OMB control number
Rule 15g-3; Broker-Dealer Disclosure of Quotations and other Information Relating to the Penny Stock Market
OMB 3235-0392 · SEC.
OMB 3235-0392
Rule 15g-3 (17 CFR 240.15g-3) requires that brokers or dealers disclose to customers current quotation prices or similar market information in connection with penny stock transactions.
The latest form for Rule 15g-3; Broker-Dealer Disclosure of Quotations and other Information Relating to the Penny Stock Market expires 2027-09-30 and is listed under ICR 202405-3235-005.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 89 FR 60671 (OMB 3235-0392).pdf | Supplementary Document |
| 89 FR 43915 (OMB 3235-0392).pdf | Supplementary Document |
| Supporting Statement _Rule 15g-3 2024 DGL REVISED.pdf | Supporting Statement A |
| 3235-0392 30 Day Notice.pdf | Supplementary Document |
| 3235-0392 60 Day Notice.pdf | Supplementary Document |
 Rule 15g-3; Broker-Dealer Disclosure of Quotations and other Information Relating to the Penny Stock Market |
Information collection |