OMB control number
Rule 15g-4; Disclosure of compensation to brokers or dealers
OMB 3235-0393 · SEC.
OMB 3235-0393
Rule 15g-4 (17 CFR 240.15g-4) requires brokers and dealers effecting transactions in penny stocks for or with customers to disclose the amount of compensation received by the broker- dealer in connection with the transaction.
The latest form for Rule 15g-4; Disclosure of compensation to brokers or dealers expires 2027-09-30 and is listed under ICR 202405-3235-010.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 89 FR 47661 (OMB 3235-0393).pdf | Supplementary Document |
| 89 FR 65468 (OMB 3235-0393).pdf | Supplementary Document |
| Supporting Statement_Rule 15g-4 2024 DGL REVISED.pdf | Supporting Statement A |
| 3235-0393 30 Day Notice.pdf | Supplementary Document |
| 3235-0393 60 Day Notice.pdf | Supplementary Document |
 Rule 15g-4; Disclosure of compensation to brokers or dealers |
Information collection |