Rule 15g-9, Sales Practice Requirements for Certain Low-Priced Securities

OMB 3235-0385

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 2024-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material

© 2021 OMB.report | Privacy Policy