Rule 15a-6; Foreign Broker-Dealer Exemption

OMB 3235-0371

Rule 15a-6 provides, inter alia, an exemption from broker-dealer registration for foreign broker-dealers that effect trades for U.S. institutional investors through a U.S. broker-dealer registered with the Commission.

The latest form for Rule 15a-6; Foreign Broker-Dealer Exemption expires 2022-07-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0371.pdf Supplementary Document
3235-0371.pdf Supplementary Document
DGL REVISED FINAL 2022 Rule 15a-6 - Supporting Statement draft 2.pdf Supporting Statement A
2019 Rule 15a-6 - 30 Day Notice DGL REVISED.doc Supplementary Document
2019 Rule 15a-6 - 60 Day Notice DGL REVISED.doc Supplementary Document
Rule 15a-6; Foreign Broker-Dealer Exemption

All Historical Document Collections

202202-3235-016 Approved without change	Extension without change of a currently approved collection	2022-04-25
201902-3235-007 Approved without change	Extension without change of a currently approved collection	2019-05-03
201601-3235-014 Approved without change	Extension without change of a currently approved collection	2016-06-23
201303-3235-001 Approved without change	Extension without change of a currently approved collection	2013-05-22
201005-3235-009 Approved without change	Extension without change of a currently approved collection	2010-07-20
200807-3235-005 Preapproved	Revision of a currently approved collection	2008-07-09
200707-3235-009 Approved without change	Revision of a currently approved collection	2007-07-30
200406-3235-005 Approved without change	Extension without change of a currently approved collection	2004-06-07
200106-3235-006 Approved without change	Extension without change of a currently approved collection	2001-06-07
199805-3235-002 Approved without change	Extension without change of a currently approved collection	1998-05-06
199504-3235-001 Approved without change	Extension without change of a currently approved collection	1995-04-17
199203-3235-002 Approved without change	Revision of a currently approved collection	1992-03-13
198906-3235-006 Approved with change	No material or nonsubstantive change to a currently approved collection	1989-06-20
198906-3235-001 Approved without change	New collection (Request for a new OMB Control Number)	1989-06-05