Rule 15g-3; Broker-Dealer Disclosure of Quotations and other Information Relating to the Penny Stock Market

OMB 3235-0392

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 2022-02-28 and can be found here.


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