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

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

Document Name
3235-0200.pdf Supplementary Document
3235-0200.pdf Supplementary Document
DGL FINAL REVISED 2023 Rule 15c3-1 Supporting Statement (v3 - Burden Comparison Chart Added).pdf Supporting Statement A
3235-0200 30 Day Notice.pdf Supplementary Document
3235-0200 60 Day Notice.pdf Supplementary Document
August 2019 SUPPORTING STATEMENT Rule 15c3-1 (3235-0200) Final Rule.pdf Supplementary Document
Rule 15c3-1; Notices
NEW: 15c3-1(c)(2)(xiv): Account control agreements – Opinion of Counsel
NEW: 15c3-1 Account Control Agreements – Outside Counsel Review (Costs)
NEW: 15c3-1(c)(2)(xiv): Account control agreements – Outside Counsel Review (Hours)
NEW: 15c3-1(c)(2(vi)(O)(l)(iii): Industry sector classification
NEW: Rule 15c3-4: Risk management control system
Rule 15c3-1 -- Reviewing procedures to determine creditworthiness to avoid 15% haircut
Rule 15c3-1 -- Creating procedures to determine creditworthiness to avoid 15% haircut
Rule 15c3-1; Opinion of counsel to file consolidated financial reports under Appendix C
Rule 15c3-1; Appendix G updating risk management profile for new ANC firms
Rule 15c3-1; Appendix G updating risk management profile for existing ANC firms
Rule 15c3-1; Appendix G notification provision for new ANC firms
Rule 15c3-1; Appendix G notification provision for existing ANC firms
Rule 15c3-1; Appendix G recordkeeping for new ANY firms (ongoing)
Rule 15c3-1; Appendix G recordkeeping for existing ANC firms
Rule 15c3-1; Appendix G recordkeeping for new ANC firms (initial)
Rule 15c3-1; Appendix G annual reports for new ANC firms
Rule 15c3-1; Appendix G quarterly reports for new ANC firms
Rule 15c3-1; Appendix G monthly reports for new ANC firms
Rule 15c3-1; Appendix G annual reports for existing ANC firms
Rule 15c3-1; Appendix G quarterly reports for existing ANC firms
Rule 15c3-1; Appendix G monthly reports for existing ANC firms
Rule 15c3-1; Reviewing and back testing models for new ANC firms
Rule 15c3-1; Reviewing and back testing models for existing ANC firms
Rule 15c3-1; Appendix E computations for ANC firms
Rule 15c3-1; Paragraph (c)(2)(i)(G)(2): Capital Withdrawal Liability
Rule 15c3-1; Paragraph (c)(2)(iv)(B): Disclosures and Agreements

All Historical Document Collections

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