-1; Appendix G recordkeeping for existing ANC firms Information collection
Rule 15c3-1; Appendix G recordkeeping for new ANC firms (initial) Information collection
Rule 15c3-1; Appendix G annual reports for new ANC firms Information collection
Rule 15c3-1; Appendix G quarterly reports for new ANC firms Information collection
Rule 15c3-1; Appendix G monthly reports for new ANC firms Information collection
Rule 15c3-1; Appendix G annual reports for existing ANC firms Information collection
Rule 15c3-1; Appendix G quarterly reports for existing ANC firms Information collection
Rule 15c3-1; Appendix G monthly reports for existing ANC firms Information collection
Rule 15c3-1; Reviewing and back testing models for new ANC firms Information collection
Rule 15c3-1; Reviewing and back testing models for existing ANC firms Information collection
Rule 15c3-1; Appendix E computations for ANC firms Information collection
Rule 15c3-1; Paragraph (c)(2)(i)(G)(2): Capital Withdrawal Liability Information collection
Rule 15c3-1; Paragraph (c)(2)(iv)(B): Disclosures and Agreements Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202603-3235-022 Extension without change of a currently approved collection 2026-06-04
202301-3235-012 Extension without change of a currently approved collection 2023-03-30 Approved without change
201912-3235-005 Extension without change of a currently approved collection 2020-04-20 Approved without change
201907-3235-012 Revision of a currently approved collection 2019-08-26 Approved without change
201703-3235-004 Extension without change of a currently approved collection 2017-05-26 Approved without change
201603-3235-008 Revision of a currently approved collection 2016-04-01 Comment filed on proposed rule and continue
201405-3235-004 Revision of a currently approved collection 2014-05-14 Approved without change
201404-3235-006 Revision of a currently approved collection 2014-04-22 Preapproved
201309-3235-008 Revision of a currently approved collection 2013-09-12 Approved without change
201305-3235-009 Extension without change of a currently approved collection 2013-06-20 Approved without change
201006-3235-004 Revision of a currently approved collection 2010-07-14 Comment filed on proposed rule and continue
200909-3235-014 Extension without change of a currently approved collection 2009-10-06 Approved without change
200610-3235-006 Revision of a currently approved collection 2006-11-01 Approved without change
200405-3235-014 No material or nonsubstantive change to a currently approved collection 2004-05-17 Approved without change
200310-3235-029 Revision of a currently approved collection 2003-10-30 Approved without change
200207-3235-005 Extension without change of a currently approved collection 2002-07-10 Approved without change
199908-3235-006 Extension without change of a currently approved collection 1999-08-17 Approved without change
199609-3235-011 Extension without change of a currently approved collection 1996-09-16 Approved without change
199308-3235-037 Revision of a currently approved collection 1993-08-26 Approved without change
199305-3235-009 Revision of a currently approved collection 1993-05-28 Approved without change
199007-3235-005 Revision of a currently approved collection 1990-07-18 Approved without change
198909-3235-001 Revision of a currently approved collection 1989-09-25 Approved without change
198812-3235-010 Revision of a currently approved collection 1988-12-30 Approved without change
198704-3235-005 Revision of a currently approved collection 1987-04-22 Approved without change
198403-3235-003 Revision of a currently approved collection 1984-03-12 Approved without change
198110-3235-058 New collection (Request for a new OMB Control Number) 1981-10-27 Approved without change

OMB Details

Rule 15c3-1; Notices

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight