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

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.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0393 30 Day Notice.pdf Supplementary Document
3235-0393 60 Day Notice.pdf Supplementary Document
DGL REVISED 2021 15g-4 justification.doc.pdf Supporting Statement A
Rule 15g-4; Disclosure of compensation to brokers or dealers

All Historical Document Collections

202106-3235-011 Approved without change	Extension without change of a currently approved collection	2021-09-16
201803-3235-013 Approved without change	Extension without change of a currently approved collection	2018-10-09
201412-3235-013 Approved without change	Extension without change of a currently approved collection	2015-06-04
201202-3235-001 Approved without change	Extension without change of a currently approved collection	2012-04-16
200902-3235-007 Approved without change	Extension without change of a currently approved collection	2009-04-22
200604-3235-007 Approved without change	Extension without change of a currently approved collection	2006-04-06
200304-3235-015 Approved without change	Extension without change of a currently approved collection	2003-04-15
200003-3235-004 Approved without change	Extension without change of a currently approved collection	2000-03-01
199703-3235-032 Approved without change	Extension without change of a currently approved collection	1997-03-27
199403-3235-012 Approved without change	Extension without change of a currently approved collection	1994-03-29
199103-3235-010 Approved without change	New collection (Request for a new OMB Control Number)	1991-03-27