OMB control number
Rule 15g-9, Sales Practice Requirements for Certain Low-Priced Securities
OMB 3235-0385 · SEC.
OMB 3235-0385
Rule 17 CFR 240.15g-9, originally adopted Aug. 28, 1989 as Rule 15c2-6 under the Exchange Act, was redesignated as Rule 15g-9 and amended on July 12, 1993 and amended on July 15, 2005. The rule prohibits a broker-dealer, absent certain exceptions, from buying or selling a penny stock without first obtaining the agreement of the customer and the broker-dealer then providing a written finding of suitability to the customer.
The latest form for Rule 15g-9, Sales Practice Requirements for Certain Low-Priced Securities expires 2026-12-31 and is listed under ICR 202308-3235-013.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0385.pdf | Supplementary Document |
| 3235-0385.pdf | Supplementary Document |
| 2023 PRA Ext Rule 15g-9 Supporting Statement 9.6.23.pdf | Supporting Statement A |
| 3235-0385 60 Day Notice.pdf | Supplementary Document |
| 3235-0385 60 Day Notice.pdf | Supplementary Document |
 Rule 15g-9, Sales Practice Requirements for Certain Low-Priced Securities |
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