OMB control number
Rule 15a-6; Foreign Broker-Dealer Exemption
OMB 3235-0371 · SEC.
OMB 3235-0371
To promote U.S. institutional investors’ access to foreign markets, Rule 15a-6 exempts foreign broker-dealers from having to register with the Commission under certain conditions, one of which is that U.S. registered broker-dealers must keep certain records in connection with intermediating transactions in securities between U.S. institutional investors and foreign broker-dealers relying on the exemption provided by paragraph (a)(3) of the rule. The information is collected by U.S. registered broker-dealers for the purpose of ensuring that certain conditions are met in connection with transactions they intermediate for foreign broker-dealers pursuant to Rule 15a-6(a)(3).
The latest form for Rule 15a-6; Foreign Broker-Dealer Exemption expires 2028-04-30 and is listed under ICR 202412-3235-010.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 2025 02 28_90 FR 10983_3235-0371_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 2025 02 28_90 FR 10983_3235-0371_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 2024-12-18_89 FR 103032_3235-0371_60-Day Collection Notice.pdf | Supplementary Document |
| 2024-12-18_89 FR 103032_3235-0371_60-Day Collection Notice.pdf | Supplementary Document |
| Supporting Statement_Rule 15a-6 2025.pdf | Supporting Statement A |
 Rule 15a-6; Foreign Broker-Dealer Exemption |
Information collection |