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.

Latest Forms, Documents, and Supporting Material
Document
Name
Supplementary Document
Supplementary Document
Supporting Statement A
All Historical Document Collections
Approved without change
 Extension without change of a currently approved collection 2021-09-15
Approved without change
 Extension without change of a currently approved collection 2018-10-09
Approved without change
 Extension without change of a currently approved collection 2015-06-10
Approved without change
 Extension without change of a currently approved collection 2012-04-16
Approved without change
 Extension without change of a currently approved collection 2009-04-22
Approved without change
 Extension without change of a currently approved collection 2006-04-06
Approved without change
 Extension without change of a currently approved collection 2003-04-15
Approved without change
 Extension without change of a currently approved collection 2000-03-10
Approved without change
 Extension without change of a currently approved collection 1997-03-27
Approved without change
 Extension without change of a currently approved collection 1994-03-29
Approved without change
 New collection (Request for a new OMB Control Number) 1991-03-27
© 2024 OMB.report | Privacy Policy