Rule 15g-4; Disclosure of compensation to brokers or dealers

OMB 3235-0393

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 2022-02-28 and can be found here.

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